UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 1)
CANCERVAX CORPORATION
(Name of Issuer)
COMMON STOCK, PAR VALUE $0.00004 PER SHARE
(Title of Class of Securities)
13738Y107
(CUSIP Number)
DECEMBER 31, 2003
(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)
[X] Rule 13d-1(c)
[ ] Rule 13d-1(d)
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CUSIP No. 13738Y108 13G Page 2 of 10 Pages
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
DONALD L. MORTON, M.D.
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2 CHECK THE APPROPRIATE BOX IF MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
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NUMBER OF 5 SOLE VOTING POWER
4,533,443
SHARES --------------------------------------------------------------
6 SHARED VOTING POWER
BENEFICIALLY 648,039 (1)
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OWNED BY EACH 7 SOLE DISPOSITIVE POWER
4,533,443
REPORTING --------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
PERSON WITH 648,039 (1)
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
5,181,482 (1)
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) [ ]
EXCLUDES CERTAIN SHARES*
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
18.6% (2)
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
(1) 648,039 Shares owned by Donald L. Morton, M.D., Grantor Retained Annuity
Trust, dated September 6, 2002, for which Dr. Morton disclaims beneficial
ownership.
(2) Based on 27,807,963 shares of common stock outstanding.
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CUSIP No. 13738Y108 13G Page 3 of 10 Pages
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
DONALD L. MORTON FAMILY TRUST DATED JUNE 2, 1989, DONALD L.
MORTON TRUSTEE
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2 CHECK THE APPROPRIATE BOX IF MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA, UNITED STATES
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NUMBER OF 5 SOLE VOTING POWER
4,533,443
SHARES --------------------------------------------------------------
6 SHARED VOTING POWER
BENEFICIALLY 648,039 (1)
--------------------------------------------------------------
OWNED BY EACH 7 SOLE DISPOSITIVE POWER
4,533,443
REPORTING --------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
PERSON WITH 648,039 (1)
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
5,181,482 (1)
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) [ ]
EXCLUDES CERTAIN SHARES*
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
18.6% (2)
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12 TYPE OF REPORTING PERSON*
OO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
(1) 648,039 Shares owned by Donald L. Morton, M.D., Grantor Retained Annuity
Trust, dated September 6, 2002, for which the Reporting Person disclaims
beneficial ownership.
(2) Based on 27,807,963 shares of common stock outstanding.
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CUSIP No. 13738Y108 13G Page 4 of 10 Pages
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
ONCOVAC, INC., A CALIFORNIA CORPORATION
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2 CHECK THE APPROPRIATE BOX IF MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA, UNITED STATES
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NUMBER OF 5 SOLE VOTING POWER
98,814
SHARES --------------------------------------------------------------
6 SHARED VOTING POWER
BENEFICIALLY NONE
--------------------------------------------------------------
OWNED BY EACH 7 SOLE DISPOSITIVE POWER
98,814
REPORTING --------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
PERSON WITH NONE
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
98,814
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) [ ]
EXCLUDES CERTAIN SHARES*
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
.4 % (1)
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12 TYPE OF REPORTING PERSON*
CO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
(1) Based on 27,807,963 shares of common stock outstanding.
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CUSIP No. 13738Y108 13G Page 5 of 10 Pages
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
DONALD L. MORTON, M.D., GRANTOR RETAINED ANNUITY TRUST DATED
SEPTEMBER 6, 2002
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2 CHECK THE APPROPRIATE BOX IF MEMBER OF A GROUP* (a) [ ]
(b) [ ]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA, UNITED STATES
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NUMBER OF 5 SOLE VOTING POWER
648,039
SHARES --------------------------------------------------------------
6 SHARED VOTING POWER
BENEFICIALLY NONE
--------------------------------------------------------------
OWNED BY EACH 7 SOLE DISPOSITIVE POWER
648,039
REPORTING --------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
PERSON WITH NONE
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
719,849
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) [ ]
EXCLUDES CERTAIN SHARES*
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.3% (1)
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12 TYPE OF REPORTING PERSON*
OO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
(1) 648,039 Shares owned by Donald L. Morton, M.D., Grantor Retained Annuity
Trust, dated September 6, 2002, for which the Reporting Person disclaims
beneficial ownership.
(2) Based on 27,807,963 shares of common stock outstanding.
CUSIP No. 13738Y107
ITEM 1(a). NAME OF ISSUER:
CancerVax Corporation
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
2110 Rutherford Road, Carlsbad, California 92008
ITEM 2(a). NAME OF PERSON FILING:
This Schedule 13G is being filed by the following persons:
(i) Donald L. Morton, M.D.
(ii) Donald L. Morton Family Trust dated June 2, 1989
(iii) Donald L. Morton, M.D., Grantor Retained Annuity Trust
dated September 6, 2002
(iv) OncoVac, Inc, a California corporation
ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
(i) Donald L. Morton, M.D.
c/o Valensi, Rose, Magaram, Morris & Murphy
2029 Century Park East, Suite 2050
Los Angeles, CA 90067
(ii) Donald L. Morton Family Trust dated June 2, 1989
c/o Valensi, Rose, Magaram, Morris & Murphy
2029 Century Park East, Suite 2050
Los Angeles, CA 90067
(iii) Donald L. Morton, M.D., Grantor Retained Annuity Trust
c/o Valensi, Rose, Magaram, Morris & Murphy
2029 Century Park East, Suite 2050
Los Angeles, CA 90067
(iv) OncoVac, Inc.
c/o Valensi, Rose, Magaram, Morris & Murphy
2029 Century Park East, Suite 2050
Los Angeles, CA 90067
ITEM 2(c). CITIZENSHIP:
Donald L. Morton is a United States citizen; Donald L. Morton
Family Trust dated June 2, 1989 is a trust organized under the
laws of the state of California; Donald L. Morton, M.D., Grantor
Retained Annuity Trust is a trust organized under the laws of the
state of California; and OncoVac, Inc. is a corporation organized
under the laws of the state of California.
6
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
Common Stock, Par Value $0.00004 Per Share
ITEM 2(e). CUSIP NUMBER:
13738Y107
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(b), OR
13D-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
(a) [ ] Broker or dealer registered under Section 15 of the
Exchange Act.
(b) [ ] Bank as defined in Section 3(a)(6) of the Exchange
Act.
(c) [ ] Insurance company as defined in Section 3(a)(19) of
the Exchange Act.
(d) [ ] Investment company registered under Section 8 of the
Investment Company Act.
(e) [ ] An investment adviser in accordance with Rule
13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in
accordance with Rule 13d-1(b)(1)(ii)(F);
(g) [ ] A parent holding company or control person in
accordance with Rule 13d-1(b)(1)(ii)(G);
(h) [ ] A savings association as defined in Section 3(b) of
the Federal Deposit Insurance Act;
(i) [ ] A church plan that is excluded from the definition of
an investment company under Section 3(c)(14) of the
Investment Company Act;
(j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
This statement is being filed jointly by the Reporting Persons, although each of
them expressly disaffirms membership in any group under Rule 13d-5 of the
Exchange Act.
ITEM 4. OWNERSHIP.
(a) Amount Beneficially Owned:
Donald L. Morton, M.D. is the grantor and sole current beneficiary of the Donald
L. Morton Family Trust, a revocable trust, which is the record holder of
4,434,629 shares. The Donald L. Morton Family Trust is the sole stockholder of
OncoVac, Inc., which is the record holder of 98,814 shares. Donald L. Morton,
through such entities, may be deemed the beneficial owner of 4,533,443 shares of
the common stock of the Issuer. Donald L. Morton is the grantor of the Donald L.
Morton, M.D., Grantor Retained Annuity Trust, which is the record holder of
648,039 shares. By virtue of the relationships among these shareholders, Donald
L. Morton may by deemed to own beneficially all of the shares.
Each of the reporting persons expressly disclaims beneficial ownership, except
to the extent of its pecuniary interest therein, if any, and except in the case
of Donald L. Morton, M.D. and the Donald L. Morton Family Trust as to the shares
held of record by the Donald L. Morton Family Trust and OncoVac, Inc.
7
(b) Percent of Class:
Name No. of Shares Percent of Class
Donald L. Morton, M.D. 5,181,482 18.6%
Donald L. Morton Family Trust 5,181,482 18.6%
OncoVac, Inc. 98,814 .4%
Donald L. Morton, M.D. GRAT 719,849 2.3%
The foregoing percentages are based upon 26,675,374 shares outstanding, as
reflected on the Issuer's Form 10Q for the Quarter ended September 30, 2003,
unless based on more recent information obtained directly from the Issuer (with
beneficial ownership determined as set forth in Rule 13d-3 under the Exchange
Act, but with beneficial ownership being expressly disclaimed).
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
Donald L. Morton 4,533,443
Donald L. Morton Family Trust 4,533,443
OncoVac, Inc. 98,814
Donald L. Morton, M.D. Grantor
Retained Annuity Trust 648,039
(ii) Shared power to vote or to direct the vote:
Donald L. Morton and Donald L. Morton
Family Trust 648,039 (1)
(iii) Sole power to dispose or to direct the disposition
of:
Donald L. Morton 4,533,443
Donald L. Morton Family Trust 4,533,443
OncoVac, Inc. 98,814
Donald L. Morton, M.D. Grantor
Retained Annuity Trust 648,039
(iv) Shared power to dispose or to direct the
disposition of:
Donald L. Morton and Donald
L. Morton Family Trust 648,039 (1)
8
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
If this statement is being filed to report the fact that as of
the date hereof the reporting person has ceased to be the beneficial owner of
more than five percent of the class of securities, check the following: [ ]
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 OR
CONTROL PERSON.
Not Applicable
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
Not Applicable
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
Not Applicable. The reporting persons expressly disclaim
membership in a "group" as defined in Rule 13d-1(b)(ii)(J).
ITEM 10. CERTIFICATIONS.
By signing below, the undersigned certify that, to the best of
their knowledge and belief, the securities referred to above were not acquired
and are not held for the purpose of or with the effect of changing or
influencing the control of the issuer of the securities and were not acquired
and are not held in connection with or as a participant in any transaction
having that purpose or effect.
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(1) Shares owned by Donald L. Morton, M.D., Grantor Retained Annuity Trust,
dated September 6, 2002, for which the Reporting Person disclaims beneficial
ownership.
9
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.
Dated: February 10, 2005 By: /s/ DONALD L. MORTON, M.D.
--------------------------
Donald L. Morton, M.D.
DONALD L. MORTON FAMILY TRUST
/s/ DONALD L. MORTON, M.D.
--------------------------
By: Donald L. Morton, M.D.
Title: Trustee
ONCOVAC, INC.,
A California corporation
/s/ DONALD L. MORTON, M.D.
--------------------------
By: Donald L. Morton, M.D.
Title: President
DONALD L. MORTON, M.D., GRANTOR
RETAINED ANNUITY TRUST
/s/ DONALD L. MORTON, M.D.
--------------------------
By: Donald L. Morton, M.D.
Title: Trustee
10