Delaware | 93-0979187 | |
(State or other jurisdiction of | (I.R.S. Employer | |
incorporation or organization) | Identification No.) |
11500 South Eastern Avenue, Suite 240, Henderson, Nevada | 89052 |
(Address of Principal Executive Offices) | (Zip Code) |
Large accelerated filer x | Accelerated filer ¨ |
Non-accelerated filer ¨ | Smaller reporting company ¨ |
Emerging growth company ¨ | |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 7(a)(2)(B) of the Securities Act. ¨ |
Title of securities to be registered | Amount to be registered(1) | Proposed maximum offering price per share | Proposed maximum aggregate offering price | Amount of registration fee |
Common Stock, $0.001 par value per share | 8,500,000(2) | $2.94(4) | $24,990,000(4) | $3,243.70 |
Common Stock, $0.001 par value per share | 80,000(3) | $2.94(5) | $235,200(5) | $30.53 |
(1) | Pursuant to Rule 416(a) of the Securities Act of 1933, as amended (the “Securities Act”), this Registration Statement on Form S-8 (this “Registration Statement”) also covers any additional shares of common stock, par value $0.001 per share (the “Common Stock”), of Spectrum Pharmaceuticals, Inc., a Delaware corporation (the “Company” or the “Registrant”), that may be offered or issued under the Spectrum Pharmaceuticals, Inc. 2018 Long-Term Incentive Plan (the “2018 Plan”) to prevent dilution resulting from stock splits, stock dividends or similar transactions effected without the receipt of consideration that increase the number of outstanding shares of Common Stock. |
(2) | Represents an additional 8,500,000 shares of Common Stock reserved for issuance under the 2018 Plan. |
(3) | Represents 80,000 shares of Common Stock granted as a restricted stock award, pursuant to Rule 5635(c)(4) of the Nasdaq Listing Rules as an employment inducement award (the "Inducement Grant”), and pursuant to the terms and conditions of the 2018 Plan and a restricted stock award agreement (the “Inducement Award Agreement”). |
(4) | Estimated solely for the purpose of calculating the amount of the registration fee pursuant to Rule 457(h) and Rule 457(c) of the Securities Act. The price per share and aggregate offering price are based upon $2.94, the average of the high and low prices of the Common Stock on June 16, 2020 as reported on the NASDAQ Global Select Market. |
(5) | Calculated pursuant to Rule 457(h)(1) of the Securities Act, solely for purposes of computing the amount of the registration fee, based on market value of the restricted stock award on the grant date, June 1, 2020. |
Exhibit No. | Exhibit Description |
4.1 | |
4.2 | |
4.3 | |
4.4 | |
5.1* | |
23.1* | |
23.2* | |
24.1* | |
* | Filed herewith. |
SPECTRUM PHARMACEUTICALS, INC. | |
By: | /s/ Kurt A. Gustafson |
Kurt A. Gustafson | |
Executive Vice President and Chief Financial Officer |
Signature | Title | Date |
/s/ Joseph W. Turgeon | President and Chief Executive Officer, Director | June 22, 2020 |
Joseph W. Turgeon | (Principal Executive Officer) | |
/s/ Kurt A. Gustafson | Executive Vice President and Chief Financial Officer | June 22, 2020 |
Kurt A. Gustafson | (Principal Financial Officer) | |
/s/ William L. Ashton | Chairman of the Board and Director | June 22, 2020 |
William L. Ashton | ||
/s/ Elizabeth A. Czerepak | Director | June 22, 2020 |
Elizabeth A. Czerepak | ||
/s/ Seth H.Z. Fischer | Director | June 22, 2020 |
Seth H.Z. Fischer | ||
/s/ Jeffrey L. Vacirca | Director | June 22, 2020 |
Jeffrey L. Vacirca, M.D., FACP | ||
/s/ Dolatrai M. Vyas | Director | June 22, 2020 |
Dolatrai M. Vyas, Ph.D. | ||
/s/ Bernice R. Welles | Director | June 22, 2020 |
Bernice R. Welles, M.D., M.B.A. |
June 22, 2020 | 98150.00001 |
Re: | Registration Statement on Form S-8 |