SEC Form 4 · accession 0001209191-16-110418
SPECTRUM PHARMACEUTICALS INC · SPPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kurt A Gustafson
Officer — EVP & Chief Financial Officer
Period of report
Mar 22, 2016
Accepted (ET)
Mar 24, 2016 · 4:40 pm EDT
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 | Mar 22, 2016 | A | 30,000 | $0.00 | A | 149,030 | D | |
| Common Stock, $0.001 par valueF2 | Mar 22, 2016 | F | 3,010 | $6.08 | D | 146,020 | D | |
| Common Stock, $0.001 par value | holding | — | — | — | 4,086 | I | by 401(k) plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F125% of the restricted shares vested on March 22, 2016. 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 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.