4 1 d11416.txt ---------------------------- OMB APPROVAL ------------ OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response ..... 0.5 ---------------------------- Form 4 U. S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |X| Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person.* John Hancock Financial Services, Inc. (1) -------------------------------------------------------------------------------- (Last) (First) (Middle) P. O. Box 111 -------------------------------------------------------------------------------- (Street) Boston, MA 02117 -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol Nexell Therapeutics, Inc. ("NEXL") ================================================================================ 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) 04-348-3032 ================================================================================ 4. Statement for Month/Day/Year October 23, 2002 ================================================================================ 5. If Amendment, Date of Original (Month/Day/Year) ================================================================================ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) |_| Director |X| 10% Owner |_| Officer (give title below) |_| Other (specify below) ================================================================================ 7. Individual or Joint/Group Filing (Check Applicable Line) |_| Form filed by One Reporting Person |X| Form filed by More than One Reporting Person ================================================================================ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
5. Amount of 6. 4. Securities Owner- 2A. Securities Acquired (A) Beneficially ship Deemed 3. or Disposed of (D) Owned Form: 7. Execution Transaction (Instr. 3, 4 and 5) Following Direct Nature of 2. Date, if Code ---------------------------- Reported (D) or Indirect 1. Transaction any (Instr. 8) (A) Transaction(s) Indirect Beneficial Title of Security Date (Month/ ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (Month/Day/Year) Day/Year) Code V (D) and 4) (Instr. 4) (Instr. 4) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. (Over) SEC 1474 (9-02) Page 1 of 3 FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. Number of 10. 2. Deriv- Owner- Con- ative ship ver- 5. 7. Secur- Form of 11. sion Number of Title and Amount ities Deriv- Nature or 3A. Derivative 6. of Underlying 8. Bene- ative of Exer- Deemed 4. Securities Date Securities Price ficially Secu- In- 1. cise 3. Exe- Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of Owned rity; direct Title of Price Trans- cution action or Disposed Expiration Date ---------------- Deriv- Following Direct Bene- Deriv- of action Date, Code of (D) (Month/Day/Year) Amount ative Reported (D) or ficial ative Deriv- Date if any (Instr. (Instr. 3, ----------------- or Secur- Trans- Indirect Owner- Security ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number ity action(s) (I) ship (Instr. Secur- Day/ Day/ ------- ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. 3) ity Year) Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Series B 10/23/02 S 30,000 11/24/99 Common 2,935,995 $1,153.32 -0- I (2) Cumula- Stock tive Convert- ible Pre- ferred Stock ------------------------------------------------------------------------------------------------------------------------------------ Series B 10/23/02 S 2,000 11/24/99 Common 195,733 $1,153.32 -0- I (3) Cumula- Stock tive Convert- ible Pre- ferred Stock ------------------------------------------------------------------------------------------------------------------------------------ Series B 10/23/02 S 1,000 11/24/99 Common 97,867 $1,153.32 -0- I (4) Cumula- Stock tive Convert- ible Pre- ferred Stock ------------------------------------------------------------------------------------------------------------------------------------ Class B 10/23/02 J(5) 357,142.75 11/24/99 12/16/04 Common 385,088(6) (5) -0- I (2) Warrant Stock to Purchase ------------------------------------------------------------------------------------------------------------------------------------ Class B 10/23/02 J(5) 23,809.5 11/24/99 12/16/04 Common 25,673(6) (5) -0- I (3) Warrant Stock to Purchase ------------------------------------------------------------------------------------------------------------------------------------ Class B 10/23/02 J(5) 11,904.75 11/24/99 12/16/04 Common 12,836(6) (5) -0- I (4) Warrant Stock to Purchase ------------------------------------------------------------------------------------------------------------------------------------ Class A 10/23/02 J(5) 714,285.5 11/24/04 12/16/04 Common 770,176(6) (5) -0- I (2) Warrant Stock to Purchase ------------------------------------------------------------------------------------------------------------------------------------ Class A 10/23/02 J(5) 47,619 11/24/04 12/16/04 Common 51,346(6) (5) -0- I (3) Warrant Stock to Purchase ------------------------------------------------------------------------------------------------------------------------------------ Class A 10/23/02 J(5) 23,809.5 11/24/04 12/16/04 Common 25,672(6) (5) -0- I (4) Warrant Stock to Purchase ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) The Reporting Persons are as follows: John Hancock Financial Services, Inc. ("JHFS"), JHFS's direct wholly-owned subsidiary John Hancock Life Insurance Company ("JHLICO"), JHLICO's direct wholly-owned subsidiary, John Hancock Variable Life Insurance Company ("JHVLICO") and JHVLICO's direct wholly-owned subsidiary, Investors Partner Life Insurance Company ("Partner"). See attached Joint Filer Information. (2) JHLICO is a direct, wholly-owned subsidiary of JHFS. JHFS may be deemed the indirect beneficial owner of securities beneficially owned by JHLICO. (3) Directly owned by JHVLICO. These securities may be deemed beneficially owned indirectly by JHFS and JHLICO. (4) Directly owned by Partner. These securities may be deemed beneficially owned indirectly by JHFS, JHLICO and JHVLICO. (5) The Class A Warrants and Class B Warrants were sold with the Convertible Preferred Stock. All of the consideration for the warrants and the Convertible Preferred Stock was attributed to the Convertible Preferred Stock. (6) These figures are based on the Issuer's 10-K dated December 31, 2001, which reports a slight anti-dilution adjustment. /s/ James E. Collins October 25, 2002 ----------------------------------------------- ---------------------------- ** James E. Collins Date Vice President and Corporate Secretary ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 of 3 Joint Filer Information Issuer Name and Trading Symbol: Nexell Therapeutics, Inc. ("NEXL") Statement for: October 23, 2002 Designated Reporter: John Hancock Financial Services, Inc. 1. Name and address of Reporting Person: Name and address of Reporting Person: John Hancock Life Insurance Company Investors Partner Life Insurance Company 200 Clarendon Street 200 Clarendon Street Boston, MA 02117 Boston, MA 02117 IRS Number: 04-1414660 IRS Number: 13-3072894 By: Stephen J. Blewitt By: /s/ Stephen J. Blewitt ------------------------- --------------------------- Stephen J. Blewitt Stephen J. Blewitt Authorized Signatory Authorized Signatory 3. Name and address of Reporting Person: John Hancock Variable Life Insurance Company 200 Clarendon Street Boston, MA 02117 IRS Number: 04-2664016 By: /s/ Stephen J. Blewitt ------------------------- Stephen J. Blewitt Authorized Signatory
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