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UNITED STATES ---------------------------------------------
SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
WASHINGTON, D.C. 20549 ---------------------------------------------
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OMB Number: 3235-0145
Expires: December 31, 1997
Estimated average burden
hours per response......................14.90
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SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2 )*
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SuperGen, Inc.
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(NAME OF ISSUER)
Common Stock
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(TITLE OF CLASS OF SECURITIES)
868 059 106
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(CUSIP NUMBER)
*The remainder of this cover page shall be filled out for a reporting
person's initial filing of this form with respect to the subject class of
securities, and for any subsequent amendment containing information which
would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 ("Act") or otherwise subject to the liabilities of that section
of the Act but shall be subject to all other provisions of the Act (however,
see the Notes).
SEC 1745 (2-95)
Page 1 of 7 Pages
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CUSIP NO. 868 059 106 13G PAGE 2 OF 7 PAGES
- ----------------------- -------------------
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
David M. Fineman
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) /X/
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
- -------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF
SHARES 15,750**
BENEFICIALLY -----------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH
REPORTING 1,366,500
PERSON WITH -----------------------------------------------------
7 SOLE DISPOSITIVE POWER
15,750**
-----------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,366,500
-----------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,384,750**(BENEFICIAL OWNERSHIP OF 2,500 OF THESE SHARES IS
DISCLAIMED)
- -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
- -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.2%**
- -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
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CUSIP NO. 868 059 106 13G PAGE 3 OF 7 PAGES
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Ellen Gunn Fineman
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) /X/
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
- -------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 0
SHARES -----------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY
EACH 1,366,500
REPORTING -----------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
0
-----------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,366,500
- -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,384,750**(BENEFICIAL OWNERSHIP OF 2,500 OF THESE SHARES IS
DISCLAIMED)
- -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
- -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.2%**
- -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
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CUSIP No. 868 059 106 Page 4 of 7 Pages
ITEM 1.
(a) Name of Issuer
SuperGen, Inc.
(b) Address of Issuer's Principal Executive Offices
Two Annabel Lane, Suite 220
San Ramon, CA 94583
ITEM 2.
(a) Name of Person Filing
David M. Fineman and Ellen Gunn Fineman, husband and wife, as
trustees of the Fineman Revocable Trust dated February 12, 1997
(b) Address of Principal Business Office or, if none, Residence
SuperGen, Inc.
Two Annabel Lane, Suite 220
San Ramon, CA 94583
(c) Citizenship
United States of America
(d) Title of Class of Securities
Common Stock
(e) CUSIP Number
868 059 106
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b),
CHECK WHETHER THE PERSON IS A:
(a) / / Broker or Dealer registered under Section 15 of the Act
(b) / / Bank as defined in section 3(a)(6) of the Act
(c) / / Insurance Company as defined in section 3(a)(19) of the Act
(d) / / Investment Company registered under section 8 of the Investment
Company Act
(e) / / Investment Adviser registered under section 203 of the Investment
Advisers Act of 1940
(f) / / Employee Benefit Plan, Pension Fund which is subject to the
provisions of the Employee Retirement Income Security Act of 1974
or Endowment Fund, see Section 240.13d-1(b)(1)(ii)(F)
(g) / / Parent Holding Company, in accordance with Section
240.13d-1(b)(ii)(G) (Note: See Item 7)
(h) / / Group, in accordance with Section 240.13d-1(b)(1)(ii)(H)
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CUSIP No. 868 059 106 Page 5 of 7 Pages
ITEM 4. OWNERSHIP
(a) Amount Beneficially Owned
David M. Fineman--1,384,750 shares**
Ellen Gunn Fineman--1,384,750 shares**
(b) Percent of Class
David M. Fineman--7.2%** of the outstanding shares of Common Stock of
Issuer, based on 19,216,371 shares of Issuer's Common Stock
outstanding as of October 30, 1997, according to Issuer's quarterly
report on Form 10-Q for the quarter ended September 30, 1997, filed
November 14, 1997 (the "Third Quarter 10-Q").
Ellen Gunn Fineman--7.2%** of the outstanding shares of Common Stock
of Issuer, based on 19,216,371 shares of Issuer's Common Stock
outstanding as of October 30, 1997, according to the Third Quarter
10-Q.
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote
David M. Fineman 15,750 SHARES**
Ellen Gunn Fineman 0 SHARES
(ii) shared power to vote or to direct the vote
David M. Fineman 1,366,500 SHARES
Ellen Gunn Fineman 1,366,500 SHARES
(iii) sole power to dispose or direct the disposition of
David M. Fineman 15,750 SHARES**
Ellen Gunn Fineman 0 SHARES
(iv) shared power to dispose or direct the disposition of
David M. Fineman 1,366,500 SHARES
Ellen Gunn Fineman 1,366,500 SHARES
**1,366,500 SHARES ARE HELD BY DAVID M. FINEMAN AND ELLEN GUNN FINEMAN AS
TRUSTEES OF THE FINEMAN REVOCABLE TRUST DATED FEBRUARY 12, 1997. 15,750
SHARES ARE REGISTERED TO DAVID M. FINEMAN, TRUSTEE OF THE GUNN-FINEMAN
INCORPORATED PROFIT SHARING MONEY PURCHASE PENSION TRUST. 2,500 SHARES ARE
HELD BY CLAIRE GUNN AS CUSTODIAN FOR MINOR CHILDREN OF DAVID M. FINEMAN AND
ELLEN GUNN FINEMAN.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more
than five percent of the class of securities, check the following / /.
<PAGE>
CUSIP No. 868 059 106 Page 6 of 7 Pages
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
Not applicable
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
Not applicable
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
Not applicable
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
Not applicable
<PAGE>
CUSIP No. 868 059 106 Page 7 of 7 Pages
ITEM 10.
Not applicable
SIGNATURE
Each of the undersigned hereby agrees that they are filing jointly
pursuant to Rule 13d-1(f)(1) of the Securities Exchange Act of 1934, as
amended, the Statement dated February 9, 1998 containing the information
required by Schedule 13G for the shares of Common Stock of SuperGen, Inc.
which they beneficially hold.
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete
and correct.
February 9, 1998
-------------------------------------------
Date
/s/ David M. Fineman
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Signature
David M. Fineman, Director
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Name/Title
February 9, 1998
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Date
/s/ Ellen Gunn Fineman
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Signature
Ellen Gunn Fineman
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Name/Title
