SEC Info - Hancock John Financial Services Inc. - ‘5’ for 12/31/00 re: Nexell Therapeutics Inc.

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Hancock John Financial Services Inc. – ‘5’ for 12/31/00 re: Nexell Therapeutics Inc.

As of: Wednesday, 2/14/01 · For: 12/31/00 · Accession #: 1010521-1-144 · File #: 0-19153

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/14/01  Hancock John Fin’l Services Inc.  5          10% Owner   1:13K  Nexell Therapeutics Inc.          Maffucci Noel/FA

Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5 — SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 5           Nexell Therapeutics Inc.                               5±    24K 

5 1st “Page” of 3 TOC ↑Top Previous Next ↓Bottom Just 1st
 
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 U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 5

 ANNUAL 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(f) of the Investment Company Act of 1940

[_]  Check this box if no longer  subject to Section 16. Form 4 or Form 5       
obligations may continue. See Instruction 1(b*).                      

[_]  Form 3 Holdings Reported                                                   

[_]  Form 4 Transactions Reported                                               

________________________________________________________________________________
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.   IRS or Social Security Number of Reporting Person (Voluntary)              

04-3483032                                                                      
________________________________________________________________________________
4.   Statement for Month/Year                                                   

12/00                                                                           
________________________________________________________________________________
5.   If Amendment, Date of Original (Month/Year)                                

________________________________________________________________________________
6.   Relationship of Reporting Person 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 
================================================================================

                                                        [Enlarge/Download Table]


                                                                                                 5.             6.                  
                                                                 4.                              Amount of      Owner-              
                                                                 Securities Acquired (A) or      Securities     ship                
                                                                 Disposed of (D)                 Beneficially   Form:     7.        
                                                                 (Instr. 3, 4 and 5)             Owned at End   Direct    Nature of 
                                      2.            3.           -----------------------------   of Issuer's    (D) or    Indirect  
1.                                    Transaction   Transaction                  (A)             Fiscal Year    Indirect  Beneficial
Title of Security                     Date          Code             Amount      or     Price    (Instr. 3      (I)       Ownership 
(Instr. 3)                       (Month/Day/Year)   (Instr. 8)                   (D)             and 4)         (Instr.4) (Instr. 4)
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====================================================================================================================================

Reminder:  Report on a separate line for each class of securities beneficially  
owned directly or indirectly.                                                   

*    If form is filed by more than one reporting person, see Instruction        
4(b)(v).                                                              

                                                                 SEC 2270 (3/99)
 Page 1 of 3

5 2nd “Page” of 3 TOC 1st Previous Next ↓Bottom Just 2nd
FORM 5 (continued)                                                              

Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned  
(e.g., puts, calls, warrants, options, convertible securities)

================================================================================

                                                        [Enlarge/Download Table]

                                                                                                          9.        10.             
                                                                                                          Number    Owner-          
                                                                                                          of        ship            
                    2.                                                                                    Deriv-    of              
                    Conver-                    5.                              7.                         ative     Deriv-   11.    
                    sion                       Number of                       Title and Amount           Secur-    ative    Nature 
                    or                         Derivative    6.                of Underlying     8.       ities     Secur-   of     
                    Exer-                      Securities    Date              Securities        Price    Bene-     ity:     In-    
                    cise     3.                Acquired (A)  Exercisable and   (Instr. 3 and 4)  of       ficially  Direct   direct 
                    Price    Trans-   4.       or Disposed   Expiration Date   ----------------  Deriv-   Owned     (D) or   Bene-  
1.                  of       action   Trans-   of (D)        (Month/Day/Year)            Amount  ative    at End    In-      ficial 
Title of            Deriv-   Date     action   (Instr. 3,    ----------------            or      Secur-   of        direct   Owner- 
Derivative          ative    (Month/  Code     4 and 5)      Date     Expira-            Number  ity      Year      (I)      ship   
Security            Secur-   Day/     (Instr.  ------------  Exer-    tion               of      (Instr.  (Instr.   (Instr.  (Instr.
(Instr. 3)          ity      Year)    8)        (A)   (D)    cisable  Date     Title     Shares  5)       4)        4)       4)     
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Series B Cumulative                   J (2)             11/24/99   (3)      Common 2,727,272.75  $11.00       30,000     (4)   (4)  
Convertible                                                                 Stock                                                   
Preferred Stock                                                                                                                     
------------------------------------------------------------------------------------------------------------------------------------
Series B Cumulative                   J (2)             11/24/99   (3)      Common   181,818.25  $11.00        2,000     (5)   (5)  
Convertible                                                                 Stock                                                   
Preferred Stock                                                                                                                     
------------------------------------------------------------------------------------------------------------------------------------
Series B Cumulative                   J (2)             11/24/99   (3)      Common       90,909  $11.00        1,000     (6)   (6)  
Convertible                                                                 Stock                                                   
Preferred Stock                                                                                                                     
------------------------------------------------------------------------------------------------------------------------------------
Class B Warrant to                    J (2)             11/24/99  12/16/04  Common   357,142.75  $12.00   357,142.75     (4)   (4)  
Purchase                                                                    Stock                                                   
------------------------------------------------------------------------------------------------------------------------------------
Class B Warrant to                    J (2)             11/24/99  12/16/04  Common     23,809.5  $12.00     23,809.5     (5)   (5)  
Purchase                                                                    Stock                                                   
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Class B Warrant to                    J (2)             11/24/99  12/16/04  Common    11,904.75  $12.00    11,904.75     (6)   (6)  
Purchase                                                                    Stock                                                   
------------------------------------------------------------------------------------------------------------------------------------
Class A Warrant to                    J (2)             11/24/04  12/16/04  Common  714,285.5-0(7) $.04  714,285.5-0(7)  (4)   (4)  
Purchase                                                                    Stock                                                   
------------------------------------------------------------------------------------------------------------------------------------
Class A Warrant to                    J (2)             11/24/04  12/16/04  Common     47,619-0(7) $.04     47,619-0(7)  (5)   (5)  
Purchase                                                                    Stock                                                   
------------------------------------------------------------------------------------------------------------------------------------
Class A Warrant to                    J (2)             11/24/04  12/16/04  Common   23,809.5-0(7) $.04   23,809.5-0(7)  (6)   (6)  
Purchase                                                                    Stock                                                   
====================================================================================================================================

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 ("Partners"). See attached                                                 
    Joint Filer Information.                                                                                                        
(2) On 6/15/00 the Issuer implemented a 4 for 1 reverse split to shareholders of                                                    
    record as of that date.                                                                                                         
(3) The Preferred Stock automatically converts to Common Stock on November 24, 2006.                                                
(4) Directly owned by JHLICO. These securities may be deemed beneficially owned                                                     
    indirectly by JHFS.                                                                                                             
(5) Directly owned by JHVLICO. These securities may be deemed beneficially owned                                                    
    indirectly by JHFS and JHLICO.                                                                                                  
(6) Directly owned by Partners. These securities may be deemed beneficially                                                         
    owned indirectly by JHFS, JHLICO and JHVLICO.                                                                                   
(7) Number of shares of Common Stock into which Class A Warrants are exercisable                                                    
    depends on market price on November 24, 2004.                                                                                   

John Hancock Financial Services, Inc.                                                                                               

By:/s/Barry J. Rubenstein                                February 13, 2001                                                          
---------------------------------------------            -----------------------                                                    
   Barry J. Rubenstein                                          Date                                                                
   Vice President, Counsel & 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 provided 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.                                                                                                                   

                                                                 SEC 2270 (3/91)                                                    
                                   Page 2 of 3                                                                                      

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                             Joint Filer Information                                                                                
                             -----------------------                                                                                

              Issuer Name and Trading Symbol: Nexell Therapeutics, Inc. (NEXL)                                                      

              Date of Event Requiring Statement: December 31, 2000                                                                  

              Designated Reporter: John Hancock Financial Services, Inc.                                                            

1.       Name and address of Reporting Person:                   2.       Name and address of Reporting Person:                     
         -------------------------------------                            ------------------------------------                      

         John Hancock Life Insurance Company                              Investors Partners Life Insurance Company                 
         200 Clarendon Street                                             200 Clarendon Street                                      
         Boston, MA 02117                                                 Boston, MA 02117                                          

         IRS Number:  04-1414660                                          IRS Number:  13-3072894                                   
         ----------                                                       ----------                                                

         By:  _____________________________________                       By:  _____________________________________                
                 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:  _____________________________________                                                                                 
                 Stephen J. Blewitt                                                                                                 
                 Authorized Signatory                                                                                               

                                  Page 3 of 3

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Dates Referenced Herein and Documents Incorporated by Reference

		Referenced-On Page
This ‘5’ Filing	Date	First	Last	Other Filings

	11/24/06	2
	11/24/04	2
	12/31/01	1		10-K, 10-K/A, 10-K405, 11-K, ARS
Filed on:	2/14/01			SC 13G, SC 13G/A
	2/13/01	2		SC 13G, SC 13G/A
For Period end:	12/31/00	3		10-K, 10-K405, 4, 5
				List all Filings

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Filing Submission 0001010521-01-000144 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Hancock John Financial Services Inc. – ‘5’ for 12/31/00 re: Nexell Therapeutics Inc.

As of: Wednesday, 2/14/01 · For: 12/31/00 · Accession #: 1010521-1-144 · File #: 0-19153

Previous ‘5’: ‘5’ on 2/12/01 for 12/31/00 · Next & Latest: ‘5’ on 3/26/04 for 12/31/96

Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5 — SEA’34Filing Table of Contents

Dates Referenced Herein and Documents Incorporated by Reference

Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5 — SEA’34
Filing Table of Contents