Filing Details
- Accession Number:
- 0001209191-21-013184
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-02-23 16:19:02
- Reporting Period:
- 2021-02-18
- Accepted Time:
- 2021-02-23 16:19:02
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 831547 | Spectrum Pharmaceuticals Inc | SPPI | Pharmaceutical Preparations (2834) | 930979187 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1726378 | J Thomas Riga | 11500 S. Eastern Ave., Suite 240 Henderson NV 89052 | Evp, Coo & Cco | No | Yes | No | 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, $0.001 Par Value | Acquisiton | 2021-02-18 | 134,410 | $0.00 | 464,668 | No | 4 | A | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2021-02-19 | 5,018 | $3.64 | 459,650 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2021-02-22 | 5,000 | $3.73 | 454,650 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2021-02-18 | 162,921 | $0.00 | 162,921 | $3.56 |
| Common Stock | Stock Appreciation Right | Acquisiton | 2021-02-18 | 382,865 | $0.00 | 382,865 | $3.56 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 162,921 | 2031-02-18 | No | 4 | A | Direct | |
| 382,865 | 2031-02-18 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, $0.001 Par Value | 14,139 | Indirect | By 401(k) plan |
Footnotes
- 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.
Billionaire Hedge Funds
