SEC Form 5 · accession 0001209191-15-013809
PHARMACYCLICS INC · PCYC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert W Duggan
Officer — Chairman and CEO · Director · 10% Owner
Period of report
Dec 31, 2014
Accepted (ET)
Feb 13, 2015 · 6:18 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000949699
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 14, 2014 | G | 37,926 | $0.00 | D | 13,453,452 | D | |
| Common Stock | Sep 4, 2014 | G | 5,413 | $0.00 | D | 13,448,039 | D | |
| Common Stock | Sep 8, 2014 | G | 5,450 | $0.00 | D | 13,442,589 | D | |
| Common Stock | Sep 12, 2014 | G | 1,000 | $0.00 | D | 13,441,589 | D | |
| Common Stock | Sep 15, 2014 | G | 10,000 | $0.00 | D | 13,431,589 | D | |
| Common Stock | Sep 16, 2014 | G | 7,000 | $0.00 | D | 13,424,589 | D | |
| Common Stock | Nov 13, 2014 | G | 1,504 | $0.00 | D | 13,423,085 | D | |
| Common Stock | Nov 18, 2014 | G | 2,000 | $0.00 | D | 13,421,085 | D | |
| Common Stock | Nov 19, 2014 | G | 35,517 | $0.00 | D | 13,385,568 | D | |
| Common Stock | Dec 3, 2014 | G | 2,000 | $0.00 | D | 13,383,568 | D | |
| Common StockF1 | Dec 4, 2014 | G | 617 | $0.00 | D | 13,382,951 | D | |
| Common StockF11 | Dec 5, 2014 | J | 200,740 | $0.00 | D | 170,379 | I | Managed Accounts |
| Common StockF2,F3 | holding | — | — | — | 21,908 | I | By Trust | |
| Common StockF3,F4 | holding | — | — | — | 21,908 | I | By Trust | |
| Common StockF3,F5 | holding | — | — | — | 21,908 | I | By Trust | |
| Common StockF3,F6 | holding | — | — | — | 21,908 | I | By Trust | |
| Common StockF3,F7 | holding | — | — | — | 21,908 | I | By Trust | |
| Common StockF3,F8 | holding | — | — | — | 21,908 | I | By Trust | |
| Common StockF3,F9 | holding | — | — | — | 30,312 | I | By Trust | |
| Common StockF3 | holding | — | — | — | 8,404 | I | By Child | |
| Common StockF3 | holding | — | — | — | 8,404 | I | By Child | |
| Common StockF3 | holding | — | — | — | 8,404 | I | By Child | |
| Common StockF3 | holding | — | — | — | 8,404 | I | By Child | |
| Common StockF3 | holding | — | — | — | 8,404 | I | By Child |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes (i) 1,020,756 shares owned by Mr. Duggan's spouse; (ii) 5,421 shares owned by Blazon Corp. ("Blazon"), as the sole stockholder of Blazon, Mr. Duggan may be deemed to beneficially own the shares owned by Blazon; (iii) 308,784 shares owned by MultiAccess Computing Corp. ("MultiAccess"), as the sole stockholder of MultiAccess, Mr. Duggan may be deemed to beneficially own the shares owned by MultiAccess,; (iv) 161,760 shares held in irrevocable trusts for the benefit of Mr. Duggan's children (for which neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees) as additionally individually listed in the boxes below and as further described in footnotes 2 through 9; and (v) 42,020 shares directly owned by certain of Mr. Duggan's children as additionally individually listed in the boxes below. Mr. Duggan disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- F10Shares previously held in managed accounts pursuant to agreements with Robert W. Duggan & Associates ("RWD&A"). Such shares have been returned to clients of RWD&A pursuant to terms of those agreements. Accordingly, the Reporting Person is no longer deemed to beneficially own such shares.
- F11Shares held in managed accounts pursuant to agreements with Robert W. Duggan & Associates ("RWD&A"), of which Robert W. Duggan is a principal. Mr. Duggan disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein.
- F2Shares directly owned by David Michael Duggan Trust, an irrevocable trust. Neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees of the David Michael Duggan Trust.
- F3Mr. Duggan disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein.
- F4Shares directly owned by Daniel Douglas Duggan Trust, an irrevocable trust. Neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees of the Daniel Douglas Duggan Trust.
- F5Shares directly owned by Dylan Duke Duggan Trust, an irrevocable trust. Neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees of the Dylan Duke Duggan Trust.
- F6Shares directly owned by Diamond Augustus Duggan Trust, an irrevocable trust. Neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees of the Diamond Augustus Duggan Trust.
- F7Shares directly owned by Dante Eon Duggan Trust, an irrevocable trust. Neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees of the Dante Eon Duggan Trust.
- F8Shares directly owned by Dsara Ann Duggan Trust, an irrevocable trust. Neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees of the Dsara Ann Duggan Trust.
- F9Shares directly owned by Diana Star Duggan Trust, an irrevocable trust. Neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees of the Diana Star Duggan Trust.