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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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SCHEDULE 13G
(RULE 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b) AND (c) AND AMENDMENTS THERETO FILED
PURSUANT TO 13d-2(b)
(AMENDMENT NO. 2)(1)
PHARMACYCLICS, INC.
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(NAME OF ISSUER)
COMMON STOCK
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(TITLE OF CLASS OF SECURITIES)
716933 10 6
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(CUSIP NUMBER)
(CONTINUED ON FOLLOWING PAGE(S))
(PAGE 1 OF 11 PAGES)
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(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).
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CUSIP NO. 716933 10 6 13G Page 2 of 11 Pages
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
RICHARD A. MILLER
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5 SOLE VOTING POWER
NUMBER 222,067 SHARES OF COMMON STOCK ISSUABLE UPON
OF EXERCISE OF STOCK OPTIONS
SHARES -----------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 305,676 SHARES, INCLUDES 279,008 SHARES HELD
EACH DIRECTLY BY THE MILLER-HORNING FAMILY TRUST OF
REPORTING WHICH RICHARD A. MILLER AND SANDRA J. HORNING
PERSON ARE THE SOLE TRUSTEES
WITH -----------------------------------------------------------
7 SOLE DISPOSITIVE POWER
222,067 SHARES OF COMMON STOCK ISSUABLE UPON
EXERCISE OF STOCK OPTIONS
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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
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
222,067 SHARES OF COMMON STOCK ISSUABLE UPON EXERCISE OF STOCK
OPTIONS
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
2.18% AS OF DECEMBER 31, 1997
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP NO. 716933 10 6 13G Page 3 of 11 Pages
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
MILLER-HORNING FAMILY TRUST
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5 SOLE VOTING POWER
NUMBER 279,008 SHARES OF COMMON STOCK OF WHICH RICHARD
OF A. MILLER AND SANDRA J. HORNING ARE THE SOLE
SHARES TRUSTEES AND MAY BE DEEMED TO HAVE SHARED POWER
BENEFICIALLY TO VOTE THE SHARES
OWNED BY ----------------------------------------------------------
EACH 6 SHARED VOTING POWER
REPORTING SEE RESPONSE TO ROW 5
PERSON ----------------------------------------------------------
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
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8 SHARED DISPOSITIVE POWER
SEE RESPONSE TO ROW 7
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
279,008 SHARES OF COMMON STOCK
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
2.73% AS OF DECEMBER 31, 1997
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12 TYPE OF REPORTING PERSON*
OO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP NO. 716933 10 6 13G Page 4 of 11 Pages
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
JORDAN ANDREW MILLER TRUST
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5 SOLE VOTING POWER
NUMBER 13,334 SHARES OF COMMON STOCK OF WHICH MICHAEL
OF J. MILLER IS THE SOLE TRUSTEE AND MAY BE DEEMED
SHARES TO HAVE INDIVIDUAL POWER TO VOTE THE SHARES
BENEFICIALLY ----------------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH SEE RESPONSE TO ROW 5
REPORTING ----------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH 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
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8 SHARED DISPOSITIVE POWER
SEE RESPONSE TO ROW 7
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
13,334 SHARES OF COMMON STOCK
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.13% AS OF DECEMBER 31, 1997
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12 TYPE OF REPORTING PERSON*
OO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP NO. 716933 10 6 13G Page 5 of 11 Pages
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
JARED DAVID MILLER TRUST
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5 SOLE VOTING POWER
NUMBER 13,334 SHARES OF COMMON STOCK OF WHICH MICHAEL
OF J. MILLER IS THE SOLE TRUSTEE AND MAY BE DEEMED
SHARES TO HAVE INDIVIDUAL POWER TO VOTE THE SHARES
BENEFICIALLY ----------------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH SEE RESPONSE TO ROW 5
REPORTING ----------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH 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
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8 SHARED DISPOSITIVE POWER
SEE RESPONSE TO ROW 7
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
13,334 SHARES OF COMMON STOCK
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.13% AS OF DECEMBER 31, 1997
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12 TYPE OF REPORTING PERSON*
OO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP NO. 716933 10 6 13G Page 6 of 11 Pages
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
SANDRA J. HORNING
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5 SOLE VOTING POWER
NUMBER 0 SHARES OF COMMON STOCK
OF ----------------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY 279,008 SHARES HELD DIRECTLY BY THE
OWNED BY MILLER-HORNING FAMILY TRUST OF WHICH SANDRA J.
EACH HORNING IS ONE OF THE SOLE TRUSTEES
REPORTING ----------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER
WITH 0 SHARES
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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
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0 SHARES OF COMMON STOCK
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0% AS OF DECEMBER 31, 1997
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP NO. 716933 10 6 13G Page 7 of 11 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
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(2) Dr. Miller is the President and Chief Executive Officer of Issuer.
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CUSIP NO. 716933 10 6 13G Page 8 of 11 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:
(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 Advisor 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
13d-1(b)(1)(ii)(F),
(g) [ ] Parent Holding Company, in accordance with
Rule 13d-1(b)(ii)(G); see Item 7,
(h) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(H).
Not Applicable.
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CUSIP NO. 716933 10 6 13G Page 9 of 11 Pages
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.
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
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.
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CUSIP NO. 716933 10 6 13G Page 10 of 11 Pages
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.
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CUSIP NO. 716933 10 6 13G Page 11 of 11 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 17, 1998
/s/ RICHARD A. MILLER
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Richard A. Miller
/s/ SANDRA J. HORNING
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Sandra J. Horning
MILLER-HORNING FAMILY TRUST
By: /s/ RICHARD A. MILLER
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Title: Trustee
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JORDAN ANDREW MILLER TRUST
By: /s/ MICHAEL J. MILLER
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Title: Trustee
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JARED DAVID MILLER TRUST
By: /s/ MICHAEL J. MILLER
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Title: Trustee
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