0001209191-18-004637.txt : 20180119 0001209191-18-004637.hdr.sgml : 20180119 20180119180517 ACCESSION NUMBER: 0001209191-18-004637 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180115 FILED AS OF DATE: 20180119 DATE AS OF CHANGE: 20180119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHROTRIYA RAJESH C MD CENTRAL INDEX KEY: 0001193918 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35006 FILM NUMBER: 18538395 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-01-15 0 0000831547 SPECTRUM PHARMACEUTICALS INC SPPI 0001193918 SHROTRIYA RAJESH C MD 11500 S. EASTERN AVE. SUITE 240 HENDERSON NV 89052 1 0 0 0 Common Stock, $0.001 par value 2018-01-15 4 A 0 200652 0.00 A 200652 D Common Stock, $0.001 par value 2017-05-18 5 G 0 E 20000 0.00 D 200652 D Common Stock, $0.001 par value 2017-08-28 5 G 0 E 774 0.00 D 68575 I By Shrotriya Family Foundation Common Stock, $0.001 par value 2017-12-22 5 G 0 E 1431 0.00 D 67144 I By Shrotriya Family Foundation Common Stock, $0.001 par value 3477422 I By RS Irrevocable Trust Common Stock, $0.001 par value 498894 I By CS Family Trust Common Stock, $0.001 par value 28907 I By 401(k) Common Stock, $0.001 par value 40000 I By ROTH IRA Common Stock, $0.001 par value 9523 I By Spouse Common Stock, $0.001 par value 170473 I By Shrotriya Gift Trust Dr. Shrotriya may be deemed to have acquired beneficial ownership of the shares of common stock reported herein as a result of the determination by the Compensation Committee that applicable performance criteria have been satisfied pursuant to the terms of Dr. Shrotriya's award agreement. Pursuant to the terms of the award agreement, the actual issuance by the Company of the shares of common stock reported herein is subject to Dr. Shrotriya's having paid or satisfied in full the amount of all federal, state and local taxes applicable to his taxable income resulting from the grant or vesting of the award or the issuance of shares under the award agreement. This transaction involved a gift of securities by the reporting person to his two adult children and three grandchildren, who do not share the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his two children and three grandchildren, and this report should not be deemed an admission that the reporting person is the beneficial owner of his children or grandchildren's shares for purposes of Section 16 or any other purpose. The number of shares deemed beneficially owned directly following the 2017 gift transaction was not adjusted since the gift pre-dated the deemed acquisition of beneficial ownership of the 200,652 shares noted in Table 1, Line 1 of this Form 4. This transaction involved a gift of securities by the Shrotriya Family Foundation, a Nevada nonprofit corporation, to a nonprofit charitable organization. The reporting person has an indirect beneficial ownership, as a director and officer of the Shrotriya Family Foundation, a Nevada nonprofit corporation. /s/ Kurt A. Gustafson, attorney-in-fact for Rajesh C. Shrotriya 2018-01-19