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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Supergen, Inc. (MM) | NASDAQ:SUPG | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 2.03 | 0 | 01:00:00 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
Buckland Martin |
2. Issuer Name
and
Ticker or Trading Symbol
SUPERGEN INC [ SUPG ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) Chief Business Officer |
C/O ASTEX, 436 CAMBRIDGE SCIENCE PARK MILTON ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
CAMBRIDGE, X0 CB4 0QA |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
|||||||||||||||
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to buy) | $0.70 | 7/20/2011 | A | 52384 | 7/20/2011 | 9/30/2014 | Common Stock | 52384 | (1) | 52384 | D | ||||
Employee Stock Option (Right to buy) | $0.84 | 7/20/2011 | A | 26192 | 7/20/2011 | 12/1/2015 | Common Stock | 26192 | (2) | 26192 | D | ||||
Employee Stock Option (Right to buy) | $0.87 | 7/20/2011 | A | 19644 | 7/20/2011 | 12/1/2016 | Common Stock | 19644 | (3) | 19644 | D | ||||
Employee Stock Option (Right to buy) | $0.73 | 7/20/2011 | A | 26192 | (5) | 6/24/2018 | Common Stock | 26192 | (4) | 26192 | D | ||||
Employee Stock Option (Right to buy) | $0.79 | 7/20/2011 | A | 32085 | (7) | 6/22/2019 | Common Stock | 32085 | (6) | 32085 | D | ||||
Employee Stock Option (Right to buy) | $0.92 | 7/20/2011 | A | 98220 | (9) | 5/28/2020 | Common Stock | 98220 | (8) | 98220 | D |
Explanation of Responses: | |
( 1) | Received in connection with the business combination (the "Business Combination") between the Issuer and Astex Therapeutics Limited ("Astex"), in exchange for a stock option granted September 30, 2004 to acquire 40,000 shares of Astex common stock for 0.57 British Pounds Sterling. |
( 2) | Received in connection with the Business Combination between the Issuer and Astex, in exchange for a stock option granted December 1, 2005 to acquire 20,000 shares of Astex common stock for 0.68 British Pounds Sterling. |
( 3) | Received in connection with the Business Combination between the Issuer and Astex, in exchange for a stock option granted December 1, 2006 to acquire 15,000 shares of Astex common stock for 0.71 British Pounds Sterling. |
( 4) | Received in connection with the Business Combination between the Issuer and Astex, in exchange for a stock option granted June 24, 2008 to acquire 20,000 shares of Astex common stock for 0.59 British Pounds Sterling. |
( 5) | The option is vested as to 19,644 shares as of the July 20, 2011 date of grant. The original, pre-Business Combination vesting schedule continues, which original vesting schedule provided for vesting as to 1/4 of the shares on June 24, 2009 and as to 1/48th of the shares on each one month anniversary thereafter. |
( 6) | Received in connection with the Business Combination between the Issuer and Astex, in exchange for a stock option granted June 22, 2009 to acquire 24,500 shares of Astex common stock for 0.64 British Pounds Sterling. |
( 7) | The option is vested as to 16,043 shares as of the July 20, 2011 date of grant. The original, pre-Business Combination vesting schedule continues, which original vesting schedule provided for vesting as to 1/4 of the shares on June 22, 2010 and as to 1/48th of the shares on each one month anniversary thereafter. |
( 8) | Received in connection with the Business Combination between the Issuer and Astex, in exchange for a stock option granted May 28, 2010 to acquire 75,000 shares of Astex common stock for 0.75 British Pounds Sterling. |
( 9) | The option is vested as to 26,601 shares as of the July 20, 2011 date of grant. The original, pre-Business Combination vesting schedule continues, which original vesting schedule provided for vesting as to 1/4 of the shares on May 28, 2011 and as to 1/48th of the shares on each one month anniversary thereafter. |
Reporting Owners
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Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
Buckland Martin
C/O ASTEX 436 CAMBRIDGE SCIENCE PARK MILTON ROAD CAMBRIDGE, X0 CB4 0QA |
|
|
Chief Business Officer |
|
Signatures
|
||
/s/ Martin Buckland | 7/22/2011 | |
** Signature of Reporting Person |
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
Persons who 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. |
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