-----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, AMpK4fp3pQK1CTTv6N+5wuT2fplKwVZaD1HhLpCJhvSObiPb8YZqcICcmNdiFWjX FCs1mjrxISfCGlP30xi+bA== 0001010521-99-000385.txt : 19991221 0001010521-99-000385.hdr.sgml : 19991221 ACCESSION NUMBER: 0001010521-99-000385 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991220 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEXELL THERAPEUTICS INC CENTRAL INDEX KEY: 0000864009 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 061192468 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-41947 FILM NUMBER: 99777527 BUSINESS ADDRESS: STREET 1: 9 PARKER CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 9494709011 MAIL ADDRESS: STREET 1: 9 PARKER CITY: IRVINE STATE: CA ZIP: 92618 FORMER COMPANY: FORMER CONFORMED NAME: VIMRX PHARMACEUTICALS INC DATE OF NAME CHANGE: 19930328 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HANCOCK JOHN MUTUAL LIFE INSURANCE CO / MA CENTRAL INDEX KEY: 0000917406 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 041414660 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: CORPORATE LAW DIVISION T-55 STREET 2: P O BOX 111 CITY: BOSTON STATE: MA ZIP: 02117 BUSINESS PHONE: 6175726000 MAIL ADDRESS: STREET 1: CORPORATE LAW DIVISION T-55 STREET 2: P O BOX 111 CITY: BOSTON STATE: MA ZIP: 02117 SC 13G 1 NEXELL THERAPEUTICS, INC. ------------------------------ OMB APPROVAL OMB Number 3235-0145 Expires: January 30, 2000 Estimated average burden hours per response . . . 14.90 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL SCHEDULE 13G Under the Securities Exchange Act of 1934 Nexell Therapeutics, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 65332H104 - -------------------------------------------------------------------------------- (CUSIP Number) November 24, 1999 - -------------------------------------------------------------------------------- (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) [ ] Rule 13d-1(c) [ ] 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). PAGE 1 OF 4 PAGES
- ----------------------------------------- -------------------------------------- CUSIP No. 65332H104 13G Page 2 of 4 Pages - ----------------------------------------- -------------------------------------- - ---------- ------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON John Hancock Mutual Life Insurance Company I.R.S. No. 04-1414660 - ---------- ------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| N/A - ---------- ------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Commonwealth of Massachusetts - ---------- ------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER Number of Shares 13,571,428 -------- ------------------------------------------------------------------------------------------- Beneficially 6 SHARED VOTING POWER Owned by Each -0- -------- ------------------------------------------------------------------------------------------- Reporting 7 SOLE DISPOSITIVE POWER Person With 13,571,428 -------- ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - ---------- ------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 13,571,428 - ---------- ------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- ------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 18.7% - ---------- ------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IC, IA - ---------- ------------------------------------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! PAGE 2 OF 4 PAGES
The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Sec. 240.13d-7 for other parties for whom copies are to be sent. Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001) Item 1(a) Name of Issuer: Nexell Therapeutics, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 9 Parker Avenue Irvine, CA 92618 Item 2(a) Name of Person Filing: This filing is made on behalf of John Hancock Mutual Life Insurance Company ("JHMLICO"). Item 2(b) Address of the Principal Offices: The principal business office of JHMLICO is located at John Hancock Place, P.O. Box 111, Boston, MA 02117. Item 2(c) Citizenship: JHMLICO is organized and exists under the laws of the Commonwealth of Massachusetts. Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 65332H104 Item 3 If the Statement is being filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: JHMLICO: (c) (X) Insurance Company as defined in ss.3(a)(19) of the Act. (e) (X) Investment Adviser registered under ss.203 of the Investment Advisers Act of 1940. Item 4 Ownership: (a) Amount Beneficially Owned: JHMLICO has direct beneficial ownership of 13,571,428 shares of Common Stock through beneficial ownership of Series B Cumulative Preferred Stock and Class B Warrants. 33,000 are shares of Series B Cumulative Preferred Stock convertible into 12,000,000 shares of Common Stock. Of the 12,000,000 shares, 10,909,091 are owned by JHMLICO, 727,273 shares are owned by JHMLICO's direct wholly-owned subsidiary John Hancock Variable Life Insurance Company ("JHVLICO"), and 363,636 shares are owned by JHVLICO's direct wholly-owned subsidiary Investors Partner Life Insurance Company ("Partners"). PAGE 3 OF 4 PAGES 1,571,428 are Class B Warrants exercisable immediately into Common Stock. Of the 1,571,428 shares 1,428,571 are owned by JHMLICO, 95,238 shares are owned by JHMLICO's direct wholly-owned subsidiary John Hancock Variable Life Insurance Company ("JHVLICO"), and 47,619 shares are owned by Investors Partner Life Insurance Company ("Partners"). (b) Percent of Class: 18.7% (c) (i) sole power to vote or to direct the vote: JHMLICO has sole power to vote or to direct the vote of the 13,571,428 shares as discussed in Item 4(a) above. (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition: JHMLICO has sole power to dispose or to direct the disposition of the 13,571,428 shares as discussed in Item 4(a) above. (iv) shared power to dispose or to direct the disposition of: -0- Item 5 Ownership of Five Percent or Less of a Class: Not applicable. 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 the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. SIGNATURE After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. John Hancock Mutual Life Insurance Company By: /s/Roger G. Nastou ------------------ Name: Roger G. Nastou Dated: December 20, 1999 Title: Vice President PAGE 4 OF 4 PAGES -----END PRIVACY-ENHANCED MESSAGE-----