SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
SHROTRIYA RAJESH C MD

(Last) (First) (Middle)
11500 S. EASTERN AVE.
SUITE 240

(Street)
HENDERSON NV 89052

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
SPECTRUM PHARMACEUTICALS INC [ SPPI ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Chairman & CEO
3. Date of Earliest Transaction (Month/Day/Year)
11/30/2017
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $0.001 par value 11/30/2017 M 100,000 A $3.15 214,684(1) I By Shrotriya Gift Trust
Common Stock, $0.001 par value 11/30/2017 F 16,545(2) D $19.04 198,139 I By Shrotriya Gift Trust
Common Stock, $0.001 par value 11/30/2017 F 27,666(3) D $19.04 170,473 I By Shrotriya Gift Trust
Common Stock, $0.001 par value 11/30/2017 G 27,666(4) D $19.04 1,829,047 D
Common Stock, $0.001 par value 498,894 I By CS Family Trust
Common Stock, $0.001 par value 28,907 I By 401(k) Plan
Common Stock, $0.001 par value 9,523 I By Spouse
Common Stock, $0.001 par value 68,575 I By Shrotriya Family Foundation
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option Exercise (Right to Buy) $3.15 11/30/2017 M 100,000 12/06/2010 12/06/2017 Common Stock 100,000 $0.00 0 I By Shrotriya Gift Trust
Explanation of Responses:
1. Includes 27,666 shares previously owned directly which the reporting person contributed to the Shrotriya Gift Trust on November 30, 2017.
2. Represents shares withheld by Spectrum to satisfy the Shrotriya Gift Trust's payment of the exercise price. The shares have not been sold by the Shrotriya Gift Trust or by Spectrum. The shares have been cancelled by the transfer agent.
3. Represents shares withheld by Spectrum to satisfy the Shrotriya Gift Trust's tax withholding obligations. The shares have not been sold by the Shrotriya Gift Trust or by Spectrum. The shares have been cancelled by the transfer agent.
4. This transaction involved a transfer from the reporting person to the Shrotriya Gift Trust.
Remarks:
/s/ Kurt A. Gustafson, attorney-in-fact for Rajesh C. Shrotriya 12/04/2017
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.