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