0001209191-18-025910.txt : 20180423 0001209191-18-025910.hdr.sgml : 20180423 20180423215347 ACCESSION NUMBER: 0001209191-18-025910 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180419 FILED AS OF DATE: 20180423 DATE AS OF CHANGE: 20180423 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHROTRIYA RAJESH C MD CENTRAL INDEX KEY: 0001193918 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35006 FILM NUMBER: 18769960 MAIL ADDRESS: STREET 1: 157 TECHNOLOGY DRIVE CITY: IRVINE STATE: CA ZIP: 92618 ISSUER: 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 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-04-19 0 0000831547 SPECTRUM PHARMACEUTICALS INC SPPI 0001193918 SHROTRIYA RAJESH C MD 11500 S. EASTERN AVE. SUITE 240 HENDERSON NV 89052 1 0 0 0 Common Stock, $0.001 par value 2018-04-19 4 S 0 30000 19.18 D 1119977 I By CS Family Trust Common Stock, $0.001 par value 2018-04-20 4 S 0 30000 18.67 D 1089977 I By CS Family Trust Common Stock, $0.001 par value 2018-04-23 4 S 0 30000 18.37 D 1059977 I By CS Family Trust Common Stock, $0.001 par value 1787542 I By Shrotriya Gift Trust Common Stock, $0.001 par value 1243284 I By RS Irrevocable Trust Common Stock, $0.001 par value 28907 I By 401(k) Plan Common Stock, $0.001 par value 9523 I By Spouse Common Stock, $0.001 par value 67144 I By Shrotriya Family Foundation Common Stock, $0.001 par value 200652 D All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 19, 2018. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.95 to $19.43, inclusive. The reporting person undertakes to provide to Spectrum Pharmaceuticals, Inc., any security holder of Spectrum Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.41 to $18.80, inclusive. The reporting person undertakes to provide to Spectrum Pharmaceuticals, Inc., any security holder of Spectrum Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.16 to $18.60, inclusive. The reporting person undertakes to provide to Spectrum Pharmaceuticals, Inc., any security holder of Spectrum Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. /s/ Kurt A. Gustafson, attorney-in-fact for Rajesh C. Shrotriya 2018-04-23