Filing Details
- Accession Number:
- 0000899243-23-001066
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-01-05 19:50:21
- Reporting Period:
- 2023-01-03
- Accepted Time:
- 2023-01-05 19:50:21
- 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 | 2 Atlantic Avenue, 6Th Floor Boston MA 02110 | Ceo & President | Yes | 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 | Disposition | 2023-01-03 | 23,929 | $0.38 | 1,189,411 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Acquisiton | 2023-01-03 | 888,000 | $0.00 | 2,077,411 | No | 4 | A | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | A | 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 | 2023-01-03 | 3,112,000 | $0.00 | 3,112,000 | $0.38 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 3,112,000 | 2033-01-03 | 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
- 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 restricted stock units shall vest on each of January 3, 2024, 2025 and 2026, respectively.
- One third of the aggregate amount of option shares shall vest on each of January 3, 2024, 2025 and 2026, respectively.
Billionaire Hedge Funds
