-----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, Lqi+ttmNbRjfPvzgG3jThm58jo7Sxl8nJLSNWjniezdcqCqi36XEaC63BWSr3Rta leldogPqTgIO7khFOEmPJQ== 0000897485-01-000047.txt : 20010307 0000897485-01-000047.hdr.sgml : 20010307 ACCESSION NUMBER: 0000897485-01-000047 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010302 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEOTHERAPEUTICS INC CENTRAL INDEX KEY: 0000831547 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 930979187 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-49329 FILM NUMBER: 1560649 BUSINESS ADDRESS: STREET 1: 157 TECHNOLOGY DR STREET 2: STE J-821 CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 9497886700 MAIL ADDRESS: STREET 1: 157 TECHNOLOGY DR STREET 2: STE J-821 CITY: IRVINE STATE: CA ZIP: 92618 FORMER COMPANY: FORMER CONFORMED NAME: AMERICUS FUNDING CORP DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KELLOGG PETER R CENTRAL INDEX KEY: 0000897485 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O SPEAR LEEDS & KELLOGG STREET 2: 120 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10271 BUSINESS PHONE: 2124337070 MAIL ADDRESS: STREET 1: 120 BROADWAY STREET 2: C/O SPEAR LEEDS & KELLOGG CITY: NEW YORK STATE: NY ZIP: 10271 SC 13G 1 0001.txt CUSIP No. 640656104 13G Page 3 of 3 Pages 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)(c), AND (d) AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Neotherapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 640656104 (CUSIP Number) February 20, 2001 (Date of Event Which Requires Filing of this statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: Rule 13d-1(b) X Rule 13d-1(c) Rule 13d-1(d) _________________________________________________________________ 1. NAME OF REPORTING PERSON Peter R. Kellogg S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON _________________________________________________________________ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) X _________________________________________________________________ 3. SEC USE ONLY _________________________________________________________________ 4. CITIZENSHIP OR PLACE OF ORGANIZATION USA _________________________________________________________________ NUMBER OF 5. SOLE VOTING POWER NUMBER OF SHARES SHARES _______880,000____________________________________ BENEFICIALLY 6. SHARED VOTING POWER OWNED BY _____________0____________________________________ EACH 7. SOLE DISPOSITIVE POWER REPORTING _______880,000____________________________________ PERSON WITH 8. SHARED DISPOSITIVE POWER ____________________________0____________________________________ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON ______________________880,000____________________________________ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES _________________________________________________________________ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.63% _________________________________________________________________ 12. TYPE OF REPORTING PERSON IN _________________________________________________________________ Item 1. Item 1(a): Name of Issuer: Neotherapeutics, Inc. Item 1(b): Address of Issuer's Principal Executive Offices: 157 Technology Drive Suite J-821 Irvine, CA 92618 Item 2. Item 2(a): Name of Person Filing: Peter R. Kellogg Item 2(b): Address of Principal Business Office or, if None, Residence: 120 Broadway New York, New York 10271 Item 2(c): Citizenship: U.S.A. Item 2(d): Title of Class of Securities: Common Stock Item 2(e): CUSIP Number: 640656104 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) Broker or dealer registered under Section 15 of the Exchange Act, (b) Bank as defined in Section 3(a)(6) of the Exchange Act, (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) An investment adviser in accordance with Rule 13d- 1(b)(1)(ii)(E), (f) An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F), (g) A parent holding Company, or control person in accordance with Rule 13d-1(b)(ii)(G), (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)(ii)(J) If this statement is filed pursuant to Rule 13d-1(c), check this box. X Item 4. Ownership: (a) Amount Beneficially Owned: 880,000 (b) Percent of Class: 6.63% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote:880,000 (ii) Shared power to vote or direct the vote: 0 (iii) Sole power to dispose or direct the disposition Of: 880,000 (iv) Shared power to dispose or to direct the Disposition of: 0 Item 5.Ownership of Five Percent or Less of a Class. N/A Item 6.Ownership of More Than Five Percent on Behalf of Another Person. N/A Item 7.Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. N/A Item 8.Identification and Classification of Members of the Group. N/A Item 9.Notice of Dissolution of Group: N/A Item 10. Certification. By signing below, I certify that to the best of my knowledge and belief, the securities referred to above were not 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 my knowledge and belief, I certify that the information set forth in this statement is true, complete, and correct. March 2, 2001 Peter R. Kellogg Date Peter R. Kellogg -----END PRIVACY-ENHANCED MESSAGE-----