Supergen Inc - Post-Effective Amendment to Registration Statement (POS AM)
August 06 2008 - 4:08PM
Edgar (US Regulatory)
As filed with
the Securities and Exchange Commission on August 6, 2008
Registration No. 333-88051
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington,
D.C. 20549
POST-EFFECTIVE AMENDMENT NO. 1 TO
FORM S-3
REGISTRATION
STATEMENT UNDER THE SECURITIES ACT OF 1933
SUPERGEN, INC.
(Exact name of Registrant as specified
in its charter)
Delaware
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94-1841574
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(State or
other jurisdiction of
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(I.R.S.
Employer
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incorporation
or organization)
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Identification
Number)
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4140
Dublin Boulevard
Suite 200
Dublin,
CA 94568
(925)
560-0100
(Address, including zip code, and
telephone number, including area code, of Registrants principal executive
offices)
James
S.J. Manuso
Chief
Executive Officer
SuperGen, Inc.
4140
Dublin Boulevard
Suite 200
Dublin,
CA 94568
(925)
560-0100
(Name, address, including zip code, and
telephone number, including area code, of agent for service)
Copy to:
Page Mailliard, Esq.
Wilson Sonsini Goodrich &
Rosati
Professional Corporation
650 Page Mill Road
Palo Alto, CA 94304-1050
(650) 493-9300
Approximate date of commencement
of proposed sale to the public: Not
applicable
If the
only securities being registered on this Form are being offered pursuant
to dividend or interest reinvestment plans, please check the following
box.
o
If any
of the securities being registered on this Form are to be offered on a
delayed or continuous basis pursuant to Rule 415 under the Securities Act
of 1933, other than securities offered only in connection with dividend or
interest reinvestment plans, check the following box.
o
If
this Form is filed to register additional securities for an offering
pursuant to Rule 462(b) under the Securities Act, please check the
following box and list the Securities Act registration statement number of the
earlier effective registration statement for the same offering.
o
If
this Form is a post-effective amendment filed pursuant to
Rule 462(c) under the Securities Act, check the following box and
list the Securities Act registration statement number of the earlier effective
registration statement for the same offering.
o
If
this Form is a registration statement pursuant to General Instruction I.D.
or a post-effective amendment thereto that shall become effective upon filing
with the Commission pursuant to Rule 462(e) under the Securities Act,
check the following box.
o
If
this Form is a post-effective amendment to a registration statement
pursuant to General Instruction I.D. filed to register additional securities or
additional classes of securities pursuant to Rule 413(b) under the
Securities Act, check the following box.
o
Indicate
by check mark whether the Registrant is a large accelerated filer, an
accelerated filer, a non-accelerated filer, or a smaller reporting company.
(Check one):
Large
accelerated filer
o
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x
Accelerated filer
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o
Non-accelerated
filer
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o
Smaller reporting
company
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(Do not check if a smaller
reporting company)
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RECENT
EVENTS: DEREGISTRATION
On September 29, 1999, SuperGen, Inc. (the Company)
filed a Registration Statement on Form S-3 (Registration No. 333-88051)
(the Registration Statement), pertaining to the registration of 2,014,036
shares of the Companys Common Stock to be sold by certain stockholders of the
Company. On October 12, 1999, the
Securities and Exchange Commission declared the Registration Statement
effective.
The Registration Statement was filed in order to
register shares of the Companys Common Stock and/or shares of the Companys
Common Stock issuable upon exercise of warrants, acquired from the Company in
connection with private placement transactions pursuant to Common Stock and
Warrant Purchase Agreements dated as of August 9, 1999 and August 30,
1999, and a Purchase Agreement and Supplement Agreement dated as of September 15,
1999 and September 23, 1999, respectively.
Pursuant to the Companys undertaking under Item
512(a)(3) of Regulation S-K in connection with the Registration Statement,
the Company agreed to remove from registration, by means of a post-effective
amendment, any of the shares registered which remained unsold at the
termination of the offering. The Company
is requesting removal of any unsold shares from registration because all shares
held by the selling stockholders listed in the Registration Statement (the Selling
Stockholders) would be eligible for sale pursuant to Rule 144 promulgated
under the Securities Act of 1933, as amended (Rule 144), and/or all of
the warrants covered by the Registration Statement have either been exercised
in full or expired unexercised, and any shares of Common Stock acquired
pursuant to the exercise of such warrants and held by the Selling Stockholders
would be eligible for sale pursuant to Rule 144.
Accordingly, the Company
hereby de-registers all remaining unsold shares of its Common Stock registered
pursuant to the Registration Statement and remaining unsold thereunder.
2
SIGNATURES
Pursuant to the
requirements of the Securities Act of 1933, as amended, the registrant
certifies that it has reasonable grounds to believe that it meets all of the
requirements for filing on Form S-3 and has duly caused this registration
statement to be signed on its behalf by the undersigned, thereunto duly
authorized, in the City of Dublin, State of California, on August 6, 2008.
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SUPERGEN,
INC.
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By:
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/s/
JAMES S.J. MANUSO
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James
S.J. Manuso
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Chief
Executive Officer, President and Director
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Pursuant to the requirements of the Securities Act of 1933, as amended, this registration statement has been signed by the following persons in the capacities and on the dates indicated.
Signature
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Title
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Date
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/S/
JAMES S.J. MANUSO
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Chief
Executive Officer, President and
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August 6, 2008
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(James S.J. Manuso)
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Director
(Principal Executive Officer)
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/s/ MICHAEL MOLKENTIN
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Chief
Financial Officer (Principal Financial
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August 6, 2008
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(Michael Molkentin)
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and
Accounting Officer)
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/s/ CHARLES J. CASAMENTO
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Director
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August 6, 2008
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(Charles J. Casamento)
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/s/ THOMAS V. GIRARDI
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Director
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August 6, 2008
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(Thomas V. Girardi)
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/s/ ALLAN R. GOLDBERG
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Director
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August 6, 2008
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(Allan R. Goldberg)
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/s/ WALTER J. LACK
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Director
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August 6, 2008
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(Walter J. Lack)
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/s/ MICHAEL D. YOUNG
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Director
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August 6, 2008
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(Michael D. Young)
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3
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