SEC Form 4 · accession 0001209191-18-060692
SPECTRUM PHARMACEUTICALS INC · SPPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Ashton
Director
Period of report
Nov 30, 2018
Accepted (ET)
Dec 3, 2018 · 7:54 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 | Nov 30, 2018 | A | 3,333 | $0.00 | A | 13,333 | 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 | $14.02 | Nov 30, 2018 | A | 6,667 | A | — | Nov 30, 2028 | Common Stock | 6,667 | 6,667 | D |
Explanation of responses
- F1100% of the restricted shares shall vest on June 19, 2019.
- F225% of the option shares vested on November 30, 2018. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.