0000891092-12-000841.txt : 20120210 0000891092-12-000841.hdr.sgml : 20120210 20120210105758 ACCESSION NUMBER: 0000891092-12-000841 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20120210 DATE AS OF CHANGE: 20120210 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-60251 FILM NUMBER: 12590203 BUSINESS ADDRESS: STREET 1: 11080 CIRCLEPOINT ROAD STREET 2: SUITE 200 CITY: WESTMINSTER STATE: CO ZIP: 80020 BUSINESS PHONE: 3034266262 MAIL ADDRESS: STREET 1: 11080 CIRCLEPOINT ROAD STREET 2: SUITE 200 CITY: WESTMINSTER STATE: CO ZIP: 80020 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SCOPIA MANAGEMENT INC CENTRAL INDEX KEY: 0001279150 IRS NUMBER: 134162637 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-370-0303 MAIL ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 SC 13G 1 e47220sc13g.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Allos Therapeutics, Inc. -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.001 par value -------------------------------------------------------------------------------- (Title of Class of Securities) 019777101 -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2011 -------------------------------------------------------------------------------- (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) ---------- (1) 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 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 10 Pages -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS: Scopia Management Inc. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY): 13-416-2637 -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States -------------------------------------------------------------------------------- 5 SOLE VOTING POWER -0- NUMBER OF ---------------------------------------------------------- SHARES 6 SHARED VOTING POWER 5,907,483 BENEFICIALLY ---------------------------------------------------------- OWNED BY EACH 7 SOLE DISPOSITIVE POWER -0- REPORTING ---------------------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER 5,907,483 -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 5,907,483 -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 5.58% -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON:* C0, IA -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! -------------------------------------------------------------------------------- CUSIP No. 019777101 13G Page 3 of 10 Pages -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS: Matthew Sirovich I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY): -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 NUMBER OF ---------------------------------------------------------- SHARES 6 SHARED VOTING POWER 5,907,483 BENEFICIALLY ---------------------------------------------------------- OWNED BY EACH 7 SOLE DISPOSITIVE POWER 0 REPORTING ---------------------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER 5,907,483 -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 5,907,483 -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 5.58% -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON:* IN -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! -------------------------------------------------------------------------------- CUSIP No. 019777101 13G Page 4 of 10 Pages -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS: Jeremy Mindich I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY): -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 0 NUMBER OF ---------------------------------------------------------- SHARES 6 SHARED VOTING POWER 5,907,483 BENEFICIALLY ---------------------------------------------------------- OWNED BY EACH 7 SOLE DISPOSITIVE POWER 0 REPORTING ---------------------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER 5,907,483 -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 5,907,483 -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 5.58% -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON:* IN -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! -------------------------------------------------------------------------------- CUSIP No. 019777101 13G Page 5 of 10 Pages -------------------------------------------------------------------------------- Item 1(a). Name of Issuer: Allos Therapeutics, Inc. -------------------------------------------------------------------- Item 1(b). Address of Issuer's Principal Executive Offices: 11080 Circle Point Road, Suite 200 Westminster, Colorado 80020 -------------------------------------------------------------------- Item 2(a). Name of Persons Filing: Scopia Management Inc. Matthew Sirovich Jeremy Mindich -------------------------------------------------------------------- Item 2(b). Address of Principal Business Office, or if None, Residence: The principal Business Office of Scopia Management Inc., Matthew Sirovich and Jeremy Mindich is: 152 W. 57th Street, 33rd fl New York, NY 10019 -------------------------------------------------------------------- Item 2(c). Citizenship: The citizenship of Matthew Sirovich and Jeremy Mindich is: United States Scopia Management Inc. is a New York corporation -------------------------------------------------------------------- Item 2(d). Title of Class of Securities: Common Stock, $0.001 par value -------------------------------------------------------------------- Item 2(e). CUSIP Number: 019777101 -------------------------------------------------------------------- Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) [_] Broker or dealer registered under Section 15 of the Exchange Act. (b) [_] Bank as defined in Section 3(a)(6) of the Exchange Act. -------------------------------------------------------------------------------- CUSIP No. 019777101 13G Page 6 of 10 Pages -------------------------------------------------------------------------------- (c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [_] Investment company registered under Section 8 of the Investment Company Act. (e) [X] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E)(1); (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [X] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G)(2); (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Item 4. Ownership.* Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. Scopia Management Inc. (a) Amount beneficially owned: 5,907,483 -------------------------------------------------------------------- (b) Percent of class: 5.58% -------------------------------------------------------------------- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 0 (ii) Shared power to vote or to direct the vote 5,907,483 ---------- (1) Scopia Management Inc. is filing as an investment adviser. (2) Matthew Sirovich and Jeremy Mindich are filing as control persons of Scopia Management, Inc. -------------------------------------------------------------------------------- CUSIP No. 019777101 13G Page 7 of 10 Pages -------------------------------------------------------------------------------- (iii) Sole power to dispose or direct the disposition of 0 (iv) Shared power to dispose or direct the disposition of 5,907,483 Matthew Sirovich (a) Amount beneficially owned: 5,907,483 -------------------------------------------------------------------- (b) Percent of class: 5.58% -------------------------------------------------------------------- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 0 (ii) Shared power to vote or to direct the vote 5,907,483 (iii) Sole power to dispose or to direct the disposition of 0 (iv) Shared power to dispose or to direct the disposition of 5,907,483 Jeremy Mindich (a) Amount beneficially owned: 5,907,483 -------------------------------------------------------------------- (b) Percent of class: 5.58% -------------------------------------------------------------------- (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 0 (ii) Shared power to vote or to direct the vote 5,907,483 -------------------------------------------------------------------------------- CUSIP No. 019777101 13G Page 8 of 10 Pages -------------------------------------------------------------------------------- (iii) Sole power to dispose or direct the disposition of 0 (iv) Shared power to dispose or direct the disposition of 5,907,483 -------------------------------------------------------------------------------- CUSIP No. 019777101 13G Page 9 of 10 Pages -------------------------------------------------------------------------------- Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities check the following [ ]. -------------------------------------------------------------------- Item 6. Ownership of More Than Five Percent on Behalf of Another Person. If any other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be included in response to this item and, if such interest relates to more than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not required. N/A -------------------------------------------------------------------- Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. If a parent holding company or Control person has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company or control person has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary. N/A -------------------------------------------------------------------- Item 8. Identification and Classification of Members of the Group. If a group has filed this schedule pursuant to ss.240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed -------------------------------------------------------------------------------- CUSIP No. 019777101 13G Page 10 of 10 Pages -------------------------------------------------------------------------------- this schedule pursuant to ss.240.13d-1(c) or ss.240.13d-1(d), attach an exhibit stating the identity of each member of the group. N/A -------------------------------------------------------------------- Item 9. Notice of Dissolution of Group. Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5. N/A -------------------------------------------------------------------- Item 10. Certifications. By signing below, each reporting person certifies that, to the best of its knowledge and belief, the securities referred to above 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 set forth in this statement is true, complete and correct. February 10, 2012 -------------------------------------- (Date) SCOPIA MANAGEMENT INC. By: /s/ Jeremy Mindich -------------------------------------- Name: Jeremy Mindich Title: President By: /s/ Matthew Sirovich ------------------------------------- Name: Matthew Sirovich By: /s/ Jeremy Mindich -------------------------------------- Name: Jeremy Mindich Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 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).