SEC Form 4 · accession 0001209191-15-016912
SPECTRUM PHARMACEUTICALS INC · SPPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rajesh C Shrotriya M.D.
Officer — Chairman & CEO · Director · 10% Owner
Period of report
Feb 18, 2015
Accepted (ET)
Feb 20, 2015 · 6:39 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000831547
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par valueF1 | Feb 18, 2015 | A | 100,000 | $0.00 | A | 1,826,407 | D | |
| Common Stock, $0.001 par valueF2 | Feb 18, 2015 | F | 6,766 | $7.23 | D | 1,819,641 | D | |
| Common Stock, $0.001 par value | holding | — | — | — | 445,993 | I | By CS Family Trust | |
| Common Stock, $0.001 par value | holding | — | — | — | 24,764 | I | By 401(k) Plan | |
| Common Stock, $0.001 par value | holding | — | — | — | 10,676 | I | By Shrotriya Gift | |
| Common Stock, $0.001 par value | holding | — | — | — | 9,523 | I | By Spouse | |
| Common Stock, $0.001 par value | holding | — | — | — | 78,089 | I | By Shrotriya Family Foundation |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F125% of the restricted shares vested on February 18, 2015. The remaining restricted shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.
- F2Represents restricted shares withheld by Spectrum to satisfy the Reporting Person's tax withholding obligations. The shares have not been sold by the Reporting Person or by Spectrum. The shares have been cancelled by the transfer agent and returned to Spectrum's authorized and unissued share pool.