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