0001209191-19-023751.txt : 20190404
0001209191-19-023751.hdr.sgml : 20190404
20190404193034
ACCESSION NUMBER: 0001209191-19-023751
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190402
FILED AS OF DATE: 20190404
DATE AS OF CHANGE: 20190404
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SPECTRUM PHARMACEUTICALS INC
CENTRAL INDEX KEY: 0000831547
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-20713
FILM NUMBER: 19733265
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 NAME:
FORMER CONFORMED NAME: NEOTHERAPEUTICS INC
DATE OF NAME CHANGE: 19960819
FORMER NAME:
FORMER CONFORMED NAME: AMERICUS FUNDING CORP
DATE OF NAME CHANGE: 19920703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Spectrum Pharmaceuticals Cayman, L.P.
CENTRAL INDEX KEY: 0001619860
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-20713
FILM NUMBER: 19733266
BUSINESS ADDRESS:
STREET 1: WALKERS CORP. SERVICES LTD, WALKER HOUSE
STREET 2: 87 MARY STREET
CITY: GEORGE TOWN, GRAND CAYMAN
STATE: E9
ZIP: KY1-9005
BUSINESS PHONE: 702-835-6300
MAIL ADDRESS:
STREET 1: 11500 S. EASTERN AVE. SUITE 240
STREET 2: C/O SPECTRUM PHARMACEUTICALS,INC.
CITY: HENDERSON
STATE: NV
ZIP: 89052
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CASI Pharmaceuticals, Inc.
CENTRAL INDEX KEY: 0000895051
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 581959440
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 9620 MEDICAL CENTER DR
STREET 2: STE 300
CITY: ROCKVILLE
STATE: MD
ZIP: 20850
BUSINESS PHONE: 240-864-2600
MAIL ADDRESS:
STREET 1: 9620 MEDICAL CENTER DR
STREET 2: STE 300
CITY: ROCKVILLE
STATE: MD
ZIP: 20850
FORMER COMPANY:
FORMER CONFORMED NAME: ENTREMED INC
DATE OF NAME CHANGE: 19960415
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-04-02
0
0000895051
CASI Pharmaceuticals, Inc.
CASI
0000831547
SPECTRUM PHARMACEUTICALS INC
11500 S. EASTERN AVE.
SUITE 240
HENDERSON
NV
89052
0
0
1
0
0001619860
Spectrum Pharmaceuticals Cayman, L.P.
11500 S. EASTERN AVE.
SUITE 240
HENDERSON
NV
89052
0
0
1
0
Common Stock
2019-04-02
4
J
0
1500000
3.3828
D
5397413
D
Common Stock
4650262
I
See footnote
Spectrum Pharmaceuticals, Inc. ("Spectrum") previously entered into a preliminary contract with an unaffiliated third party broker under which the broker agreed to affect short sales of up to 1,500,000 shares of CASI common stock in the open market, and Spectrum agreed, upon the broker's completion of the short sales, to sell to the broker up to 1,500,000 shares of CASI common stock at a price based on the volume weighted average price of the broker short sales.In a separate agreement, Spectrum also pledged to the broker, as collateral for its obligations under the preliminary contract, 1,500,000 shares of CASI common stock ("Pledged Shares"). Spectrum retained dividend and voting rights in the Pledged Shares during the pledge. On April 2, 2019, Spectrum received an acceleration notice related to the preliminary contract. The acceleration notice obligates Spectrum to deliver to the broker 1,500,000 shares of CASI common stock on the settlement date specified therein (April 4, 2019).
These securities are owned directly by Spectrum Pharmaceuticals Cayman, L.P. ("Cayman"), which is owned 99% by Spectrum and 1% by Spectrum Pharmaceuticals International Holdings, LLC, a Delaware limited liability company. As a result, Spectrum may be deemed to share voting and dispositive power over 4,650,262 of the reported securities owned by Cayman. Spectrum disclaims beneficial ownership in the shares held directly by Cayman except to the extent of its pecuniary interest therein.
By: /s/ Kurt A. Gustafson, attorney-in-fact for Spectrum Pharmaceuticals, Inc.
2019-04-04
By: /s/ Kurt A. Gustafson, attorney-in-fact for Spectrum Pharmaceuticals Cayman, L.P.
2019-04-04