SEC Form 4 · accession 0001209191-18-031158
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 17, 2018
Accepted (ET)
May 17, 2018 · 6:38 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 | May 17, 2018 | M | 112,500 | $1.43 | A | 313,152 | D | |
| Common Stock, $0.001 par value | May 17, 2018 | M | 250,426 | $1.47 | A | 563,578 | D | |
| Common Stock, $0.001 par value | May 17, 2018 | G | 362,926 | $0.00 | D | 200,652 | D | |
| Common Stock, $0.001 par value | May 17, 2018 | G | 362,926 | $0.00 | A | 978,889 | 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 | — | — | — | 40,000 | I | By ROTH IRA |
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) | $1.43 | May 17, 2018 | M | 112,500 | D | Dec 6, 2011 | Dec 6, 2018 | Common Stock | 112,500 | 0 | D |
| Stock Option Exercise (Right to Buy) | $1.47 | May 17, 2018 | M | 250,426 | D | Jan 16, 2012 | Jan 16, 2019 | Common Stock | 250,426 | 0 | D |
Explanation of responses
- F1Transfer for estate planning purposes by Reporting Person to the CS Family Trust. The Reporting Person has an indirect beneficial ownership as trustee of the CS Family Trust.