-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, I/+t7LbUI9vg2jNR/vre5ctsoZTr6Sz+yDlbWxR2M65gHYQmHouR4Et8yptYo4CM 78/fj5TBxoljYPG/eE1mIQ== 0000909012-08-000860.txt : 20080812 0000909012-08-000860.hdr.sgml : 20080812 20080812135052 ACCESSION NUMBER: 0000909012-08-000860 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080812 DATE AS OF CHANGE: 20080812 GROUP MEMBERS: JOSEPH EDELMAN 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: 081009171 BUSINESS ADDRESS: STREET 1: 157 TECHNOLOGY DR CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 9497886700 MAIL ADDRESS: STREET 1: 157 TECHNOLOGY DR CITY: IRVINE STATE: CA ZIP: 92618 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: PERCEPTIVE ADVISORS LLC CENTRAL INDEX KEY: 0001224962 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 499 PARK AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 646-205-5340 MAIL ADDRESS: STREET 1: 499 PARK AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 t304482.txt #1 -- SPECTRUM PHARMA UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* SPECTRUM PHARMACEUTICALS, INC. (Name of Issuer) COMMON STOCK, $.001 PAR VALUE (Title of Class of Securities) 84763A108 (CUSIP Number) JULY 20, 2007 (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-1(b) |X| Rule 13d-1(c) |_| Rule 13d-1(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 in the remainder of this cover page shall not be deemed to be "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). PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. SEC 1745 (12-02)
- --------------------------------------- --------------------------------------- -------------------------------------- CUSIP No. 84763A108 13G/A Page 2 of 8 Pages - --------------------------------------- --------------------------------------- -------------------------------------- - --------- ------------------------------------------------------------------------------------------------------------ 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) PERCEPTIVE ADVISORS LLC - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A GROUP* (a) (b) |X| - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 3. SEC USE ONLY - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 4. CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - --------- ------------------------------------------------------------------------------------------------------------ - ------------------- ----- --------------------------------------------- ---------------------------------------------- NUMBER OF 5. SHARES SOLE VOTING POWER 0 - ------------------- ----- --------------------------------------------- ---------------------------------------------- - ------------------- ----- --------------------------------------------- ---------------------------------------------- BENEFICIALLY 6. OWNED BY SHARED VOTING POWER 312,696 - ------------------- ----- --------------------------------------------- ---------------------------------------------- - ------------------- ----- --------------------------------------------- ---------------------------------------------- EACH 7. REPORTING SOLE DISPOSITIVE POWER 0 - ------------------- ----- --------------------------------------------- ---------------------------------------------- - ------------------- ----- --------------------------------------------- ---------------------------------------------- PERSON WITH: 8. SHARED DISPOSTIVE POWER 312,696 - ------------------- ----- --------------------------------------------- ---------------------------------------------- - --------- ---------------------------------------------------------------------------- ------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 312,696 - --------- ---------------------------------------------------------------------------- ------------------------------- - --------- ------------------------------------------------------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) - --------- ------------------------------------------------------------------------------------------------------------ - --------- ---------------------------------------------------------------------------- ------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.02% - --------- ---------------------------------------------------------------------------- ------------------------------- - --------- ---------------------------------------------------------------------------- ------------------------------- 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IA - --------- ---------------------------------------------------------------------------- ------------------------------- - --------------------------------------- --------------------------------------- -------------------------------------- CUSIP No. 84763A108 13G/A Page 3 of 8 Pages - --------------------------------------- --------------------------------------- -------------------------------------- - --------- ------------------------------------------------------------------------------------------------------------ 13. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) JOSEPH EDELMAN - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 14. CHECK THE APPROPRIATE BOX IF A GROUP* (a) (b) |X| - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 15. SEC USE ONLY - --------- ------------------------------------------------------------------------------------------------------------ - --------- ------------------------------------------------------------------------------------------------------------ 16. CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA - --------- ------------------------------------------------------------------------------------------------------------ - ------------------- ----- --------------------------------------------- ---------------------------------------------- NUMBER OF 17. SHARES SOLE VOTING POWER 0 - ------------------- ----- --------------------------------------------- ---------------------------------------------- - ------------------- ----- --------------------------------------------- ---------------------------------------------- BENEFICIALLY 18. OWNED BY SHARED VOTING POWER 312,696 - ------------------- ----- --------------------------------------------- ---------------------------------------------- - ------------------- ----- --------------------------------------------- ---------------------------------------------- EACH 19. REPORTING SOLE DISPOSITIVE POWER 0 - ------------------- ----- --------------------------------------------- ---------------------------------------------- - ------------------- ----- --------------------------------------------- ---------------------------------------------- PERSON WITH: 20. SHARED DISPOSTIVE POWER 312,696 - ------------------- ----- --------------------------------------------- ---------------------------------------------- - --------- ---------------------------------------------------------------------------- ------------------------------- 21. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 312,696 - --------- ---------------------------------------------------------------------------- ------------------------------- - --------- ------------------------------------------------------------------------------------------------------------ 22. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) - --------- ------------------------------------------------------------------------------------------------------------ - --------- ---------------------------------------------------------------------------- ------------------------------- 23. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.02% - --------- ---------------------------------------------------------------------------- ------------------------------- - --------- ---------------------------------------------------------------------------- ------------------------------- 24. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - --------- ---------------------------------------------------------------------------- ------------------------------- - ---------------------------------------- -------------------------------------- ---------------------------------------- CUSIP No. 84763A108 13G/A Page 4 of 8 Pages - ---------------------------------------- -------------------------------------- ---------------------------------------- ITEM 1. (a) Name of Issuer: Spectrum Pharmaceuticals, Inc. 157 Technology Drive (b) Address of Issuer's Principal Executive Offices: Irvine, California 92618 ITEM 2. This Schedule 13G/A is being filed with respect to shares of Common Stock of the (a) Name of Person Filing: Issuer which are beneficially owned by Perceptive Advisors LLC and Joseph Edelman. See Item 4 below. Perceptive Advisors LLC 499 Park Avenue, 25th Floor (b) Address of Principal Business Office or, if none, Residence: New York, NY 10022 Perceptive Advisors LLC is a Delaware limited (c) Citizenship: liability company and Joseph Edelman is a United States Citizen (d) Title of Class of Securities: Common Stock, $.001 par value (e)CUSIP Number: 84763A108 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SS.SS.240.13D-1(B) OR 240.13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). (e) [ ] An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with ss. 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j)[ ] Group, in accordance with ss.240.13d-1(b)(1)(ii)(J). - ---------------------------------------- -------------------------------------- ---------------------------------------- CUSIP No. 84763A108 13G/A Page 5 of 8 Pages - ---------------------------------------- -------------------------------------- ---------------------------------------- ITEM 4. OWNERSHIP. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. Mr. Edelman beneficially owns: 312,696 shares of Common Stock held by Perceptive Life (a) Amount beneficially owned: Sciences Master Fund Ltd. ("Master Fund"), a Cayman Islands company of which the investment manager is Perceptive Advisors LLC, a Delaware limited liability company of which Mr. Edelman is the managing member. (b) Percent of class: Mr. Edelman: 1.02% Perceptive Advisors LLC: 1.02% The aggregate percentage of shares reported owned by each person named herein is based upon 30,805,259 shares outstanding which is the total number of shares outstanding as of May 24, 2007 as reported by the Issuer on the Form 8-K as filed with the Securities and Exchange Commission on May 24, 2007. - ---------------------------------------- -------------------------------------- -------------------------------------- CUSIP No. 84763A108 13G/A Page 6 of 8 Pages - ---------------------------------------- -------------------------------------- -------------------------------------- (c) Number of shares as to which the person has: Perceptive Advisors LLC: 0 Mr. Edelman: 0 (i) Sole power to vote or to direct the vote: Perceptive Advisors LLC: 312,696 (ii) Shared power to vote or to direct the vote: Mr. Edelman: 312,696 Perceptive Advisors LLC: 0 Sole power to dispose or to direct the disposition (iii) of: Mr. Edelman: 0 Perceptive Advisors LLC: 312,696 (iv) Shared power to dispose or to direct the disposition of: Mr. Edelman: 312,696 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [X] ITEM 6. OWNERSHIP OF MORE THAN FIVE 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. See Exhibit B ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. - ---------------------------------------- -------------------------------------- -------------------------------------- CUSIP No. 84763A108 13G/A Page 7 of 8 Pages - ---------------------------------------- -------------------------------------- -------------------------------------- ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATION The following certification shall be included if the statement is filed pursuant to ss.240.13d-1(b): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were (a) 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. [X] - ---------------------------------------- -------------------------------------- -------------------------------------- CUSIP No. 84763A108 13G/A Page 8 of 8 Pages - ---------------------------------------- -------------------------------------- -------------------------------------- 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. August 8, 2008 Date /s/ Perceptive Advisors LLC Signature Joseph Edelman/Managing Member Name/Title August 8, 2008 Date /s/ Joseph Edelman Signature Joseph Edelman Name/Title The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative's authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. SEE ss.240.13d-7 for other parties for whom copies are to be sent. ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)
EXHIBIT LIST Exhibit A Joint Filing Agreement Exhibit B Item 7 Statement EXHIBIT A The undersigned hereby agree jointly to prepare and file with regulatory authorities a Schedule 13G/A and any amendment thereto reporting each of the undersigned's ownership of securities of Spectrum Pharmaceuticals, Inc. and hereby affirm that such Schedule 13G/A is being filed on behalf of each of the undersigned. August 8, 2008 Date /s/ Perceptive Advisors LLC Signature Joseph Edelman/Managing Member Name/Title August 8, 2008 Date /s/ Joseph Edelman Signature Joseph Edelman Name/Title EXHIBIT B As discussed in Item 4(a), certain shares reported herein are held through Perceptive Life Sciences Master Fund Ltd., a Cayman Islands company, of which Joseph Edelman is the managing member of Perceptive Advisors LLC, the Master Fund's investment manager. -----END PRIVACY-ENHANCED MESSAGE-----