SEC Form 4 · accession 0001209191-18-028834
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
May 7, 2018
Accepted (ET)
May 9, 2018 · 4:02 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 valueF2 | May 7, 2018 | S | 30,000 | $15.98 | D | 759,977 | I | By CS Family Trust |
| Common Stock, $0.001 par valueF3 | May 8, 2018 | S | 30,000 | $16.11 | D | 729,977 | I | By CS Family Trust |
| Common Stock, $0.001 par valueF4 | May 9, 2018 | S | 30,000 | $16.21 | D | 699,977 | I | By CS Family Trust |
| Common Stock, $0.001 par value | holding | — | — | — | 1,787,542 | I | By Shrotriya Gift 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 | |
| Common Stock, $0.001 par value | holding | — | — | — | 200,652 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 19, 2018.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.61 to $16.39, inclusive. The reporting person undertakes to provide to Spectrum Pharmaceuticals, Inc., any security holder of Spectrum Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.99 to $16.20, inclusive. The reporting person undertakes to provide to Spectrum Pharmaceuticals, Inc., any security holder of Spectrum Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.09 to $16.30, inclusive. The reporting person undertakes to provide to Spectrum Pharmaceuticals, Inc., any security holder of Spectrum Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.