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- Statement of Changes in Beneficial Ownership (4)

Date : 07/22/2011 @ 7:52PM
Source : Edgar (US Regulatory)
Stock : Supergen, Inc. (MM) (SUPG)
Quote : 2.03  0.0 (0.00%) @ 2:05AM
Supergen, Inc. (MM) share price Chart

- Statement of Changes in Beneficial Ownership (4)

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
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OMB Number: 3235-0287
Expires: February 28, 2011
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
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
(Last)          (First)          (Middle)

C/O ASTEX, 436 CAMBRIDGE SCIENCE PARK MILTON ROAD
3. Date of Earliest Transaction (MM/DD/YYYY)

7/20/2011
(Street)

CAMBRIDGE, X0 CB4 0QA
(City)        (State)        (Zip)
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
Reporting Owner Name / Address
Relationships
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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