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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Allos Therapeutics, Inc. (MM) | NASDAQ:ALTH | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 1.83 | 0 | 01:00:00 |
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
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
HOFFMAN STEPHEN J |
2. Issuer Name
and
Ticker or Trading Symbol
ALLOS THERAPEUTICS INC [ ALTH ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
11080 CIRCLEPOINT ROAD, SUITE 200 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
WESTMINSTER, CO 80020 |
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 | ||||||
Common Stock | 1/7/2010 | M | 45429 | A | $2.4194 | 520299 | D | |||
Common Stock | 1/7/2010 | S | 45429 (1) | D | $6.7603 (2) | 474870 | D | |||
Common Stock | 1/8/2010 | M | 45429 | A | $2.4194 | 520299 | D | |||
Common Stock | 1/8/2010 | S | 45429 (1) | D | $7.1082 (3) | 474870 | D | |||
Common Stock | 1/11/2010 | M | 45428 | A | $2.4194 | 520298 | D | |||
Common Stock | 1/11/2010 | S | 45428 (1) | D | $7.3025 (4) | 474870 | D | |||
Common Stock | 400 | I | Custodial Account | |||||||
Common Stock | 100 | I | Custodial Account For Elizabeth Hoffman | |||||||
Common Stock | 100 | I | Custodial Account For Margaret Hoffman | |||||||
Common Stock | 100 | I | Custodial Account For Mary Evelyn Hoffman | |||||||
Common Stock | 100 | I | Custodial Account For Michael Hoffman |
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 | ||||||||
Stock Options (Right to Buy) | $2.4194 | 1/7/2010 | M | 45429 | 1/12/2001 | 1/12/2010 | Common Stock | 45429 | $0 | 90857 | D | ||||
Stock Options (Right to Buy) | $2.4194 | 1/8/2010 | M | 45429 | 1/12/2001 | 1/12/2010 | Common Stock | 45429 | $0 | 45428 | D | ||||
Stock Options (Right to Buy) | $2.4194 | 1/11/2010 | M | 45428 | 1/12/2001 | 1/12/2010 | Common Stock | 45428 | $0 | 0 | D |
Explanation of Responses: | |
( 1) | The transactions reported in this Form 4 were effected pursuant to a 10b5-1 trading plan and relate to the exercise of stock options which were scheduled to expire on January 12, 2010 and the sale of the underlying shares for tax and estate planning purposes. |
( 2) | The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $6.70 to $6.90. Upon request of the SEC staff, Allos Therapeutics Inc. (the "Company") or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold at each separate price. |
( 3) | The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $6.98 to $7.14. Upon request of the SEC staff, Allos Therapeutics Inc. (the "Company") or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold at each separate price. |
( 4) | The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $7.27 to $7.34. Upon request of the SEC staff, Allos Therapeutics Inc. (the "Company") or a security holder of the Company, the reporting person will provide full information regarding the number of shares sold at each separate price. |
Reporting Owners
|
|||||
Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
HOFFMAN STEPHEN J
11080 CIRCLEPOINT ROAD SUITE 200 WESTMINSTER, CO 80020 |
X |
|
|
|
Signatures
|
||
/s/ David C. Clark, Attorney-in-Fact for Stephen J. Hoffman | 1/11/2010 | |
** 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. |
1 Year Allos Therapeutics, Inc. (MM) Chart |
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