SEC Form 4 · accession 0001209191-18-018940
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
Mar 9, 2018
Accepted (ET)
Mar 12, 2018 · 6:05 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 | Mar 9, 2018 | M | 500,000 | $2.55 | A | 1,787,542 | I | By Shrotriya Gift Trust |
| Common Stock, $0.001 par value | holding | — | — | — | 1,615,963 | I | By CS Family Trust | |
| Common Stock, $0.001 par value | holding | — | — | — | 1,243,284 | I | By RS Irrevocable 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 | — | — | — | 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) | $2.55 | Mar 9, 2018 | M | 500,000 | D | Mar 25, 2009 | Mar 25, 2018 | Common Stock | 500,000 | 0 | I |