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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 4)*
SuperGen, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, $.001 par value
- --------------------------------------------------------------------------------
(Title of Class of Securities)
868-059106
--------------------
(CUSIP Number)
Sally Rau
Gray Cary Ware & Freidenrich LLP
400 Hamilton Avenue
Palo Alto, CA 94301-3699
(650) 833-2000
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(Name, Address and Telephone Number of Person Authorized to Receive Notices
and Communications)
March 22, 2000
- --------------------------------------------------------------------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(b)(3) or (4), check the following box / /.
Check the following box if a fee is being paid with the statement / /. (A fee
is not required only if the reporting person: (1) has a previous statement on
file reporting beneficial ownership of more than five percent of the class of
securities described in Item 1; and (2) has filed no amendment subsequent
thereto reporting beneficial ownership of five percent or less of such class.)
(See Rule 13d-7.)
Note: Six copies of this statement, including all exhibits, should be filed with
the Commission. See Rule 13d-1(a) for other parties to whom copies are to be
sent.
* 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
disclosures provided in a prior cover page.
The information required on 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 1746 (12-91)
1
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CUSIP NO. 868-059106 SCHEDULE 13D PAGE 2 OF 8 PAGES
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- ------------- -----------------------------------------------------------------
1 NAME OF REPORTING PERSON
S. S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Tako Ventures, LLC
- ------------- -----------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(See Instructions)
(a) / /
(b) / /
- ------------- -----------------------------------------------------------------
3 SEC USE ONLY
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4 SOURCE OF FUNDS*
NA
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e)
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
California
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NUMBER OF SHARES 7 SOLE VOTING POWER
BENEFICIALLY
OWNED BY 4,017,313 (1)
BY EACH ---------- -----------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH ---------- -----------------------------------------
9 SOLE DISPOSITIVE POWER
4,017,313 (1)
---------- ----------------------------------------
10 SHARED DISPOSITIVE POWER
- --------------------------- ---------- ----------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,017,313 (1)
- ------------- -----------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
/ /
- ------------- -----------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13.7%
- ------------- -----------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
OO (Limited Liability Company)
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION
2
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CUSIP NO. 868-059106 SCHEDULE 13D PAGE 3 OF 8 PAGES
- ----------------------- --------------------------
- ------------- -----------------------------------------------------------------
1 NAME OF REPORTING PERSON
S. S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Lawrence J. Ellison
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(See Instructions)
(a) / /
(b) / /
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
BK
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e)
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
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NUMBER OF SHARES 7 SOLE VOTING POWER
BENEFICIALLY
OWNED BY 4,017,313 (1)
BY EACH ----------- ---------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH
----------- ---------------------------------------
9 SOLE DISPOSITIVE POWER
4,017,313 (1)
----------- ---------------------------------------
10 SHARED DISPOSITIVE POWER
- --------------------------- ----------- ---------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,017,313 (1)
- ------------- -----------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
/ /
- ------------- -----------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13.7%
- ------------- -----------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
IN
- ------------- -----------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION
3
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CUSIP NO. 868-059106 SCHEDULE 13D PAGE 4 OF 8 PAGES
- ----------------------- --------------------------
- ------------- -----------------------------------------------------------------
1 NAME OF REPORTING PERSON
S. S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Cephalopod Corporation
- ------------- -----------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(See Instructions)
(a) / /
(b) / /
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
BK
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e)
- ------------- -----------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
California
- ------------- -----------------------------------------------------------------
NUMBER OF SHARES 7 SOLE VOTING POWER
BENEFICIALLY
OWNED BY 4,017,313 (1)
BY EACH ----------- ---------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH
----------- ---------------------------------------
9 SOLE DISPOSITIVE POWER
4,017,313 (1)
----------- ---------------------------------------
10 SHARED DISPOSITIVE POWER
- --------------------------- ----------- ---------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,017,313 (1)
- ------------- -----------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
/ /
- ------------- -----------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13.7%
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14 TYPE OF REPORTING PERSON (See Instructions)
CO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION
4
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CUSIP NO. 868-059106 SCHEDULE 13D PAGE 5 OF 8 PAGES
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- ------------- -----------------------------------------------------------------
1 NAME OF REPORTING PERSON
S. S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Lawrence Investments, LLC
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(See Instructions)
(a) / /
(b) / /
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
BK
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) or 2(e)
- ------------- -----------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
California
- ------------- -----------------------------------------------------------------
NUMBER OF SHARES 7 SOLE VOTING POWER
BENEFICIALLY
OWNED BY 4,017,313 (1)
BY EACH ----------- ---------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH
----------- ---------------------------------------
9 SOLE DISPOSITIVE POWER
4,017,313 (1)
----------- ---------------------------------------
10 SHARED DISPOSITIVE POWER
- --------------------------- ----------- ---------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,017,313 (1)
- ------------- -----------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
/ /
- ------------- -----------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
13.7%
- ------------- -----------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
OO (Limited Liability Company)
- ------------- -----------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION
5
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CUSIP NO. 868-059106 SCHEDULE 13D PAGE 6 OF 8 PAGES
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(1) Pursuant to a Convertible Secured Note, Option and Warrant Purchase
Agreement dated as of June 17, 1997 (the "Original Purchase
Agreement"), a Stock Purchase Agreement dated as of January 29, 1999
(the "Stock Purchase Agreement") and a Secured Promissory Note dated
March 25, 1999 (the "Note"), Tako Ventures, LLC ("Tako") acquired
2,718,683 shares of Common Stock of SuperGen, Inc. (the "Issuer") and
has the right to acquire up to 1,775,000 additional shares of the
Issuer's Common Stock. In connection with the sale of common stock on
March 22, 2000 by the Issuer, Tako sold 476,370 shares of its Common
Stock of the Issuer pursuant to a Registration Statement on Form S-3
under the Securities Act of 1933, as amended. After taking this sale
into account, the Issuer's shares have been issued or are issuable to
Tako in the manner summarized below (which summary is qualified in all
respects by reference to the Agreements and the exhibits thereto):
(i) 2,242,313 shares of the Issuer's Common Stock are
owned by Tako.
(ii) 500,000 shares of the Issuer's Common Stock are
issuable to Tako at a price of $13.50 per share
pursuant to a non-redeemable Warrant ("Warrant No.
1") which was issued to Tako by the Issuer on June
17, 1997. Subject to certain exceptions, Warrant No.
1 is exercisable at any time prior to 5:00 p.m.
(Pacific time) on June 17, 2007.
(iii) 230,000 shares of the Issuer's Common Stock are
issuable to Tako at a price of $10.35 per share
pursuant to a non-redeemable Warrant ("Warrant No.
2"), which was issued to Tako by the Issuer on
January 29, 1999. Subject to certain exceptions,
Warrant No. 2 is exercisable at any time prior to
5:00 p.m. (Pacific time) on June 17, 2007.
(iv) 545,000 shares of the Issuer's Common Stock are
issuable to Tako at a price of $13.50 per share
pursuant to a non-redeemable Warrant ("Warrant No.
3"), which was issued to Tako by the Issuer on
January 29, 1999. Subject to certain exceptions,
Warrant No. 3 is exercisable at any time prior to
5:00 p.m. (Pacific time) on June 17, 2007.
(v) 500,000 shares of the Issuer's Common Stock are
issuable to Tako at a price of $11.00 per share
pursuant to a non-redeemable Warrant ("Warrant No.
4"), which was issued to Tako by the Issuer on March
25, 1999. Subject to certain exceptions, Warrant No.
4 is exercisable at any time prior to 5 p.m. (Pacific
Time) on March 25, 2004.
6
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CUSIP NO. 868-059106 SCHEDULE 13D PAGE 7 OF 8 PAGES
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This Statement constitutes Amendment No. 4 to the Schedule 13D (the
"Schedule 13D") filed jointly by: (1) Tako Ventures, LLC, a California limited
liability company ("Tako"), (2) Cephalopod Corporation, a California corporation
("Cephalopod"), (3) Lawrence Investments, LLC, a California limited liability
company ("Lawrence Investments"), and (4) Lawrence J. Ellison, a natural person,
with respect to Common Stock, par value $.001 per share, of SuperGen, Inc., a
California corporation (the "Issuer"). Only those items which are hereby
reported are amended. All other items remain unchanged. All capitalized items
shall have the meanings assigned to them in the Schedule 13D, as amended to
date, unless otherwise indicated herein.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Item 3 is hereby further amended to add the following paragraph after the third
paragraph thereof.
Since the filing of Amendment No. 3 to Schedule 13D dated March 25,
1999, the Reporting Persons have sold 476,370 shares of Common Stock of
the Company pursuant to a Registration Statement on Form S-3 under the
Securities Act of 1933, as amended, dated March 22, 2000.
ITEM 4. PURPOSE OF TRANSACTION
The second paragraph of Item 4 is hereby amended to add at the end:
The Issuer's outstanding Common Stock decreased by 476,370
shares pursuant to a Registration Statement on Form S-3 under the
Securities Act of 1933, as amended, dated March 22, 2000.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
Item 5 is hereby amended and restated in its entirety as follows:
The Reporting Persons are deemed to have beneficial ownership,
as defined in Rule 13d-3(a), of an aggregate of 4,017,313 shares of the
Issuer's Common Stock, which would represent approximately 13.7% of the
Common Stock that would be outstanding in the event of exercise in full
of the Warrants. The Reporting Persons have sole voting and dispositive
power over 2,242,313 shares of the Issuer's Common Stock acquired upon
conversion of the Convertible Secured Note, exercise of the Option, and
pursuant to the Stock Purchase Agreement. Upon exercise of the
Warrants, the Reporting Persons would have sole voting and dispositive
power over any shares of Common Stock acquired upon such exercise.
7
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CUSIP NO. 868-059106 SCHEDULE 13D PAGE 8 OF 8 PAGES
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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.
Dated: May 16, 2000
--------------------------
TAKO VENTURES, LLC CEPHALOPOD CORPORATION
/s/ Philip B. Simon
---------------------------
By: Cephalopod Corporation, Member By: Philip B. Simon
Its: President
By: /s/ Philip B. Simon
----------------------------
Name: Philip B. Simon
Title: President
LAWRENCE INVESTMENTS, LLC
/s/ Philip B Simon /s/ Lawrence J. Ellison
- ---------------------------- -----------------------------
By: Philip B. Simon Lawrence J. Ellison
8
