0001408408-12-000010.txt : 20120214
0001408408-12-000010.hdr.sgml : 20120214
20120214094556
ACCESSION NUMBER: 0001408408-12-000010
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20120214
DATE AS OF CHANGE: 20120214
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: SPECTRUM PHARMACEUTICALS INC
CENTRAL INDEX KEY: 0000831547
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 930979187
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-49329
FILM NUMBER: 12603186
BUSINESS ADDRESS:
STREET 1: 11500 S. EASTERN AVE., SUITE 240
CITY: HENDERSON
STATE: NV
ZIP: 89052
BUSINESS PHONE: 702-835-6300
MAIL ADDRESS:
STREET 1: 11500 S. EASTERN AVE., SUITE 240
CITY: HENDERSON
STATE: NV
ZIP: 89052
FORMER COMPANY:
FORMER CONFORMED NAME: NEOTHERAPEUTICS INC
DATE OF NAME CHANGE: 19960819
FORMER COMPANY:
FORMER CONFORMED NAME: AMERICUS FUNDING CORP
DATE OF NAME CHANGE: 19920703
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Eastern Capital LTD
CENTRAL INDEX KEY: 0001408408
IRS NUMBER: 000000000
STATE OF INCORPORATION: E9
FILING VALUES:
FORM TYPE: SC 13G/A
BUSINESS ADDRESS:
STREET 1: P. O. BOX 31363
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1206
BUSINESS PHONE: 345-640-3300
MAIL ADDRESS:
STREET 1: P. O. BOX 31363
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1206
SC 13G/A
1
sppi13ga.txt
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
SPECTRUM PHARMACEUTICALS, INC.
--------------------------------------------------------------------------
(Name of issuer)
COMMON STOCK, $0.001 PAR VALUE PER SHARE
--------------------------------------------------------------------------
(Title of class of Securities)
84763A108
--------------
(CUSIP Number)
14 FEBRUARY 2012
---------------------------------------------------------
(Date of Event which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
[ ] Rule 13d-l(b)
[X] Rule 13d-l(c)
[ ] Rule 13d-l(d)
*The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class
of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall
not be deemed "filed" for the purpose of Section 18 of the
Securities Exchange Act of 1934 ("Act") or otherwise subject
to the liabilities of that section of the Act but shall be subject
to all other provisions of the Act (however, see the Notes).
CUSIP NO. 84763A108 Page 2 of 7 Pages
1. NAME OF REPORTING PERSON
EASTERN CAPITAL LIMITED
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [ ]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
CAYMAN ISLANDS
NUMBER OF
5. SOLE VOTING POWER -0-
SHARES
BENEFICIALLY
6. SHARED VOTING POWER 4,737,307
OWNED BY
EACH
7. SOLE DISPOSITIVE POWER -0-
REPORTING
PERSON
8. SHARED DISPOSITIVE POWER 4,737,307
WITH
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,737,307 shares
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) [ ]
EXCLUDES CERTAIN SHARES
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
8.25%
12. TYPE OF REPORTING PERSON
CO
CUSIP NO. 84763A108 Page 3 of 7 Pages
1. NAME OF REPORTING PERSON
PORTFOLIO SERVICES LTD.
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [ ]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
CAYMAN ISLANDS
NUMBER OF
5. SOLE VOTING POWER -0-
SHARES
BENEFICIALLY
6. SHARED VOTING POWER 4,737,307
OWNED BY
EACH
7. SOLE DISPOSITIVE POWER -0-
REPORTING
PERSON
8. SHARED DISPOSITIVE POWER 4,737,307
WITH
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,737,307shares
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) [ ]
EXCLUDES CERTAIN SHARES
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
8.25%
12. TYPE OF REPORTING PERSON
CO
CUSIP NO. 84763A108 Page 4 of 7 Pages
1. NAME OF REPORTING PERSON
KENNETH B. DART
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [ ]
3. SEC USE ONLY
4. CITIZENSHIP OR PLACE OF ORGANIZATION
CAYMAN ISLANDS
NUMBER OF
5. SOLE VOTING POWER -0-
SHARES
BENEFICIALLY
6. SHARED VOTING POWER 4,737,307
OWNED BY
EACH
7. SOLE DISPOSITIVE POWER -0-
REPORTING
PERSON
8. SHARED DISPOSITIVE POWER 4,737,307
WITH
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,737,307 shares
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) [ ]
EXCLUDES CERTAIN SHARES
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
8.25%
12. TYPE OF REPORTING PERSON
IN
CUSIP No. 84763A108 Page 5 of 7 Pages
ITEM l(a). NAME OF ISSUER:
SPECTRUM PHARMACEUTICALS, INC.
ITEM l(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
11500 SOUTH EASTERN AVENUE SUITE 240
HENDERSON, NEVADA 89052
ITEM 2(a). NAME OF PERSON FILING:
1) EASTERN CAPITAL LIMITED
Eastern Capital Limited is a direct wholly owned subsidiary
of Portfolio Services Ltd., a Cayman Islands corporation.
2) PORTFOLIO SERVICES LTD.
Portfolio Services Ltd., a Cayman Islands corporation,
is a holding company which owns all of the outstanding
shares of Eastern Capital Limited.
3) KENNETH B. DART
Mr. Dart is the beneficial owner of all of the outstanding
shares of Portfolio Services Ltd., which in turns owns
all the outstanding shares of Eastern Capital Limited.
ITEM 2(b). ADDRESS OF PRINCIPAL OFFICE:
1) 10 Market Street, #773
Camana Bay
Grand Cayman, KY1-9006 CAYMAN ISLANDS
2) 10 Market Street, #773
Camana Bay
Grand Cayman, KY1-9006 CAYMAN ISLANDS
3) P.O. BOX 31300
Grand Cayman KY1-1206 CAYMAN ISLANDS
ITEM 2(c). CITIZENSHIP:
1) Cayman Islands
2) Cayman Islands
3) Cayman Islands
CUSIP NO. 84763A108 Page 6 of 7 pages
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
Common Stock $0.001 par value per share
ITEM 2(e). CUSIP NUMBER: 84763A108
ITEM 3. Not Applicable.
ITEM 4. OWNERSHIP
The percentage ownership noted in this Schedule 13G/A is based on
57,407,424 number of shares outstanding as of October 19, 2011 as
reported in the Issuer's Form 10-Q filed with the SEC on October
28, 2011. As of the date of this filing, Eastern Capital Limited,
Portfolio Services Ltd. and Mr. Dart beneficially own in the
aggregate the following:
(a) Amount Beneficially owned: 4,737,307
(b) Percent of Class: 8.25%
(c) Number of shares as to which the person has:
(i) sole power to vote or to direct the vote: -0-
(ii) shared power to vote or to direct the vote: 4,737,307
(iii)sole power to dispose of or to direct the disposition of:
-0-
(iv) shared power to dispose of or to direct the disposition of:
4,737,307
ITEM 5. OWNERSHIP OF 5 PERCENT OR LESS OF A CLASS: [ ]
ITEM 6. OWNERSHIP OF MORE THAN 5 PERCENT ON BEHALF OF ANOTHER PERSON:
Not Applicable
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY
WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE
PARENT HOLDING COMPANY OR CONTROL PERSON. Not applicable
CUSIP NO. 84763A108 Page 7 of 7 pages
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
Not applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable.
ITEM 10. CERTIFICATION.
By signing below I certify that, to the best of my knowledge
and belief, the securities referred to above were not acquired and
are not held for the purpose of or with the effect of changing or
influencing the control of the issuer of the securities and were
not acquired and are not held in connection with or as a participant
in any transaction having that purpose or effect.
SIGNATURE.
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement
is true, complete and correct.
EASTERN CAPITAL LIMITED
/s/ Kenneth B. Dart
BY: Kenneth B. Dart, Director
14 FEBRUARY 2012
PORTFOLIO SERVICES LTD.
/s/ Kenneth B. Dart
BY: Kenneth B. Dart, Director
14 FEBRUARY 2012
KENNETH B. DART
14 FEBRUARY 2012
1