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
  1. 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.
  2. 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.
  3. 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.
  4. One third of the aggregate amount of option shares shall vest on each of January 27, 2023, 2024 and 2025, respectively.