SEC Form 4 · accession 0001209191-17-063673
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
Period of report
Nov 30, 2017
Accepted (ET)
Dec 4, 2017 · 7:42 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 valueF1 | Nov 30, 2017 | M | 100,000 | $3.15 | A | 214,684 | I | By Shrotriya Gift Trust |
| Common Stock, $0.001 par valueF2 | Nov 30, 2017 | F | 16,545 | $19.04 | D | 198,139 | I | By Shrotriya Gift Trust |
| Common Stock, $0.001 par valueF3 | Nov 30, 2017 | F | 27,666 | $19.04 | D | 170,473 | I | By Shrotriya Gift Trust |
| Common Stock, $0.001 par valueF4 | Nov 30, 2017 | G | 27,666 | $19.04 | D | 1,829,047 | D | |
| Common Stock, $0.001 par value | holding | — | — | — | 498,894 | I | By CS Family Trust | |
| Common Stock, $0.001 par value | holding | — | — | — | 28,907 | I | By 401(k) Plan | |
| Common Stock, $0.001 par value | holding | — | — | — | 9,523 | I | By Spouse | |
| Common Stock, $0.001 par value | holding | — | — | — | 68,575 | I | By Shrotriya Family Foundation |
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) | $3.15 | Nov 30, 2017 | M | 100,000 | D | Dec 6, 2010 | Dec 6, 2017 | Common Stock | 100,000 | 0 | I |
Explanation of responses
- F1Includes 27,666 shares previously owned directly which the reporting person contributed to the Shrotriya Gift Trust on November 30, 2017.
- F2Represents shares withheld by Spectrum to satisfy the Shrotriya Gift Trust's payment of the exercise price. The shares have not been sold by the Shrotriya Gift Trust or by Spectrum. The shares have been cancelled by the transfer agent.
- F3Represents shares withheld by Spectrum to satisfy the Shrotriya Gift Trust's tax withholding obligations. The shares have not been sold by the Shrotriya Gift Trust or by Spectrum. The shares have been cancelled by the transfer agent.
- F4This transaction involved a transfer from the reporting person to the Shrotriya Gift Trust.