SEC Form 4 · accession 0001209191-19-002885
SPECTRUM PHARMACEUTICALS INC · SPPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anthony E Maida III
Director
Period of report
Jan 7, 2019
Accepted (ET)
Jan 8, 2019 · 5:56 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 value | Jan 7, 2019 | M | 7,250 | $3.92 | A | 40,238 | D | |
| Common Stock, $0.001 par value | Jan 7, 2019 | S | 7,250 | $10.00 | D | 32,988 | 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 Exercise (Right to Buy)F2 | $3.92 | Jan 7, 2019 | M | 7,250 | D | — | Jul 1, 2020 | Common Stock | 7,250 | 1,550 | D |
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 October 16, 2018.
- F2The stock option, representing the right to purchase a total of 30,000 shares of common stock, was granted on July 1, 2010. The stock option became exercisable as to 7,500 shares on July 1, 2010, 7,500 shares on July 1, 2011, 7,500 shares on July 1, 2012 and 7,500 shares on July 1, 2013.