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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
*
CARUSO JAMES V |
2. Issuer Name
and
Ticker or Trading Symbol
ALLOS THERAPEUTICS INC [ ALTH ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) Chief Commercial Officer |
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 | 3/1/2010 | M | 40000 | A | $3.13 | 181159 | D | |||
Common Stock | 3/1/2010 | S | 40000 (1) | D | $8.1301 (2) | 141159 | D | |||
Common Stock | 3/1/2010 | S | 37500 (1) | D | $8.13 | 103659 | D |
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) | $3.13 | 3/1/2010 | M | 40000 | 6/5/2007 (3) | 6/5/2016 | Common Stock | 40000 | $0 | 60000 | D |
Explanation of Responses: | |
( 1) | The transactions reported on this Form 4 were effected pursuant to a 10b5-1 plan under which Mr. Caruso sold a portion of his holdings 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 $8.13 to $8.14. 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. |
( 3) | Stock options vest according to the following schedule: One fourth (1/4) of the total number of shares subject to this option shall vest 12 months after the vesting commencement date and an additional one-forty-eigths (1/48) of the total number of shares subject to the option become exercisable each one-month-period thereafter, until all such shares are exercisable. |
Reporting Owners
|
|||||
Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
CARUSO JAMES V
11080 CIRCLEPOINT ROAD SUITE 200 WESTMINSTER, CO 80020 |
|
|
Chief Commercial Officer |
|
Signatures
|
||
/s/ David C. Clark, Attorney-in-Fact for James V. Caruso | 3/3/2010 | |
** 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 |
1 Month Allos Therapeutics, Inc. (MM) Chart |
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