-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JVuoVLk50yjFWh2jw3YKqjQ+Hh1v6INAZjAhVpU972ozU/w7C5pHhZ3U5jfEWfE6 mXP7BdoeToMs/bd0DTQ5wQ== 0000950144-02-010184.txt : 20021002 0000950144-02-010184.hdr.sgml : 20021002 20021002132341 ACCESSION NUMBER: 0000950144-02-010184 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021002 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALLOS THERAPEUTICS INC CENTRAL INDEX KEY: 0001097264 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 541655029 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60251 FILM NUMBER: 02779516 BUSINESS ADDRESS: STREET 1: 11080 CIRCLEPOINT ROAD STREET 2: SUITE 200 CITY: WESTMINSTER STATE: CO ZIP: 80020 BUSINESS PHONE: 3034266262 MAIL ADDRESS: STREET 1: 7000 NORTH BROADWAY STREET 2: SUITE 400 CITY: DENVER STATE: CO ZIP: 80221 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INVESCO PRIVATE CAPITAL INC CENTRAL INDEX KEY: 0001128452 IRS NUMBER: 133725888 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1315 PEACHTREE STREET STREET 2: SUITE 500 CITY: ATLANTA STATE: GA ZIP: 30309 BUSINESS PHONE: 2122789000 MAIL ADDRESS: STREET 1: 1315 PEACHTREE STREET STREET 2: SUITE 500 CITY: ATLANTA STATE: GA ZIP: 30309 SC 13G/A 1 g77131sc13gza.htm INVESCO Private Capital, Inc./Allos Therapeutics
 

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(b)
AND AMENDMENTS FILED THERETO FILED PURSUANT TO RULE 13D-2(b)


Under the Securities Exchange Act of 1934
(Amendment No. 2)*

Allos Therapeutics, Inc.
________________________________________________________________________________
(Name of Issuer)

Common Stock
________________________________________________________________________________
(Title of Classes of Securities)

019777101
________________________________________________________________________________

(CUSIP Numbers)

May 20, 2002
________________________________________________________________________________
(Date of Event Which Requires Filing of this Statement)

     Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

     
x   Rule 13d-1(b)
     
o   Rule 13d-1(c)
     
o   Rule 13d-1(d)

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).


 

CUSIP No. 019777101   13G   Page 2 of 5 Pages
         
1   NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
   
         
    INVESCO Private Capital, Inc.    
    IRS # 13-3725888    
         
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*   (a) 0
        (b)þ
         
3   SEC USE ONLY    
         
4   CITIZENSHIP OR PLACE OF ORGANIZATION    
    State of Delaware, USA    
                 
        5   SOLE VOTING POWER
                None
                 
    NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
  6   SHARED VOTING POWER

861,961 Shares as follows: (i) as a discretionary manager for Baxter International, Incorporated, INVESCO Private Capital, Inc. beneficially owns 996 Common Shares; (ii) as a discretionary manager for Bell Atlantic Master Trust (f/k/a GTE Service Corporation), INVESCO Private Capital, Inc. beneficially owns 8,584 Common Shares; (iii) as a discretionary manager for Citiventure III Private Participations Limited, INVESCO Private Capital, Inc. beneficially owns 807,883 Common Shares; and (iv) as a discretionary manager for KME Ventures III, LP, INVESCO Private Capital, Inc. beneficially owns 43,347 Common Shares.
                 
        7       SOLE DISPOSITIVE POWER
                 
                None
                 
        8       SHARED DISPOSITIVE POWER
                 
                861,961 Shares as follows: (i) as a discretionary manager for Baxter International, Incorporated, INVESCO Private Capital, Inc. beneficially owns 996 Common Shares; (ii) as a discretionary manager for Bell Atlantic Master Trust (f/k/a GTE Service Corporation), INVESCO Private Capital, Inc. beneficially owns 8,584 Common Shares; (iii) as a discretionary manager for Citiventure III Private Participations Limited, INVESCO Private Capital, Inc. beneficially owns 807,883 Common Shares; and (iv) as a discretionary manager for KME Ventures III, LP, INVESCO Private Capital, Inc. beneficially owns 43,347 Common Shares.
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
    861,961 Common Shares.
     
10   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
    0
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
3.75% Common Shares
     
12   TYPE OF REPORTING PERSON*
    IA

* Read directions before completing


 

     
Item 1(a)   Name of Issuer:
     
    Allos Therapeutics, Inc.
     
(b)   Address of Issuer’s Principal Executive Offices:
     
    7000 North Broadway, Suite 400, Denver, CO 80221
     
Item 2(a)   Name of Person Filing:
     
    INVESCO Private Capital, Inc.
     
(b)   Address of Principal Business Office or, if none, residence of filing person:
     
    1166 Avenue of the Americas, New York, NY 10036
     
(c)   Citizenship of filing person:
     
    State of Delaware, USA
     
(d)   Title of Classes of Securities:
     
    Common Stock
     
(e)   CUSIP Numbers:
     
    019777101
     
Item 3.   If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
         
(a)   o   Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o).
         
(b)   o   Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
         
(c)   o   Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).
         
(d)   o   Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
         
(e)   x   An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E);
         
(f)   o   An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F);
         
(g)   o   A parent holding company or control person in accordance with ss.240.13d-1(b)(1)(ii)(G);
         
(h)   o   A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
         
(i)   o   A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
         
(j)   o   Group, in accordance with ss.240.13d-1(b)(1)(ii)(J).


 

Item 4. Ownership.

     (a). Amount Beneficially Owned:

      INVESCO Private Capital, Inc. beneficially owns 861,961 Shares as follows: (i) as a discretionary manager for Baxter International, Incorporated, INVESCO Private Capital, Inc. beneficially owns 996 Common Shares; (ii) as a discretionary manager for Bell Atlantic Master Trust (f/k/a GTE Service Corporation), INVESCO Private Capital, Inc. beneficially owns 8,584 Common Shares; (iii) as a discretionary manager for Citiventure III Private Participations Limited, INVESCO Private Capital, Inc. beneficially owns 807,883 Common Shares; and (iv) as a discretionary manager for KME Ventures III, LP, INVESCO Private Capital, Inc. beneficially owns 43,347 Common Shares.

     (b). Percent of Class:

      INVESCO Private Capital, Inc. beneficially owns 3.75% of the Common Shares determined in accordance with the provisions of Rule 13d-1 promulgated under the Act.

     (c). Number of shares as to which such person has:

         
         
  (i)   Sole power to vote or to direct the vote:
 
        None.
 
    (ii)   Shared power to vote or to direct the vote:

        INVESCO Private Capital, Inc. has the shared power to vote or direct the vote of 861,961 Shares as follows: (i) as a discretionary manager for Baxter International, Incorporated, INVESCO Private Capital, Inc. beneficially owns 996 Common Shares; (ii) as a discretionary manager for Bell Atlantic Master Trust (f/k/a GTE Service Corporation), INVESCO Private Capital, Inc. beneficially owns 8,584 Common Shares; (iii) as a discretionary manager for Citiventure III Private Participations Limited, INVESCO Private Capital, Inc. beneficially owns 807,883 Common Shares; and (iv) as a discretionary manager for KME Ventures III, LP, INVESCO Private Capital, Inc. beneficially owns 43,347 Common Shares.

         
         
    (iii)   Sole power to dispose or to direct the disposition of:
         
        None.
         
    (iv)   Shared power to dispose or to direct the disposition of:
         
        INVESCO Private Capital, Inc. has the shared power to dispose or direct the disposition of 861,961 Shares as follows: (i) as a discretionary manager for Baxter International, Incorporated, INVESCO Private Capital, Inc. beneficially owns 996 Common Shares; (ii) as a discretionary manager for Bell Atlantic Master Trust (f/k/a GTE Service Corporation), INVESCO Private Capital, Inc. beneficially owns 8,584 Common Shares; (iii) as a discretionary manager for Citiventure III Private Participations Limited, INVESCO Private Capital, Inc. beneficially owns 807,883 Common Shares; and (iv) as a discretionary manager for KME Ventures III, LP, INVESCO Private Capital, Inc. beneficially owns 43,347 Common Shares.


 

     
Item 5.   Ownership of Five Percent or Less of a Class.
    If this statement is being filed to report the fact that the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following:x
     
    INVESCO Private Capital, Inc. has ceased to be the beneficial owner of more than five percent of the Common Shares of Allos Therapeutics, Inc. as a result of: (i) the disposition of 400,000 Common Shares on May 20, 2002 by INVESCO Private Capital, Inc. as discretionary manager; and (ii) dilution as a result of the sale of new Common Shares by Allos Therapeutics, Inc. pursuant to a private placement.
     
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.
     
    Not applicable.
     
Item 8.   Identification and Classification of Members of the Group.
     
    Not applicable.
     
Item 9.   Notice of Dissolution of a Group.
     
    Not applicable.
     
Item 10.   Certification.

     By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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.

SIGNATURE

     After reasonable inquiry and to the best of my knowledge and belief, I certify that the information in this statement is true, complete and correct.

       
Date: October 2, 2002   INVESCO PRIVATE CAPITAL, INC.  
       
    By: /s/ Luis A. Aguilar  
   
 
    (Signature)  
     
    Luis A. Aguilar as General Counsel for INVESCO Private Capital, Inc.
(Name/Title)
 

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