<PAGE> 1
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. 1) (1)
PHARMACYCLICS, INC.
-----------------------------------------
(Name of Issuer)
COMMON STOCK
-----------------------------------------
(Title of Class of Securities)
716933 10 6
-----------------------------------------
(CUSIP Number)
(CONTINUED ON FOLLOWING PAGE(S))
(Page 1 of 10 Pages)
(1) 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 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).
<PAGE> 2
CUSIP No. 716933 10 6 13G PAGE 2 OF 10 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Richard A. Miller
- --------------------------------------------------------------------------------
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
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER
220,000 shares of Common Stock issuable upon
exercise of stock options
NUMBER OF ----------------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY 305,676 shares, includes 279,008 shares held
OWNED BY directly by the Miller-Horning Family Trust of
EACH which Richard A. Miller and Sandra J. Horning
REPORTING are the sole Trustees
PERSON ----------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
220,000 shares of Common Stock issuable upon
exercise of stock options
----------------------------------------------------------
8 SHARED DISPOSITIVE POWER
305,676 shares, includes 279,008 shares held
directly by the Miller-Horning Family Trust of
which Richard A. Miller and Sandra J. Horning
are the sole Trustees
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
220,000 shares of Common Stock issuable upon exercise of stock options
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
2.35% as of December 31, 1996
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE> 3
CUSIP No. 716933 10 6 13G PAGE 3 OF 10 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Miller-Horning Family Trust
- --------------------------------------------------------------------------------
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
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 279,008 shares of Common Stock of which Richard
SHARES A. Miller and Sandra J. Horning are the sole
BENEFICIALLY Trustees and may be deemed to have shared
OWNED BY power to vote the shares
EACH ----------------------------------------------------------
REPORTING 6 SHARED VOTING POWER
PERSON See response to row 5
WITH ----------------------------------------------------------
7 SOLE DISPOSITIVE POWER
279,008 shares of Common Stock of which Richard
A. Miller and Sandra J. Horning are the sole
Trustees and may be deemed to have shared power
to vote the shares
----------------------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
279,008 shares of Common Stock
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
2.98% as of December 31, 1996
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
00
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE> 4
CUSIP No. 716933 10 6 13G PAGE 4 OF 10 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Jordon Andrew Miller Trust
- --------------------------------------------------------------------------------
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
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 13,334 shares of Common Stock of which Michael J.
SHARES Miller is the sole Trustee and may be deemed to
BENEFICIALLY have individual power to vote the shares
OWNED BY
EACH ----------------------------------------------------------
REPORTING 6 SHARED VOTING POWER
PERSON See response to row 5
WITH ----------------------------------------------------------
7 SOLE DISPOSITIVE POWER
13,334 shares of Common Stock of which Michael
J. Miller is the sole Trustee and may be deemed
to have individual power to vote the shares
----------------------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
13,334 shares of Common Stock
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.15% as of December 31, 1996
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE> 5
CUSIP No. 716933 10 6 13G PAGE 5 OF 10 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Jared David Miller Trust
- --------------------------------------------------------------------------------
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
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 13,334 shares of Common Stock of which Michael J.
SHARES Miller is the sole Trustee and may be deemed to
BENEFICIALLY have individual power to vote the shares
OWNED BY
EACH ----------------------------------------------------------
REPORTING 6 SHARED VOTING POWER
PERSON See response to row 5
WITH ----------------------------------------------------------
7 SOLE DISPOSITIVE POWER
13,334 shares of Common Stock of which Michael
J. Miller is the sole Trustee and may be deemed
to have individual power to vote the shares
----------------------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
13,334 shares of Common Stock
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.15% as of December 31, 1996
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
OO
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE> 6
CUSIP No. 716933 10 6 13G PAGE 6 OF 10 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Sandra J. Horning
- --------------------------------------------------------------------------------
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
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 0 shares of Common Stock
SHARES ---------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 279,008 shares held directly by the Miller-Horning
EACH Family Trust of which Sandra J. Horning is one of
REPORTING of the sole Trustees
PERSON ----------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
0 shares
----------------------------------------------------------
8 SHARED DISPOSITIVE POWER
279,008 shares held directly by the Miller-
Horning Family Trust of which Sandra J. Horning
is one of the sole Trustees
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 shares of Common Stock
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0% as of December 31, 1996
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE> 7
CUSIP NO. 716933 10 6 13G Page 7 of 10 Pages
ITEM 1(a) Name of Issuer:
Pharmacyclics, Inc.
ITEM 1(b) Address of Issuer's Principal Executive Offices:
995 East Arques Avenue
Sunnyvale, CA 94086
ITEM 2(a) Name of Person Filing:
This statement is filed by Richard A. Miller(2), Sandra J. Horning,
Miller-Horning Family Trust, Jordan Andrew Miller Trust and
Jared David Miller Trust sometimes collectively referred to as
the "Reporting Persons."
The Reporting Persons may be deemed to be a "group" for the
purposes of Sections 13(d) and 13(g) of the Securities Exchange Act
of 1934 and the rules thereunder (the "Act"), although each
expressly disclaims any assertion or presumption that it or any of
the other persons on whose behalf this statement is filed
constitutes a "group." The filing of this Statement and the
Agreement attached as Exhibit 1 hereto should not be construed to
be an admission that any of the Reporting Persons is a member of a
"group" consisting of one or more persons.
ITEM 2(b) Address of Principal Business Office or, if none, Residence:
995 East Arques Avenue
Sunnyvale, CA 94086
ITEM 2(c) Citizenship:
United States
(2) Dr. Miller is the President and Chief Executive Officer of Issuer.
<PAGE> 8
CUSIP NO. 716933 10 6 13G Page 8 of 10 Pages
ITEM 2(d) Title of Class of Securities:
Common Stock
ITEM 2(e) CUSIP Number:
716933 10 6
ITEM 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b),
check whether the person filing is a:
Not Applicable
ITEM 4. Ownership.
(a) Amount Beneficially Owned: See Row 9 of cover page for each
individual or entity.
(b) Percent of Class: See Row 11 of cover page for each
individual or entity.
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote: See Row 5
of cover page for each individual or entity.
(ii) shared power to vote or to direct the vote: See Row 6
of cover page for each individual or entity.
(iii) sole power to dispose or to direct the disposition
of: See Row 7 of cover page for each individual or
entity.
(iv) shared power to dispose or to direct the disposition
of: See Row 8 of cover page for each individual or
entity.
<PAGE> 9
CUSIP NO. 716933 10 6 13G Page 9 of 10 Pages
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
The Reporting Person may be deemed to be a "group" for the purposes
of Section 13(d) and 13(g) of the Act and the rules thereunder,
although each expressly disclaims any assertion or presumption that
it or the other persons on whose behalf this statement is filed
constitutes a "group." The filing of this statement should not be
construed to be an admission that any of the Reporting Persons is a
member of a "group" consisting of one or more persons.
ITEM 9. Notice of Dissolution of Group.
Not Applicable.
ITEM 10. Certification.
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired in the
ordinary course of business and were not acquired for the purpose
of and do not have the effect of changing or influencing the
control of the issuer of such securities and were not acquired in
connection with or as a participant in any transaction having such
purposes or effect.
<PAGE> 10
CUSIP NO. 716933 10 6 13G Page 10 of 10 Pages
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.
Date: February 5, 1997
/s/ RICHARD A. MILLER
---------------------
Richard A. Miller
/s/ SANDRA J. HORNING
---------------------
Sandra J. Horning
MILLER-HORNING FAMILY TRUST
By: /s/ RICHARD A. MILLER
---------------------
Title: Trustee
------------------
JORDAN ANDREW MILLER TRUST
By: /s/ MICHAEL J. MILLER
---------------------
Title: TTEE
------------------
JARED DAVID MILLER TRUST
By: /s/ MICHAEL J. MILLER
---------------------
Title: TTEE
------------------
<PAGE> 11
Exhibit 1
AGREEMENT RELATING TO JOINT FILING
OF SCHEDULE 13G
The undersigned hereby agree that a single Schedule 13G (or any
amendment thereto) relating to the Common Stock of Pharmacyclics, Inc. shall be
filed on behalf of each of the undersigned and that this Agreement shall be
filed as an exhibit to such Schedule 13G.
Date: February 5, 1997
/s/ RICHARD A. MILLER
---------------------
Richard A. Miller
/s/ SANDRA J. HORNING
---------------------
Sandra J. Horning
MILLER-HORNING FAMILY TRUST
By: /s/ RICHARD A. MILLER
---------------------
Title: Trustee
------------------
JORDAN ANDREW MILLER TRUST
By: /s/ MICHAEL J. MILLER
---------------------
Title: TTEE
------------------
JARED DAVID MILLER TRUST
By: /s/ MICHAEL J. MILLER
---------------------
Title: TTEE
------------------
