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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. 5)*
SuperGen, Inc.
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(Name of Issuer)
Common Stock, $.001 par value
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(Title of Class of Securities)
868-059106
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(CUSIP Number)
Pamela B. Burke
Gray Cary Ware & Freidenrich LLP
139 Townsend Street, Suite 400
San Francisco, CA 94107-1922
(415) 836-2500
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(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
October 6, 2000
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(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
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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*
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 3,363,413 (1)
BY EACH ----------------------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH ----------------------------------------------------
9 SOLE DISPOSITIVE POWER
3,363,413 (1)
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10 SHARED DISPOSITIVE POWER
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,363,413 (1)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
/ /
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.6%
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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
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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
California
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NUMBER OF SHARES 7 SOLE VOTING POWER
BENEFICIALLY
OWNED BY 3,363,413 (1)
BY EACH ----------------------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH ----------------------------------------------------
9 SOLE DISPOSITIVE POWER
3,363,413 (1)
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10 SHARED DISPOSITIVE POWER
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,363,413 (1)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES)
(See Instructions)
/ /
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.6%
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14 TYPE OF REPORTING PERSON (See Instructions)
IN
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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
3
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CUSIP NO. 868-059106 SCHEDULE 13D PAGE 4 OF 8 PAGES
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1 NAME OF REPORTING PERSON
S. S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Cephalopod Corporation
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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
California
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NUMBER OF SHARES 7 SOLE VOTING POWER
BENEFICIALLY
OWNED BY 3,363,413 (1)
BY EACH ----------------------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH ----------------------------------------------------
9 SOLE DISPOSITIVE POWER
3,363,413 (1)
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10 SHARED DISPOSITIVE POWER
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,363,413 (1)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES
(See Instructions)
/ /
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.6%
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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
--------------------------------------------------------------------------------
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 3,363,413 (1)
BY EACH ----------------------------------------------------
REPORTING 8 SHARED VOTING POWER
PERSON
WITH ----------------------------------------------------
9 SOLE DISPOSITIVE POWER
3,363,413 (1)
----------------------------------------------------
10 SHARED DISPOSITIVE POWER
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,363,413 (1)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES (See Instructions)
/ /
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.6%
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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
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,
representing in the aggregate approximately 19.6% of the Common Stock of
Issuer (based on the Issuer's capitalization as of March 31, 1999 and
giving effect to the acquisition of all such shares). In connection with
the sale of Common Stock on March 22, 2000 by the Company, Tako 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. As
of October 6, 2000, Tako sold an additional 338,900 shares of Common
Stock resulting in a one percent (1%) decrease in Tako's ownership in
the Company. As of November 7, 2000, Tako sold an additional 315,000
shares of Common Stock of the Company. 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) 1,588,413 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 5:00 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. 4 to Schedule 13D dated March 22, 2000,
the Reporting Persons have sold 653,900 shares of Common Stock of the
Company.
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 owned by the Reporting Person
decreased by an additional 653,900 shares from July 17, 2000 through
November 7, 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 3,363,413 shares of the
Issuer's Common Stock, which would represent approximately 9.6% 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 1,588,413 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 7 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: December 19, 2000
TAKO VENTURES, LLC CEPHALOPOD CORPORATION
/s/ Philip B. Simon
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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. Ellilson
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By: Philip B. Simon Lawrence J. Ellison
8
