-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KYvnH9+DLDe59lb24fMdQSvuc/s9BiRTT8eh9zQVXbS0d4aEgaUyx313dbZriNlK 7goATHP+sMXnH03bmu3XiQ== 0000897464-98-000008.txt : 19980129 0000897464-98-000008.hdr.sgml : 19980129 ACCESSION NUMBER: 0000897464-98-000008 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980128 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GALAGEN INC CENTRAL INDEX KEY: 0000889872 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 411719104 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-48559 FILM NUMBER: 98515185 BUSINESS ADDRESS: STREET 1: 4001 LEXINGTON AVE N CITY: ARDEN HILLS STATE: MN ZIP: 55440 BUSINESS PHONE: 6124812105 MAIL ADDRESS: STREET 1: 4001 LEXINGTON AVE NORTH CITY: ARDEN HILLS STATE: MN ZIP: 55126 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PAPPAJOHN JOHN CENTRAL INDEX KEY: 0000897464 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O EQUITY DYNAMICS STREET 2: 2116 FINANCIAL CENTER CITY: DES MOINES STATE: IA ZIP: 50309 MAIL ADDRESS: STREET 1: 2116 FINANCIAL CENTER STREET 2: C/O EQUITY DYNAMICS CITY: DES MOINES STATE: IA ZIP: 50309 SC 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 GALAGEN, INC. (Name of Issuer) Common Stock (Title Class of Securities) 362913105000 (CUSIP Number) Check the following box if a fee is being paid with this statement: / / (1) NAMES OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John Pappajohn ###-##-#### (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / / (b) / / (3) SEC USE ONLY (4) CITIZENSHIP OR PLACE OF ORGANIZATION United States of America NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REAPORTING PERSON WITH: (5) SOLE VOTING POWER 418,368 (6) SHARED VOTING POWER 108,332 (7) SOLE DISPOSITIVE POWER 418,368 (8) SHARED DISPOSITIVE POWER 108,332 (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 526,700 (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES / / (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.22% (12) TYPE OF REPORTING PERSON IN SCHEDULE 13G Item 1 (a). Name of Issuer: GALAGEN, INC. Item 1 (b). Address of Issuer's Principal Executive Offices: 4001 Lexington Avenue North Arden Hills, MN 55126-2998 Item 2 (a). Name of Person Filing: John Pappajohn Item 2 (b). Address of Principal Business Office or, if none, Residence: 2116 Financial Center Des Moines, Iowa 50309 Item 2 (c). Citizenship: U.S.A. Item 2 (d). Title of Class of Securities: Common Stock Item 2 (e). CUSIP Number: 362913105000 Item 3. Not Applicable. Item 4. Ownership: (a) Amount Beneficially Owned: Includes 541 shares issuable under outstanding stock options and 63,672 shares issuable under warrants. Also includes 54,166 shares held of record by Mary Pappajohn, Mr. Pappajohn's wife and 54,166 shares held of record by Thebes, Ltd., of which Mary Pappajohn is the sole owner. Mr. Pappajohn disclaims beneficial ownership of these shares. (b) Percent of Class: 7.22%; based upon 7,299,187 shares actually outstanding, assuming conversion of filers option and warrant shares, as of December 31, 1997. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: See cover item 5. (ii) shared power to vote or to direct the vote: See cover item 6. Consists of 54,166 shares held by Mary Pappajohn, Mr. Pappajohn's wife and 54,166 shares held by Thebes, Ltd., of which Mrs. Pappajohn is the sole owner. Mr. Pappajohn disclaims beneficial ownership of these shares. (iii) sole power to dispose or to direct the disposition of: See cover item 7. (iv) shared power to dispose or to direct the disposition of: See cover item 8. Consists of 54,166 shares held by Mary Pappajohn, Mr. Pappajohn's wife and 54,166 shares held by Thebes, Ltd., of which Mrs. Pappajohn is the sole owner. Mr. Pappajohn disclaims beneficial ownership of these shares. Item 5. Ownership of Five Percent or Less of a Class: Not Applicable. 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. Item 8. Identification and Classification of Members of the Group: Not Applicable. Item 9. Notice of Dissolution of Group: Not Applicable. Item 10. Certification: Not Applicable. Note: All information in the Schedule 13G is as of December 31, 1997 unless otherwise noted. After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this Statement is true, complete and correct. Dated: January 27, 1998 /s/ John Pappajohn - ------------------- John Pappajohn -----END PRIVACY-ENHANCED MESSAGE-----