-----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, MGd92j/wdd3ccT2M6Jd5qd7k1rMTHRSXqv3encoLkNiPN6jT8g7g++fa23yUSHLR Xj24YCqLt0PE84bf1HXY6g== 0001169232-03-001307.txt : 20030214 0001169232-03-001307.hdr.sgml : 20030214 20030214124547 ACCESSION NUMBER: 0001169232-03-001307 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RBC FUNDS INC CENTRAL INDEX KEY: 0001166687 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: ROYAL TRUST TOWER STREET 2: PO BOX 7500, STATION A CITY: TORONTO, CANADA STATE: A6 ZIP: 00000 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-49329 FILM NUMBER: 03565041 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: AMERICUS FUNDING CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: NEOTHERAPEUTICS INC DATE OF NAME CHANGE: 19960819 SC 13G 1 d53681_sc13g.txt SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Neotherapeutics Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 640656104 (CUSIP Number) December 31, 2002 (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). CUSIP No. 640656104 13G Page 2 of 6 Pages - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON RBC Funds Inc. - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION The jurisdiction of organization is Canada - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER N/A NUMBER OF ----------------------------------------------------------------- SHARES 6. SHARED VOTING POWER BENEFICIALLY OWNED BY EACH N/A REPORTING ----------------------------------------------------------------- PERSON WITH 7. SOLE DISPOSITIVE POWER N/A ----------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER N/A - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON N/A - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [_] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) N/A - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1(a) Name of Issuer: Neotherapeutics Inc. Item 1(b) Address of Issuer's Principal Executive Offices: Neotherapeutics Inc. 157 Technology Dr. Irvine, CA 92618 (949) 788-6700 Item 2(a) Name of Person Filing: RBC Funds Inc. Item 2(b) Address of Principal Business Office or, if None, Residence: RBC Funds Inc. Royal Trust Tower, P.O. Box 7500, Station A 77 King Street West Toronto, Ontario M5W 1P9 Item 2(a) Citizenship: Canada Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 640656104 Item 3. If this statement is filed pursuant to Rules 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.8a-8); (e) [_] An Investment Adviser in accordance with Section 240. 13d-1(b)(1) (ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with Section 240. 13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with Section 240. 13d-1(b)(1)(ii)(G); (h) [_] A savings association 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 Section 240. 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Section 240 13d-1(c), check this box. [X] Item 4. Ownership. (a) Amount beneficially owned: N/A (b) Percent of class: N/A (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote N/A (ii) Shared power to vote or to direct the vote N/A (iii) Sole power to dispose or to direct the disposition of N/A (iv) Shared power to dispose or to direct the disposition of N/A 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. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. N/A Item 8. Identification and Classification of Members of the Group. N/A Item 9. Notice of Dissolution of Group. N/A 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 and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired and are not held in connection with or as a participant in any transaction having such 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. February 14, 2002 ----------------------------- (Date) /s/ M. George Lewis ----------------------------- (Signature) M. George Lewis Chairman and C.E.O. RBC Funds Inc. ----------------------------- (Name/Title -----END PRIVACY-ENHANCED MESSAGE-----