SEC Form 4 · accession 0001209191-17-023725

SPECTRUM PHARMACEUTICALS INC · SPPI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman & CEO · Director · 10% Owner

Period of report

Mar 28, 2017

Accepted (ET)

Mar 30, 2017 · 6:50 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 value^F1	Mar 28, 2017	A	100,326	$0.00	A	1,883,573	D
Common Stock, $0.001^F2	Mar 28, 2017	F	6,860	$6.69	D	1,876,713	D
Common Stock, $0.001	holding	—	—		—	69,349	I	By Shrotriya Family Foundation
Common Stock, $0.001	holding	—	—		—	498,894	I	By CS Family Trust
Common Stock, $0.001	holding	—	—		—	87,018	I	By Shrotriya Gift Trust
Common Stock, $0.001	holding	—	—		—	27,976	I	By 401(k) Plan
Common Stock, $0.001	holding	—	—		—	9,523	I	By Spouse

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F3	$6.69	Mar 28, 2017	A	233,918	A	—	Mar 28, 2027	Common Stock	233,918	233,918	D

F125% of the restricted shares vested on March 28, 2017. The remaining restricted shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.
F2Represents shares withheld by Spectrum to satisfy the 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.
F325% of the option shares vested on March 28, 2017. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.