SEC Form 5 · accession 0001209191-16-094103
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 31, 2015
Accepted (ET)
Jan 29, 2016 · 3:24 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, $.001 Par Value | Jan 7, 2015 | G | 5,943 | $0.00 | D | 1,708,249 | D | |
| Common Stock, $.001 Par Value | Dec 17, 2015 | G | 7,167 | $0.00 | D | 1,708,249 | D | |
| Common Stock, $.001 Par Value | Dec 18, 2015 | G | 52,901 | $0.00 | D | 1,708,249 | D | |
| Common Stock, $.001 Par ValueF2 | Dec 18, 2015 | G | 52,901 | $0.00 | A | 498,894 | I | By CS Family Trust |
| Common Stock, $.001 Par Value | Dec 24, 2015 | G | 51,324 | $0.00 | D | 1,708,249 | D | |
| Common Stock, $.001 Par ValueF3 | Dec 24, 2015 | G | 51,324 | $0.00 | A | 87,018 | I | By Shrotriya Gift Trust |
| Common Stock, $.001 Par ValueF4 | Dec 29, 2015 | G | 4,420 | $0.00 | D | 73,669 | I | By Shrotriya Family Foundation |
| Common Stock, $.001 Par Value | holding | — | — | — | 9,523 | I | By Spouse | |
| Common Stock, $.001 Par Value | holding | — | — | — | 10,613 | I | By Shrotriya Annuity Trust | |
| Common Stock, $.001 Par Value | holding | — | — | — | 26,128 | I | By 401(k) plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction involved a gift of securities by the reporting person to his three grandchildren who do not share the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his three grandchildren, and this report should not be deemed an admission that the reporting person is the beneficial owner of his grandchildren's shares for purposes of Section 16 or any other purpose.
- F2Transfer for estate planning purposes by reporting person to the CS Family Trust. The reporting person has an indirect beneficial ownership as trustee of the CS Family Trust.
- F3Transfer for estate planning purposes by reporting person to the Shrotriya Gift Trust. The reporting person has an indirect beneficial ownership through spouse, as trustee of the Shrotriya Gift Trust.
- F4This transaction involved a gift of securities by the Shrotriya Family Foundation, a Nevada nonprofit corporation, to two nonprofit charitable organizations. The reporting person has an indirect beneficial ownership, as a director and officer of the Shrotriya Family Foundation, a Nevada nonprofit corporation.