SEC Form 4 · accession 0001209191-17-045561
SPECTRUM PHARMACEUTICALS INC · SPPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stuart Mitchell Krassner
Director
Period of report
Jul 17, 2017
Accepted (ET)
Jul 18, 2017 · 6:00 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 | Jul 17, 2017 | M | 15,000 | $6.90 | A | 67,444 | D | |
| Common Stock, $0.001 par valueF1 | Jul 17, 2017 | F | 13,745 | $7.53 | D | 53,699 | D | |
| Common Stock, $0.001 par valueF2 | Jul 17, 2017 | F | 442 | $7.53 | D | 53,257 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option Exercise (Right to Buy)F3 | $6.90 | Jul 17, 2017 | M | 15,000 | D | — | Jul 17, 2017 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1Represents shares withheld by Spectrum to satisfy the Reporting Person's payment of the exercise price. The shares have not been sold by the Reporting Person or by Spectrum. The shares have been cancelled by the transfer agent.
- 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.
- F3The stock option, representing the right to purchase a total of 15,000 shares of common stock, was granted on July 20, 2007. The stock option became exercisable as to 3,750 shares on July 20, 2007, 3,750 shares on July 20, 2008, 3,750 shares on July 20, 2009, and 3,750 shares on July 20, 2010.