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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 3)*
SuperGen, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
- --------------------------------------------------------------------------------
(Title of Class of Securities)
868059 10 6
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(CUSIP Number)
12/31/98
- --------------------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
/ / Rule 13d-1(b)
/X/ Rule 13d-1(c)
/ / Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting
person's initial filing on 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).
POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION
CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A
CURRENTLY VALID OMB CONTROL NUMBER.
Page 1 of 6 pages
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CUSIP No. 868059 10 6
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Joseph Rubinfeld
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) /X/
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States of America
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 55,000* (Beneficial ownership of 35,000
Owned by shares is disclaimed)
Each Reporting --------------------------------------------------
Person With: (6) Shared Voting Power
1,694,500**
--------------------------------------------------
(7) Sole Dispositive Power
55,000* (Beneficial ownership of 35,000
shares is disclaimed)
--------------------------------------------------
(8) Shared Dispositive Power
1,694,500**
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
2,547,417*** (Beneficial ownership of 35,000 shares is disclaimed)
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) /X/
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(11) Percent of Class Represented by Amount in Row (9)
11.8%**
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(12) Type of Reporting Person (See Instructions)
IN
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Page 2 of 6 pages
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CUSIP No. 868059 10 6
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Loretta Rubinfeld
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) /X/
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States of America
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,694,500**
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,694,500**
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,731,076**** (Beneficial ownership of 35,000 shares is disclaimed)
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) /X/
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
8.3%**
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------
Page 3 of 6 pages
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ITEM 1.
(a) Name of Issuer
SuperGen, Inc.
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(b) Address of Issuer's Principal Executive Offices
Two Annabel Lane, Suite 220, San Ramon, CA 94583
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ITEM 2.
(a) Name of Person Filing
Joseph Rubinfeld and Loretta Rubinfeld, husband and wife
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(b) Address of Principal Business Office or, if none, Residence
Two Annabel Lane, Suite 220, San Ramon, CA 94583
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(c) Citizenship
United States of America
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(d) Title of Class of Securities
Common Stock
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(e) CUSIP Number
868059 10 6
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ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13d-1(b) OR
240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
(a) / / Broker or dealer registered under section 15 of the Act
(15 U.S.C. 78o).
(b) / / Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) / / Insurance company as defined in section 3(a)(19) of the Act
(15 U.S.C. 78c).
(d) / / Investment company registered under section 8 of the Investment
Company Act of 1940 (15 U.S.C. 80a-8).
(e) / / An investment adviser in accordance with section
240.13d-1(b)(1)(ii)(E).
(f) / / An employee benefit plan or endowment fund in accordance with
section 240.13d-1(b)(1)(ii)(F).
(g) / / A parent holding company or control person in accordance with
section 240.13d-1(b)(1)(ii)(G).
(h) / / A savings association as defined in section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813).
(i) / / A church plan that is excluded from the definition of an investment
company under section 3(c)(14) of the Investment Company Act of 1940
(15 U.S.C. 80a-3).
(j) / / Group, in accordance with section 240.13d-1(b)(1)(ii)(J).
Page 4 of 6 pages
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ITEM 4. OWNERSHIP
Provide the following information regarding the aggregate number and
percentage of the class of securities of the issuer identified in Item 1.
(a) Amount beneficially owned:
Joseph Rubinfeld: 2,547,417 shares***
Loretta Rubinfeld: 1,731,076 shares****
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(b) Percent of class:
Joseph Rubinfeld: 11.8% of the outstanding shares of Common Stock of
Issuer, based on 20,862,620 shares of Issuer's Common Stock outstanding as
of December 31, 1998.
Loretta Rubinfeld: 8.3% of the outstanding shares of Common Stock of
Issuer based on 20,862,620 shares of Issuer's Common Stock outstanding as
of December 31, 1998.
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(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote
Joseph Rubinfeld: 55,000 shares*
Loretta Rubinfeld: 0 shares
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(ii) Shared power to vote or to direct the vote
Joseph Rubinfeld: 1,694,500 shares**
Loretta Rubinfeld: 1,694,500 shares**
-----------------------------------------------------------------
(iii) Sole power to dispose or to direct the disposition of
Joseph Rubinfeld: 55,000 shares*
Loretta Rubinfeld: 0 shares
-----------------------------------------------------------------
(iv) Shared power to dispose or to direct the disposition of
Joseph Rubinfeld: 1,694,500 shares**
Loretta Rubinfeld: 1,694,500 shares**
-----------------------------------------------------------------
* Beneficial ownership of 35,000 of these shares registered in the name of
Joseph and Loretta Rubinfeld as Custodians under the California Uniform
Transfers to Minors Act is disclaimed as set forth on Pages 2 and 3 of this
Schedule. 20,000 shares are registered to Joseph Rubinfeld, individually,
and these shares are not included in the aggregate number of shares
beneficially owned by Loretta Rubinfeld, his wife, notwithstanding the
Community Property laws of the State of California.
** 1,694,500 shares owned jointly by reporting persons are registered to
Joseph and Loretta Rubinfeld.
*** Includes 797,917 shares which may be acquired within 60 days of December
31, 1998 upon exercise of stock options by Joseph Rubinfeld.
**** Includes 1,576 shares which may be acquired within 60 days of December
31, 1998 upon exercise of stock options by Loretta Rubinfeld.
INSTRUCTION. For computations regarding securities which represent a
right to acquire an underlying security SEE section 240.13d-3(d)(1).
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
Not applicable.
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 5 of 6 pages
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ITEM 10. CERTIFICATION
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were not acquired and are not held
for the purpose of or with the effect of changing or influencing the control
of the issuer of the securities and were not acquired and are not held in
connection with or as a participant in any transaction having that purpose
or effect.
SIGNATURE
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.
2/8/99
----------------------------------------
Date
/s/ Joseph Rubinfeld
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Signature
Joseph Rubinfeld, Chief Executive,
President and Chairman of the Board
of SuperGen, Inc.
----------------------------------------
Name/Title
2/9/99
----------------------------------------
Date
/s/ Loretta K. Rubinfeld
----------------------------------------
Signature
Loretta K. Rubinfeld
----------------------------------------
Name/Title
The original statement shall be signed by each person on whose behalf
the statement is filed or his authorized representative. If the statement is
signed on behalf of a person by his authorized representative other than an
executive officer or general partner of the filing person, evidence of the
representatives authority to sign on behalf of such person shall be filed
with the statement, provided, however, that a power of attorney for this
purpose which is already on file with the Commission may be incorporated by
reference. The name and any title of each person who signs the statement
shall be typed or printed beneath his signature.
NOTE: Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits. SEE Section 240.13d-7
for other parties for whom copies are to be sent.
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE
FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)
Page 6 of 6 pages
