Filing Details
- Accession Number:
- 0001127602-10-007276
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-03-03 12:00:00
- Reporting Period:
- 2010-03-01
- Filing Date:
- 2010-03-03
- Accepted Time:
- 2010-03-03 18:08:12
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1097264 | Allos Therapeutics Inc | ALTH | Pharmaceutical Preparations (2834) | 541655029 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1202770 | V James Caruso | 11080 Circlepoint Road Suite 200 Westminster CO 80020 | Chief Commercial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2010-03-01 | 40,000 | $3.13 | 181,159 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-03-01 | 40,000 | $8.13 | 141,159 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2010-03-01 | 37,500 | $8.13 | 103,659 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options (Right to Buy) | Disposition | 2010-03-01 | 40,000 | $0.00 | 40,000 | $3.13 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 60,000 | 2007-06-05 | 2016-06-05 | No | 4 | M | Direct |
Footnotes
- 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.
- 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.
- 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.
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