-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, AADWFBLeaLvcB9Tb4H6o/n0TM5jne83giqyWGkX7adYA1U15ZN6GkN/MamvOpJ43 xiZ3e8ipbw/wkmoyBXQM4g== 0000950123-10-062845.txt : 20100630 0000950123-10-062845.hdr.sgml : 20100630 20100630171200 ACCESSION NUMBER: 0000950123-10-062845 CONFORMED SUBMISSION TYPE: 11-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100630 DATE AS OF CHANGE: 20100630 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SPECTRUM PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000831547 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 930979187 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 11-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-28782 FILM NUMBER: 10927841 BUSINESS ADDRESS: STREET 1: 157 TECHNOLOGY DR CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 9497886700 MAIL ADDRESS: STREET 1: 157 TECHNOLOGY DR CITY: IRVINE STATE: CA ZIP: 92618 FORMER COMPANY: FORMER CONFORMED NAME: NEOTHERAPEUTICS INC DATE OF NAME CHANGE: 19960819 FORMER COMPANY: FORMER CONFORMED NAME: AMERICUS FUNDING CORP DATE OF NAME CHANGE: 19920703 11-K 1 c03014e11vk.htm FORM 11-K Form 11-K
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 11-K
ANNUAL REPORT
PURSUANT TO SECTION 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
(Mark One):
     
þ   ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2009
OR
     
o   TRANSITION REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from                      to                     
Commission File Number 000-28782
SPECTRUM PHARMACEUTICALS, INC. 401(K) PLAN
(Full title of the plan)
SPECTRUM PHARMACEUTICALS, INC.
157 Technology Drive
Irvine, California 92618
(Name of issuer of the securities held pursuant to the plan and the address of the issuer’s and plan’s
principal executive office)
 
 

 

 

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REQUIRED INFORMATION
Item 1-3. The Spectrum Pharmaceuticals, Inc. 401(k) Plan (the “Plan”) is subject to the Employee Retirement Income Security Act of 1974, as amended (“ERISA”). Therefore, in lieu of the requirements of Items 1-3 of Form 11-K, attached are the financial statements of the Plan as included on form 5500 for the fiscal period ended December 31, 2009, which have been prepared in accordance with the financial reporting requirements of ERISA.
Item 4. Pursuant to Section 103(c) of ERISA, and the regulations thereunder, for period ending December 31, 2009, the Plan is treated as a “small plan” and accordingly is not required to file audited financial statements.

 

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STATEMENT OF INCOME AND EXPENSES
Year Ending December 31, 2009
         
INCOME
        
Contribution — Company Matching (co. stock)
   $ 448,038  
Contribution — Participant 401(k)
     786,584  
Investment Earnings
     23,620  
Cash Value of Surrendered Insurance
     0  
Realized Gain From Asset Sale
     0  
Insurance Premium Refunds
     0  
Other Income — Rollovers
     178,619  
Unrealized Appreciation /(Depreciation) of Assets
     1,286,275  
 
      
 
        
Total Income
   $ 2,723,136  
 
      
EXPENSES
        
Life Insurance Premiums Paid
   $ 0  
Payments to Participants
     344,133  
Bank Charges
     0  
Brokerage Fees
     0  
Administration Expenses Paid By the Trust
     0  
Other Miscellaneous Expenses
        
 
      
 
        
Total Expenses
   $ 344,133  
 
      
Income Over Expenses
   $ 2,379,003  
Assets At The Beginning Of The Plan Year
     1,782,509  
 
      
Assets At The End Of The Plan Year
   $ 4,161,512  
 
      
PLAN ASSETS AND LIABILITIES
                 
    As of     As of  
    January 1,     December 31,  
    2009     2009  
ASSETS
                
Cash (Interest Bearing)
   $ 493,871     $ 843,104  
Contribution Receivable — (Co. Match)
     0       0  
Contribution Receivable — (401-K)
     0       0  
Government Securities
     0       0  
Mutual Funds
     883,904       2,060,204  
Corporate Stocks & Bonds — (Employer Stock)
     346,980       1,174,168  
Real Estate and Mortgages
     0       0  
Depreciable Buildings/Property
     0       0  
Participant Loans
     57,754       84,036  
Other Assets
     0       0  
 
            
 
                
Total Assets
   $ 1,782,509     $ 4,161,512  
 
            
 
                
LIABILITIES
                
Payables
     0       0  
Acquisition Indebtedness
     0       0  
Other Liabilities
     0       0  
 
            
 
                
Total Liabilities
   $ 0     $ 0  
 
            
 
                
NET ASSETS (Assets Less Liabilities)
   $ 1,782,509     $ 4,161,512  
 
            
SPECTRUM PHARMACEUTICALS, INC. 401(K) PLAN

 

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SIGNATURES
The Plan. Pursuant to the requirements of the Securities Exchange Act of 1934, the trustees (or other persons who administer the Plan) have duly caused this annual report to be signed by the undersigned thereunto duly authorized, in the City of Irvine, State of California, on the 30th day of June 2010.
         
  SPECTRUM PHARMACEUTICALS, INC. 401(K) PLAN
 		  
  By:   Spectrum Pharmaceuticals, Inc.    
       
  By:   /s/ Shyam Kumaria    
    Shyam Kumaria   
    Vice President, Finance   

 

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