- Statement of Changes in Beneficial Ownership (4)
May 12 2010 - 5:53PM
Edgar (US Regulatory)
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
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Clark David C
|
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)
VP, Finance
|
(Last)
(First)
(Middle)
11080 CIRCLEPOINT ROAD, SUITE 200
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/10/2010
|
(Street)
WESTMINSTER, CO 80020
(City)
(State)
(Zip)
|
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
|
5/10/2010
|
|
M
|
|
834
|
A
|
$2.70
|
20189
|
D
|
|
Common Stock
|
5/10/2010
|
|
S
|
|
3085
(1)
|
D
|
$7.029
(2)
|
17104
|
D
|
|
Common Stock
|
5/10/2010
|
|
M
|
|
2251
|
A
|
$2.93
|
19355
|
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)
|
$2.70
|
5/10/2010
|
|
M
|
|
|
834
|
2/10/2007
(3)
|
2/10/2016
|
Common Stock
|
834
|
$0
|
0
|
D
|
|
Stock Options (Right to Buy)
|
$2.93
|
5/10/2010
|
|
M
|
|
|
2251
|
5/9/2007
(4)
|
5/9/2016
|
Common Stock
|
2251
|
$0
|
0
|
D
|
|
Explanation of Responses:
|
(
1)
|
The transactions reported on this Form 4 were effected pursuant to a 10b5-1 plan under which Mr. Clark 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 $7.02 to $7.04. 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 date of grant and an additional one forty-eighths (1/48) of the total number of shares subject to the option shall vest each one month period thereafter, until all such shares are vested and exercisable.
|
(
4)
|
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
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Clark David C
11080 CIRCLEPOINT ROAD
SUITE 200
WESTMINSTER, CO 80020
|
|
|
VP, Finance
|
|
Signatures
|
/s/ David C. Clark
|
|
5/12/2010
|
**
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.
|
Allos Therapeutics, Inc. (MM) (NASDAQ:ALTH)
Historical Stock Chart
From Sep 2024 to Oct 2024
Allos Therapeutics, Inc. (MM) (NASDAQ:ALTH)
Historical Stock Chart
From Oct 2023 to Oct 2024