0001209191-21-013219.txt : 20210223 0001209191-21-013219.hdr.sgml : 20210223 20210223162708 ACCESSION NUMBER: 0001209191-21-013219 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210218 FILED AS OF DATE: 20210223 DATE AS OF CHANGE: 20210223 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: 21665890 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 2021-02-18 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 par value 2021-02-18 4 A 0 119579 0.00 A 445806 D Common Stock, $0.001 par value 2021-02-19 4 S 0 4672 3.637 D 441134 D Common Stock, $0.001 par value 2021-02-22 4 S 0 4000 3.73 D 437134 D Common Stock, $0.001 par value 11840 I By 401(k) Plan Stock Option (Right to Buy) 3.56 2021-02-18 4 A 0 144944 0.00 A 2031-02-18 Common Stock 144944 144944 D Stock Appreciation Right 3.56 2021-02-18 4 A 0 340618 0.00 A 2031-02-18 Common Stock 340618 340618 D One third of the aggregate amount of restricted shares shall vest on each of February 18, 2022, 2023 and 2024, respectively. All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. One third of the aggregate amount of option shares shall vest on each of February 18, 2022, 2023 and 2024, respectively. One third of the aggregate amount of stock appreciation rights shall vest on each of February 18, 2022, 2023 and 2024, respectively. /s/ Kurt A. Gustafson 2021-02-23