SEC Form 5 · accession 0001209191-17-009463
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, 2016
Accepted (ET)
Feb 10, 2017 · 2:54 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 | Feb 9, 2016 | G | 9,000 | $0.00 | D | 1,797,024 | D | |
| Common Stock, $.001 Par Value | Feb 9, 2016 | G | 6,000 | $0.00 | D | 1,797,024 | D | |
| Common Stock, $.001 Par ValueF3 | Dec 19, 2016 | G | 4,320 | $0.00 | D | 69,349 | I | By Shrotriya Family Foundation |
| Common Stock, $.001 Par Value | Oct 3, 2016 | G | 10,613 | $0.00 | A | 1,797,024 | D | |
| Common Stock, $.001 Par ValueF4 | Oct 3, 2016 | G | 10,613 | $0.00 | D | 0 | I | By Shrotriya Annuity Trust |
| Common Stock, $.001 Par Value | holding | — | — | — | 498,894 | I | By CS Family Trust | |
| Common Stock, $.001 Par Value | holding | — | — | — | 87,018 | I | By Shrotriya Gift Trust | |
| Common Stock, $.001 Par Value | holding | — | — | — | 27,976 | I | By 401(k) plan | |
| Common Stock, $.001 Par Value | holding | — | — | — | 9,523 | I | By Spouse |
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.
- F2This 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 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.
- F3This transaction involved a gift of securities by the Shrotriya Family Foundation, a Nevada nonprofit corporation, to a nonprofit charitable organization. The reporting person has an indirect beneficial ownership, as a director and officer of the Shrotriya Family Foundation, a Nevada nonprofit corporation.
- F4This transaction involved a transfer back to the reporting person from the Shrotriya Annuity Trust as a result of the termination of such Trust.