0001209191-20-018989.txt : 20200313 0001209191-20-018989.hdr.sgml : 20200313 20200313172829 ACCESSION NUMBER: 0001209191-20-018989 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200312 FILED AS OF DATE: 20200313 DATE AS OF CHANGE: 20200313 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GUSTAFSON KURT A CENTRAL INDEX KEY: 0001462354 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35006 FILM NUMBER: 20714103 MAIL ADDRESS: STREET 1: 11388 SORRENTO VALLEY ROAD CITY: SAN DIEGO STATE: CA ZIP: 92121 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 2020-03-12 0 0000831547 SPECTRUM PHARMACEUTICALS INC SPPI 0001462354 GUSTAFSON KURT A 11500 S. EASTERN AVE. SUITE 240 HENDERSON NV 89052 0 1 0 0 EVP & Chief Financial Officer Common Stock, $0.001 2020-03-12 4 A 0 163180 0.00 A 368291 D Common Stock, $0.001 11840 I By 401(k) Plan Stock Option (Right to Buy) 2.13 2020-03-12 4 A 0 260000 0.00 A 2030-03-12 Common Stock 260000 260000 D Stock Appreciation Right 2.13 2020-03-12 4 A 0 225000 0.00 A 2030-03-12 Common Stock 225000 225000 D One third of the aggregate amount of restricted shares shall vest on each of March 12, 2021, 2022 and 2023, respectively. 25% of the option shares vested on March 12, 2020. The remaining option shares shall vest in equal amounts of 25% of the total shares underlying the option shares on each anniversary of the grant date over the next three years. 25% of the stock appreciation rights vested on March 12, 2020. The remaining stock appreciation rights shall vest in equal amounts of 25% of the total shares underlying the stock appreciation rights on each anniversary of the grant date over the next three years. The stock appreciation rights can be settled in common stock or cash at the election of the Compensation Committee. /s/ Kurt A. Gustafson 2020-03-13