SEC Form 4 · accession 0001209191-19-003468
SPECTRUM PHARMACEUTICALS INC · SPPI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kurt A Gustafson
Officer — EVP & Chief Financial Officer
Period of report
Jan 9, 2019
Accepted (ET)
Jan 11, 2019 · 6:27 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, $0.001F1 | Jan 9, 2019 | A | 100,326 | $0.00 | A | 253,795 | D | |
| Common Stock, $0.001F3 | Jan 11, 2019 | S | 33,692 | $10.873 | D | 220,103 | D | |
| Common Stock, $0.001 | holding | — | — | — | 6,953 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares of common stock reported herein as a result of the determination by the Compensation Committee that applicable performance criteria have been satisfied pursuant to the terms of Mr. Gustafson's award agreement.
- F2This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with performance restricted stock units granted by the issuer.
- F3Since the date of the reporting person's last ownership report, he transferred 32,262 shares of the Company's common stock to his ex-wife pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife.