Schedule 13G Page 1 of 6
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. )*
Introgen Therapeutics, Inc.
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(Name of Issuer)
Common Stock, $0.001 par value
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(Title of Class of Securities)
46119F 10 7
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(CUSIP Number)
December 31, 2001
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(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[X] Rule 13d-1(d)
Schedule 13G Page 2 of 6
CUSIP No. 46119F 10 7
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1. Names of Reporting Persons. I.R.S. Identification Nos. of
above persons (entities only).
EJ Financial Enterprises, Inc.
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [X]
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(b) [ ]
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3. SEC Use Only
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4. Citizenship or Place of Organization Delaware
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Number of Shares 5. Sole Voting Power 383,888*
Beneficially -----------------------------
Owned by --------------------------------------------------------
Each 6. Shared Voting Power 0
Reporting ----------------------------
Person With --------------------------------------------------------
7. Sole Dispositive Power 383,888*
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8. Shared Dispositive Power 0
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9. Aggregate Amount Beneficially Owned by Each Reporting Person 383,888*
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
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11. Percent of Class Represented by Amount in Row (9) 1.8%
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12. Type of Reporting Person (See Instructions)
CO
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Schedule 13G Page 3 of 6
CUSIP No. 46119F 10 7
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1. Names of Reporting Persons. I.R.S. Identification Nos. of above
persons (entities only).
EJ Financial/Introgen Management, L.P.
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [X]
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(b) [ ]
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3. SEC Use Only
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4. Citizenship or Place of Organization Delaware
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Number of Shares 5. Sole Voting Power 3,099,067*
Beneficially -----------------------------
Owned by --------------------------------------------------------
Each 6. Shared Voting Power 0
Reporting ----------------------------
Person With --------------------------------------------------------
7. Sole Dispositive Power 3,099,067*
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8. Shared Dispositive Power 0
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9. Aggregate Amount Beneficially Owned by Each Reporting Person 3,099,067*
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10. Check if the Aggregate Amount in Row (9) Excludes Certain
Shares (See Instructions)
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11. Percent of Class Represented by Amount in Row (9) 14.5%
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12. Type of Reporting Person (See Instructions)
PN
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* Voting and dispositive power held by Dr. John N. Kapoor, Ph.D., by virtue of
his position as the chairman of the board of directors of EJ Financial
Enterprises, Inc., and his position as the chairman of the board of directors
and president of Pharma Nevada, Inc., which in turn is the general partner of EJ
Financial/Introgen Management, L.P.
Schedule 13G Page 4 of 6
ITEM 1.
(a) Introgen Therapeutics, Inc., a Delaware corporation
(b) 301 Congress Ave., Suite 1850, Austin, TX 78701
ITEM 2.
(a) EJ Financial Enterprises, Inc.
EJ Financial/Introgen Management, L.P.
Dr. John N. Kapoor, Ph.D., is the chairman of the board of
directors of EJ Financial Enterprises, Inc., and is the chairman
of the board of directors and president of Pharma Nevada, Inc.,
which in turn is the general partner of EJ Financial/Introgen
Management, L.P.
(b) 225 E. Deerpath Rd., Suite 250, Lake Forest IL 60045
(c) USA
(d) Common Stock, par value $0.001 per share
(e) 46119F 10 7
ITEM 3. NOT APPLICABLE
ITEM 4. OWNERSHIP
(a) Amount beneficially owed: 3,482,955
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(b) Percent of class: 16.2%
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(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote 3,482,955*
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(ii) Shared power to vote or to direct the vote 0
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(iii) Sole power to dispose or to direct the
disposition of 3,482,955*
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(iv) Shared power to dispose or to direct
the disposition of 0
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*Voting and dispositive power held by Dr. John N. Kapoor, Ph.D., the
chairman of the board of directors of EJ Financial Enterprises, Inc., and
the chairman of the board of directors and president of Pharma Nevada,
Inc., which in turn is the general partner of EJ Financial/Introgen
Management, L.P.
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
Schedule 13G Page 5 of 6
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
EJ Financial Enterprises, Inc.
EJ Financial/Introgen Management, L.P.
Dr. John N. Kapoor, Ph.D., is the chairman of the board of directors of
EJ Financial Enterprises, Inc., and is the chairman of the board of
directors and president of Pharma Nevada, Inc., which in turn is the
general partner of EJ Financial/Introgen Management, L.P.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
NOT APPLICABLE
ITEM 10. CERTIFICATION
(a) Not applicable.
(b) Not applicable
Schedule 13G Page 6 of 6
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify
that the information set forth in this statement is true, complete and correct.
EJ Financial Enterprises, Inc.
February 5, 2002
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Date
/s/ JOHN N. KAPOOR, PH.D.
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Signature
JOHN N. KAPOOR, PH.D., PRESIDENT
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Name/Title
EJ Financial/Introgen Management, L.P.
February 5, 2002
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Date
/s/ JOHN N. KAPOOR, PH.D.
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Signature
JOHN N. KAPOOR, PH.D., PRESIDENT, PHARMA
NEVADA, INC., ITS GENERAL PARTNER
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Name/Title
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL
CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)