0001209191-14-010228.txt : 20140213
0001209191-14-010228.hdr.sgml : 20140213
20140213151700
ACCESSION NUMBER: 0001209191-14-010228
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131231
FILED AS OF DATE: 20140213
DATE AS OF CHANGE: 20140213
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
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: 14605449
MAIL ADDRESS:
STREET 1: 157 TECHNOLOGY DRIVE
CITY: IRVINE
STATE: CA
ZIP: 92618
5
1
doc5.xml
FORM 5 SUBMISSION
X0306
5
2013-12-31
0
0
0
0000831547
SPECTRUM PHARMACEUTICALS INC
SPPI
0001193918
SHROTRIYA RAJESH C MD
11500 S. EASTERN AVE.
SUITE 240
HENDERSON
NV
89052
1
1
1
0
Chairman, CEO & President
Common Stock, $.001 Par Value
2013-06-11
5
G
0
3482
0.00
D
1832849
D
Common Stock, $.001 Par Value
2013-12-30
5
G
0
28344
0.00
D
1832849
D
Common Stock, $.001 Par Value
2013-12-30
5
G
0
28344
0.00
A
83192
I
By Shrotriya Family Foundation
Common Stock, $.001 Par Value
2013-12-30
5
G
0
2329
0.00
D
83192
I
By Shrotriya Family Foundation
Common Stock, $.001 Par Value
23136
I
By 401(k) plan
Common Stock, $.001 Par Value
445993
I
By CS Family Trust
Common Stock, $.001 Par Value
10676
I
By Shrotriya Gift Trust
Common Stock, $.001 Par Value
9523
I
By Spouse
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. The reporting person has an indirect beneficial ownership, as a director and officer of the Shrotriya Family Foundation, a Nevada nonprofit corporation.
This transaction involved a gift of securities by the Shrotriya Family Foundation, a Nevada nonprofit corporation, to three not-for-profit charitable organizations. The reporting person has an indirect beneficial ownership, as a director and officer of the Shrotriya Family Foundation, a Nevada nonprofit corporation.
Kurt A. Gustafson, attorney-in-fact for Rajesh C. Shrotriya
2014-02-13