SEC Form 4 · accession 0001209191-18-004550
SPECTRUM PHARMACEUTICALS INC · SPPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kurt A Gustafson
Officer — EVP & Chief Financial Officer
Period of report
Jan 15, 2018
Accepted (ET)
Jan 19, 2018 · 4:21 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 | Jan 15, 2018 | A | 19,445 | $0.00 | A | 195,483 | D | |
| Common Stock, $0.001 par value | holding | — | — | — | 6,379 | I | By 401(k) plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $19.42 | Jan 15, 2018 | A | 87,500 | A | — | Jan 15, 2028 | Common Stock | 87,500 | 87,500 | D |
Explanation of responses
- F1One third of the aggregate amount of restricted shares shall vest on each of January 15, 2019, 2020 and 2021, respectively.
- F225% of the option shares vested on January 15, 2018. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.