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
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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
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
01/09/2018
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 01/09/2018 M 8,818 A $11.34 1,797,865 D
Common Stock, $0.001 par value 01/09/2018 M 27,624 A $7.24 1,825,489 D
Common Stock, $0.001 par value 01/09/2018 M 478,495 A $4.65 2,303,984 D
Common Stock, $0.001 par value 01/09/2018 M 500,000 A $3.92 2,803,984 D
Common Stock, $0.001 par value 01/09/2018 M 985,444 A $6.87 3,789,428 D
Common Stock, $0.001 par value 01/09/2018 M 500,000 A $8.27 4,289,428 D
Common Stock, $0.001 par value 01/09/2018 M 955,847 A $11.34 5,245,275 D
Common Stock, $0.001 par value 01/09/2018 M 650,000 A $9.18 5,895,275 D
Common Stock, $0.001 par value 01/09/2018 M 622,376 A $7.24 6,517,651 D
Common Stock, $0.001 par value 01/09/2018 M 412,500 A $5.86 6,930,151 D
Common Stock, $0.001 par value 01/09/2018 M 58,480 A $6.69 6,988,631 D
Common Stock, $0.001 par value 01/09/2018 F 3,500,294(1) D $18.03 3,488,337(2) D
Common Stock, $0.001 par value 3,477,422(3) I By RS Irrevocable Trust
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)
Common Stock, $0.001 par value 40,000(4) I By ROTH IRA
Common Stock, $0.001 par value 9,523 I By Spouse
Common Stock, $0.001 par value 170,473 I By Shrotriya Gift Trust
Common Stock, $0.001 par value 67,144 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) $11.34 01/09/2018 M 8,818 12/19/2015 12/17/2020 Common Stock 8,818 $0.00 0 D
Stock Option Exercise (Right to Buy) $7.24 01/09/2018 M 27,624 12/19/2017 12/17/2020 Common Stock 27,624 $0.00 0 D
Stock Option Exercise (Right to Buy) $4.65 01/09/2018 M 478,495 01/08/2013 01/08/2020 Common Stock 478,495 $0.00 0 D
Stock Option Exercise (Right to Buy) $3.92 01/09/2018 M 500,000 07/01/2013 07/01/2020 Common Stock 500,000 $0.00 0 D
Stock Option Exercise (Right to Buy) $6.87 01/09/2018 M 985,444 01/03/2014 12/17/2020 Common Stock 985,444 $0.00 0 D
Stock Option Exercise (Right to Buy) $8.27 01/09/2018 M 500,000 06/12/2014 12/17/2020 Common Stock 500,000 $0.00 0 D
Stock Option Exercise (Right to Buy) $11.34 01/09/2018 M 955,847 12/19/2015 12/17/2020 Common Stock 955,847 $0.00 0 D
Stock Option Exercise (Right to Buy) $9.18 01/09/2018 M 650,000 12/13/2016 12/17/2020 Common Stock 650,000 $0.00 0 D
Stock Option Exercise (Right to Buy) $7.24 01/09/2018 M 622,376 12/19/2017 12/17/2020 Common Stock 622,376 $0.00 0 D
Stock Option Exercise (Right to Buy) $5.86 01/09/2018 M 412,500 12/17/2017 12/17/2020 Common Stock 412,500 $0.00 0 D
Stock Option Exercise (Right to Buy) $6.69 01/09/2018 M 58,480 12/17/2017 12/17/2020 Common Stock 58,480 $0.00 0 D
Explanation of Responses:
1. Represents shares withheld by Spectrum to satisfy the Reporting Person's payment of the exercise price and tax withholding obligations. The shares have not been sold by the Reporting Person or by Spectrum. The shares have been cancelled by the transfer agent.
2. Upon completion of the proposed contribution of shares to the RS Irrevocable Trust referenced in footnote 3 below, the shares included in this Form 4 shall all be held indirectly by the Reporting Person.
3. Includes 1,627,888 shares previously owned directly which the reporting person contributed to the RS Irrevocable Trust on December 29, 2017 and 1,762,320 shares exercised by the reporting person on January 9, 2018 and reported on this Form 4.
4. Includes 40,000 shares previously owned directly which the reporting person contributed to a ROTH IRA.
Remarks:
/s/ Kurt A. Gustafson, attorney-in-fact for Rajesh C. Shrotriya 01/11/2018
** 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.
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