0001209191-12-010054.txt : 20120214 0001209191-12-010054.hdr.sgml : 20120214 20120214172519 ACCESSION NUMBER: 0001209191-12-010054 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHROTRIYA RAJESH C MD CENTRAL INDEX KEY: 0001193918 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35006 FILM NUMBER: 12612878 MAIL ADDRESS: STREET 1: 157 TECHNOLOGY DRIVE CITY: IRVINE STATE: CA ZIP: 92618 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 11500 S. EASTERN AVE., SUITE 240 CITY: HENDERSON STATE: NV ZIP: 89052 BUSINESS PHONE: 702-835-6300 MAIL ADDRESS: STREET 1: 11500 S. EASTERN AVE., SUITE 240 CITY: HENDERSON STATE: NV ZIP: 89052 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 5 1 doc5.xml FORM 5 SUBMISSION X0304 5 2011-12-31 0 0 0 0000831547 SPECTRUM PHARMACEUTICALS INC SPPI 0001193918 SHROTRIYA RAJESH C MD 11500 S. EASTERN AVE. SUITE 240 HENDERSON NV 89052 1 1 0 0 Chairman, CEO & President Common Stock, $.001 Par Value 2011-01-12 5 G 0 4030 0.00 D 2554011 D Common Stock, $.001 Par Value 2011-08-09 5 G 0 3354 0.00 D 2554011 D Common Stock, $.001 Par Value 2011-12-28 5 G 0 50000 0.00 D 2554011 D Common Stock, $.001 Par Value 2011-12-28 5 G 0 50000 0.00 A 2554011 I By Self Stock Option (right to buy) 4.23 2011-10-04 5 G 0 90750 0.00 D 2009-01-01 2016-01-01 Common Stock 90750 0 D Stock Option (right to buy) 4.23 2011-10-04 5 G 0 90750 0.00 A 2009-01-01 2016-01-01 Common Stock 90750 90750 I By Spouse Stock Option (right to buy) 5.08 2011-10-04 5 G 0 150000 0.00 D 2009-09-26 2016-09-26 Common Stock 150000 0 D Stock Option (right to buy) 5.08 2011-10-04 5 G 0 150000 0.00 A 2009-09-26 2016-09-26 Common Stock 150000 150000 I By Spouse Stock Option (right to buy) 5.53 2011-10-04 5 G 0 332015 0.00 D 2010-01-01 2017-01-01 Common Stock 332015 0 D Stock Option (right to buy) 5.53 2011-10-04 5 G 0 332015 0.00 A 2010-01-01 2017-01-01 Common Stock 332015 332015 I By Spouse Stock Option (right to buy) 3.15 2011-10-04 5 G 0 100000 0.00 D 2010-12-06 2017-12-06 Common Stock 100000 0 D Stock Option (right to buy) 3.15 2011-10-04 5 G 0 100000 0.00 A 2010-12-06 2017-12-06 Common Stock 100000 100000 I By Spouse Stock Option (right to buy) 2.55 2011-10-04 5 G 0 500000 0.00 D 2009-03-25 2018-03-25 Common Stock 500000 0 D Stock Option (right to buy) 2.55 2011-10-04 5 G 0 500000 0.00 A 2009-03-25 2018-03-25 Common Stock 500000 500000 I By Spouse Stock Option (right to buy) 4.23 2011-10-04 5 G 0 38498 0.00 D 2009-01-01 2016-01-01 Common Stock 38498 0 D Stock Option (right to buy) 4.23 2011-10-04 5 G 0 38498 0.00 A 2009-01-01 2016-01-01 Common Stock 38498 38498 I By Spouse Stock Option (right to buy) 6.09 2011-10-04 5 G 0 375000 0.00 D 2011-06-26 2019-06-26 Common Stock 375000 0 D Stock Option (right to buy) 6.09 2011-10-04 5 G 0 375000 0.00 A 2011-06-26 2019-06-26 Common Stock 375000 375000 I By Spouse Stock Option (right to buy) 4.65 2011-10-04 5 G 0 250000 0.00 D 2011-01-08 2020-01-08 Common Stock 250000 0 D Stock Option (right to buy) 4.65 2011-10-04 5 G 0 250000 0.00 A 2011-01-08 2020-01-08 Common Stock 250000 250000 I By Spouse Stock Option (right to buy) 3.92 2011-10-04 5 G 0 250000 0.00 D 2011-07-01 2020-07-01 Common Stock 250000 0 D Stock Option (right to buy) 3.92 2011-10-04 5 G 0 250000 0.00 A 2011-07-01 2020-07-01 Common Stock 250000 250000 I By Spouse Stock Option (right to buy) 6.87 2011-10-04 5 G 0 250000 0.00 D 2011-01-03 2021-01-03 Common Stock 250000 0 D Stock Option (right to buy) 6.87 2011-10-04 5 G 0 250000 0.00 A 2011-01-03 2021-01-03 Common Stock 250000 250000 I By Spouse Stock Option (right to buy) 8.27 2011-10-04 5 G 0 125000 0.00 D 2011-06-12 2021-06-12 Common Stock 125000 0 D Stock Option (right to buy) 8.27 2011-10-04 5 G 0 125000 0.00 A 2011-06-12 2021-06-12 Common Stock 125000 125000 I By Spouse This transaction involved a gift of securities by the reporting person to his adult children, who do not share the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his adult children, and this report should not be deemed an admission that the reporting person is the beneficial owner of his children's shares for purposes of Section 16 or any other purpose. This transaction involved a gift of securities by the reporting person to a trust for the benefit of his grandson, who does not share the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by this trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trust's shares for purposes of Section 16 or any other purpose. This transaction involved a gift of securities by the reporting person to the Shrotriya Family Foundation, a Nevada nonprofit corporation, changing the reporting person's ownership form from direct to indirect. The Shrotriya Family Foundation, a Nevada Nonprofit corporation, received the shares as a gift from the reporting person who serves as a director and officer of the Shrotriya Family Foundation. Transfer for estate planning purposes. Indirect beneficial ownership through spouse, as trustee of the Shrotriya Gift Trust. Transfer for estate planning purposes. Indirect beneficial ownership through spouse, as trustee of the Shrotriya Annuity Trust. Brett L. Scott, attorney-in-fact for Rajesh C. Shrotriya 2012-02-14