SEC Form 4 · accession 0001209191-18-038684
SPECTRUM PHARMACEUTICALS INC · SPPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gilles Gagnon
Director
Period of report
Jun 18, 2018
Accepted (ET)
Jun 19, 2018 · 7:18 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 valueF1 | Jun 18, 2018 | A | 10,000 | $0.00 | A | 82,500 | D |
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 | $19.95 | Jun 18, 2018 | A | 20,000 | A | — | Jun 18, 2028 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1100% of the restricted stock units may be settled solely by the delivery of shares of common stock and shall vest on the earlier of (1) June 18, 2019 or (2) the date of the company's 2019 Annual Meeting of Stockholders.
- F225% of the option shares vested on June 18, 2018. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.