0001209191-13-043314.txt : 20130905 0001209191-13-043314.hdr.sgml : 20130905 20130905205347 ACCESSION NUMBER: 0001209191-13-043314 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130904 FILED AS OF DATE: 20130905 DATE AS OF CHANGE: 20130905 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 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: 131081636 MAIL ADDRESS: STREET 1: 157 TECHNOLOGY DRIVE CITY: IRVINE STATE: CA ZIP: 92618 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2013-09-04 0 0000831547 SPECTRUM PHARMACEUTICALS INC SPPI 0001193918 SHROTRIYA RAJESH C MD 11500 S. EASTERN AVE. SUITE 240 HENDERSON NV 89052 1 1 1 0 Chairman, CEO & President Common Stock, $.001 Par Value 2013-09-04 4 M 0 206448 1.99 A 1663728 D Common Stock, $.001 Par Value 2013-09-04 4 M 0 197500 4.90 A 1861228 D Common Stock, $.001 Par Value 23136 I By 401(k) plan Common Stock, $.001 Par Value 57177 I By Shrotriya Family Foundation Common Stock, $.001 Par Value 445993 I By CS Family Trust Common Stock, $.001 Par Value 10676 I By Shrotriya Gift Trust Common Stock, $.001 Par Value 9523 I By Spouse Stock Option (Right to Buy) 1.99 2013-09-04 4 M 0 206448 0.00 D 2003-09-05 2013-09-05 Common Stock 206448 0 D Stock Option (Right to Buy) 4.90 2013-09-04 4 M 0 197500 0.00 D 2004-06-12 2013-09-12 Common Stock 197500 0 D /s/ Brett L. Scott, attorney-in-fact for Rajesh C. Shrotriya 2013-09-05