SEC Form 4 · accession 0001209191-18-003315
SPECTRUM PHARMACEUTICALS INC · SPPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rajesh C Shrotriya M.D.
Director
Period of report
Jan 9, 2018
Accepted (ET)
Jan 11, 2018 · 9:27 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 9, 2018 | M | 8,818 | $11.34 | A | 1,797,865 | D | |
| Common Stock, $0.001 par value | Jan 9, 2018 | M | 27,624 | $7.24 | A | 1,825,489 | D | |
| Common Stock, $0.001 par value | Jan 9, 2018 | M | 478,495 | $4.65 | A | 2,303,984 | D | |
| Common Stock, $0.001 par value | Jan 9, 2018 | M | 500,000 | $3.92 | A | 2,803,984 | D | |
| Common Stock, $0.001 par value | Jan 9, 2018 | M | 985,444 | $6.87 | A | 3,789,428 | D | |
| Common Stock, $0.001 par value | Jan 9, 2018 | M | 500,000 | $8.27 | A | 4,289,428 | D | |
| Common Stock, $0.001 par value | Jan 9, 2018 | M | 955,847 | $11.34 | A | 5,245,275 | D | |
| Common Stock, $0.001 par value | Jan 9, 2018 | M | 650,000 | $9.18 | A | 5,895,275 | D | |
| Common Stock, $0.001 par value | Jan 9, 2018 | M | 622,376 | $7.24 | A | 6,517,651 | D | |
| Common Stock, $0.001 par value | Jan 9, 2018 | M | 412,500 | $5.86 | A | 6,930,151 | D | |
| Common Stock, $0.001 par value | Jan 9, 2018 | M | 58,480 | $6.69 | A | 6,988,631 | D | |
| Common Stock, $0.001 par valueF1,F2 | Jan 9, 2018 | F | 3,500,294 | $18.03 | D | 3,488,337 | D | |
| Common Stock, $0.001 par valueF3 | holding | — | — | — | 3,477,422 | I | By RS Irrevocable Trust | |
| 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) | |
| Common Stock, $0.001 par valueF4 | holding | — | — | — | 40,000 | I | By ROTH IRA | |
| Common Stock, $0.001 par value | holding | — | — | — | 9,523 | I | By Spouse | |
| Common Stock, $0.001 par value | holding | — | — | — | 170,473 | I | By Shrotriya Gift Trust | |
| Common Stock, $0.001 par value | holding | — | — | — | 67,144 | 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) | $11.34 | Jan 9, 2018 | M | 8,818 | D | Dec 19, 2015 | Dec 17, 2020 | Common Stock | 8,818 | 0 | D |
| Stock Option Exercise (Right to Buy) | $7.24 | Jan 9, 2018 | M | 27,624 | D | Dec 19, 2017 | Dec 17, 2020 | Common Stock | 27,624 | 0 | D |
| Stock Option Exercise (Right to Buy) | $4.65 | Jan 9, 2018 | M | 478,495 | D | Jan 8, 2013 | Jan 8, 2020 | Common Stock | 478,495 | 0 | D |
| Stock Option Exercise (Right to Buy) | $3.92 | Jan 9, 2018 | M | 500,000 | D | Jul 1, 2013 | Jul 1, 2020 | Common Stock | 500,000 | 0 | D |
| Stock Option Exercise (Right to Buy) | $6.87 | Jan 9, 2018 | M | 985,444 | D | Jan 3, 2014 | Dec 17, 2020 | Common Stock | 985,444 | 0 | D |
| Stock Option Exercise (Right to Buy) | $8.27 | Jan 9, 2018 | M | 500,000 | D | Jun 12, 2014 | Dec 17, 2020 | Common Stock | 500,000 | 0 | D |
| Stock Option Exercise (Right to Buy) | $11.34 | Jan 9, 2018 | M | 955,847 | D | Dec 19, 2015 | Dec 17, 2020 | Common Stock | 955,847 | 0 | D |
| Stock Option Exercise (Right to Buy) | $9.18 | Jan 9, 2018 | M | 650,000 | D | Dec 13, 2016 | Dec 17, 2020 | Common Stock | 650,000 | 0 | D |
| Stock Option Exercise (Right to Buy) | $7.24 | Jan 9, 2018 | M | 622,376 | D | Dec 19, 2017 | Dec 17, 2020 | Common Stock | 622,376 | 0 | D |
| Stock Option Exercise (Right to Buy) | $5.86 | Jan 9, 2018 | M | 412,500 | D | Dec 17, 2017 | Dec 17, 2020 | Common Stock | 412,500 | 0 | D |
| Stock Option Exercise (Right to Buy) | $6.69 | Jan 9, 2018 | M | 58,480 | D | Dec 17, 2017 | Dec 17, 2020 | Common Stock | 58,480 | 0 | D |
Explanation of responses
- F1Represents shares withheld by Spectrum to satisfy the Reporting Person's payment of the exercise price and 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.
- F2Upon completion of the proposed contribution of shares to the RS Irrevocable Trust referenced in footnote 3 below, the shares included in this Form 4 shall all be held indirectly by the Reporting Person.
- F3Includes 1,627,888 shares previously owned directly which the reporting person contributed to the RS Irrevocable Trust on December 29, 2017 and 1,762,320 shares exercised by the reporting person on January 9, 2018 and reported on this Form 4.
- F4Includes 40,000 shares previously owned directly which the reporting person contributed to a ROTH IRA.