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Filing
FORM 4 |
UNITED STATES 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 or Section 30(h) of the Investment Company Act of 1940 |
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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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ADVENTRX PHARMACEUTICALS INC [ ANX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 10/04/2004 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 10/04/2004 | P | 2,300 | A | $1.19 | 4,382,300 | D | |||
Common Stock | 10/04/2004 | P | 700 | A | $1.19 | 4,383,000 | D | |||
Common Stock | 10/26/2004 | P | 100 | A | $0.93 | 4,383,100 | D | |||
Common Stock | 10/26/2004 | P | 100 | A | $0.93 | 4,383,200 | D | |||
Common Stock | 10/26/2004 | P | 500 | A | $0.93 | 4,383,700 | D | |||
Common Stock | 10/26/2004 | P | 1,500 | A | $0.93 | 4,385,200 | D | |||
Common Stock | 10/26/2004 | P | 400 | A | $0.93 | 4,385,600 | D | |||
Common Stock | 10/26/2004 | P | 100 | A | $0.93 | 4,385,700 | D | |||
Common Stock | 10/26/2004 | P | 400 | A | $0.93 | 4,386,100 | D | |||
Common Stock | 10/26/2004 | P | 100 | A | $0.93 | 4,386,200 | D | |||
Common Stock | 11/30/2004 | P | 1,800 | A | $0.86 | 4,388,000 | D | |||
Common Stock | 03/22/2005 | S | 3,000 | D | $1.5 | 4,385,000 | D | |||
Common Stock | 10/27/2005 | S | 3,800 | D | $3.16 | 4,381,200 | D | |||
Common Stock | 01/03/2006 | S | 1,200 | D | $3.22 | 4,380,000 | D | |||
Common Stock | 01/06/2006 | P | 900 | A | $3.86 | 4,380,900 | D | |||
Common Stock | 01/06/2006 | P | 100 | A | $3.86 | 4,381,000 | D | |||
Common Stock | 01/06/2006 | P | 1,000 | A | $3.87 | 4,382,000 | D | |||
Common Stock | 02/23/2006 | S | 2,000 | D | $4.29 | 4,380,000 | D | |||
Common Stock | 05/01/2006 | P | 1,000 | A | $5.15 | 4,381,000 | D | |||
Common Stock | 05/05/2006 | P | 1,000 | A | $4.47 | 4,382,000 | D | |||
Common Stock | 05/18/2006 | P | 1,000 | A | $4.36 | 4,383,000 | D | |||
Common Stock | 06/19/2006 | P | 1,000 | A | $3.15 | 4,384,000 | D | |||
Common Stock | 07/24/2006 | S | 1,000 | D | $2.82 | 4,383,000 | D | |||
Common Stock | 11/13/2006 | P | 1,000 | A | $2.63 | 4,384,000 | D | |||
Common Stock | 10/22/2007 | S | 900 | D | $0.6012 | 4,383,100 | D | |||
Common Stock | 10/22/2007 | S | 100 | D | $0.601 | 4,383,000 | D | |||
Common Stock | 11/19/2007 | S | 3,000 | D | $0.59 | 4,380,000 | D | |||
Common Stock | 02/04/2008 | P | 5,000 | A | $0.42 | 4,385,000 | D | |||
Common Stock | 02/05/2008 | P | 3,000 | A | $0.43 | 4,388,000 | D | |||
Common Stock | 02/05/2008 | P | 2,000 | A | $0.42 | 4,390,000 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
Remarks: |
All of the transactions reported herein were executed by the Reporting Person's father through a brokerage account in the name of the Reporting Person and his father as joint tenants with right of survivorship. The Reporting Person did not contribute any funds to this brokerage account or direct any of transactions reported herein. The Reporting Person was not alerted to these transactions until February 2008. Certain of the Reporting Person's sales of the Issuer's common stock reported herein were matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to certain of the Reporting Person's purchases of the Issuer's common stock reported herein. The Reporting Person has paid to the Issuer a total of $4,397.18, representing the full amount of the recoverable profit from the "short swing" transactions. |
/s/ Evan Levine | 04/15/2008 | |
** Signature of Reporting Person | Date | |
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). | ||
** 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. | ||
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 Number. |