SEC Form 4 · accession 0001209191-19-011737
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
Feb 18, 2019
Accepted (ET)
Feb 20, 2019 · 5:46 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 | Feb 18, 2019 | A | 40,000 | $0.00 | A | 256,896 | D | |
| Common Stock, $0.001 par value | holding | — | — | — | 7,113 | I | By 401(k) plan |
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 | $11.71 | Feb 18, 2019 | A | 90,000 | A | — | Feb 18, 2029 | Common Stock | 90,000 | 90,000 | D |
Explanation of responses
- F1One third of the aggregate amount of restricted shares shall vest on each of February 18, 2020, 2021 and 2022, respectively.
- F225% of the option shares vested on February 18, 2019. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.