SEC Form 4 · accession 0001209191-15-086831
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
Dec 22, 2015
Accepted (ET)
Dec 23, 2015 · 4:03 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 value | Dec 22, 2015 | M | 90,750 | $4.23 | A | 101,426 | I | By Shrotriya Gift Trust |
| Common Stock, $0.001 par valueF1 | Dec 22, 2015 | F | 65,732 | $5.84 | D | 35,694 | I | By Shrotriya Gift Trust |
| Common Stock, $0.001 par value | Dec 22, 2015 | M | 38,498 | $4.23 | A | 38,498 | I | By Shrotriya Annuity Trust |
| Common Stock, $0.001 par valueF1 | Dec 22, 2015 | F | 27,885 | $5.84 | D | 10,613 | I | By Shrotriya Annuity Trust |
| Common Stock, $0.001 par value | holding | — | — | — | 1,766,740 | D | ||
| Common Stock, $0.001 par value | holding | — | — | — | 498,894 | I | By CS Family Trust | |
| Common Stock, $0.001 par value | holding | — | — | — | 26,128 | I | By 401(k) Plan | |
| 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
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option Exercise (Right to Buy) | $4.23 | Dec 22, 2015 | M | 90,750 | D | Jan 1, 2009 | Jan 1, 2016 | Common Stock | 90,750 | 0 | I |
| Stock Option Exercise (Right to Buy) | $4.23 | Dec 22, 2015 | M | 38,498 | D | Jan 1, 2009 | Jan 1, 2016 | Common Stock | 38,498 | 0 | I |
Explanation of responses
- F1Represents shares withheld by Spectrum to satisfy the Reporting Person's payment of the exercise price. The shares have not been sold by the Reporting Person or by Spectrum. The shares have been cancelled by the transfer agent.