SEC Form 5 · accession 0001209191-17-009454
SPECTRUM PHARMACEUTICALS INC · SPPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony E Maida III
Director
Period of report
Dec 31, 2016
Accepted (ET)
Feb 10, 2017 · 2:49 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 | Jan 15, 2016 | G | 5,000 | $0.00 | D | 23,553 | D | |
| Common Stock, $0.001 Par Value | Jan 15, 2016 | G | 2,500 | $0.00 | D | 23,553 | D | |
| Common Stock, $0.001 Par ValueF2 | Jan 15, 2016 | G | 2,500 | $0.00 | A | 6,192 | I | By Daughter |
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 two adult children, who do not share the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his two adult children, and this report should not be deemed an admission that the reporting person is the beneficial owner of his children's shares for purposes of Section 16 or any other purpose.
- F2This transaction involved a gift of securities by the reporting person to his adult daughter who shares the reporting person's household. The reporting person has an indirect beneficial ownership for purposes of Section 16. The reporting person disclaims beneficial ownership of the shares held by his adult daughter, and this report should not be deemed an admission that the reporting person is the beneficial owner of his children's shares for purposes of Section 16 or any other purpose.