Filing Details
- Accession Number:
- 0001209191-22-039063
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-06-23 20:24:52
- Reporting Period:
- 2022-06-21
- Accepted Time:
- 2022-06-23 20:24:52
- 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 |
|---|---|---|---|---|---|---|---|
| 1038704 | Francois Lebel | 11500 S. Eastern Ave., Suite 220 Henderson NV 89052 | Chief Medical Officer | 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 | 2022-06-21 | 405,040 | $0.00 | 657,553 | No | 4 | A | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2022-06-22 | 6,096 | $0.81 | 651,457 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2022-06-23 | 6,667 | $0.84 | 644,790 | 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 | 2022-06-21 | 1,488,940 | $0.00 | 1,488,940 | $0.63 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,488,940 | 2032-01-27 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, $0.001 Par Value | 7,226 | Indirect | By 401(k) plan |
Footnotes
- The restricted stock unit grant was approved by Spectrum Pharmaceuticals, Inc.'s ("Spectrum") board of directors on January 27, 2022, subject to stockholder approval of the Amended and Restated 2018 Long-Term Incentive Plan (the "Plan") under which the restricted stock unit was granted. Spectrum's stockholders approved the Plan on June 21, 2022.
- 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.
- The option grant was approved by Spectrum's board of directors on January 27, 2022, subject to stockholder approval of the Plan under which the option was granted. Spectrum's stockholders approved the Plan on June 21, 2022.
- One third of the aggregate amount of option shares shall vest on each of January 27, 2023, 2024 and 2025, respectively.
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