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Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
895051	Casi Pharmaceuticals Inc.	CASI	Pharmaceutical Preparations (2834)	DE

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
831547	Spectrum Pharmaceuticals Inc	11500 S. Eastern Ave. Suite 240 Henderson NV 89052		No	No	Yes	No
1619860	Spectrum Pharmaceuticals Cayman, L.p.	C/O Spectrum Pharmaceuticals, Inc. 11500 S. Eastern Ave., Suite 240 Henderson NV 89052		No	No	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2016-02-22	1,008,764	$0.01	4,237,391	No	4	P	Direct
Common Stock	Acquisiton	2016-02-22	680,113	$0.01	2,856,868	No	4	P	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct
No	4	P	Indirect	See footnote

Footnotes

Pursuant to Investment Agreements, dated as of September 17, 2014 (the "Closing Date"), Spectrum Pharmaceuticals, Inc., a Delaware corporation ("Spectrum") and Spectrum Pharmaceuticals Cayman, L.P., an Exempted Limited Partnership organized under the laws of the Cayman Islands ("Spectrum Cayman"), were issued a contingent right to purchase shares of the Issuer's Common Stock, at par value, in order to maintain their respective post-investment equity ownership percentage as of the Closing Date (the "Contingent Right"), in the event Issuer issued securities (subject to a limited exceptions) after the Closing Date. On January 15, 2016, the Issuer consummated the first tranche of a private placement of 8,448,613 shares of Common Stock and 1,689,722 warrants to certain Investors, which triggered the Contingent Right to Spectrum and Spectrum Cayman to purchase, in the aggregate, 1,688,877 shares of Issuer Common Stock. Spectrum and Spectrum Cayman exercised the Contingent Right.
These securities are owned directly by Spectrum 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 the reported securities. Spectrum disclaims beneficial ownership in the shares held directly by Spectrum Cayman except to the extent of its pecuniary interest therein.