0001209191-22-039065.txt : 20220623 0001209191-22-039065.hdr.sgml : 20220623 20220623205757 ACCESSION NUMBER: 0001209191-22-039065 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220621 FILED AS OF DATE: 20220623 DATE AS OF CHANGE: 20220623 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Riga Thomas J CENTRAL INDEX KEY: 0001726378 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35006 FILM NUMBER: 221036751 MAIL ADDRESS: STREET 1: 11500 S. EASTERN AVE., SUITE 240 CITY: HENDERSON STATE: NV ZIP: 89052 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 2022-06-21 0 0000831547 SPECTRUM PHARMACEUTICALS INC SPPI 0001726378 Riga Thomas J 11500 S. EASTERN AVE., SUITE 220 HENDERSON NV 89052 1 1 0 0 CEO & President Common Stock, $0.001 par value 2022-06-21 4 A 0 405040 0.00 A 1213340 D Common Stock, $0.001 par value 14139 I By 401(k) plan Stock Option (Right to Buy) 0.63 2022-06-21 4 A 0 1078500 0.00 A 2032-01-27 Common Stock 1078500 1078500 D Stock Option (Right to Buy) 0.63 2022-06-21 4 A 0 1488940 0.00 A 2032-01-27 Common Stock 1488940 1488940 D The restricted stock unit grant was approved by Spectrum Pharmaceuticals, Inc.'s ("Spectrum") board of directors on January 27, 2022, subject to stockholder approval of the Amended and Restated 2018 Long-Term Incentive Plan (the "Plan") under which the restricted stock unit was granted. Spectrum's stockholders approved the Plan on June 21, 2022. The option grant was approved by Spectrum's board of directors on January 27, 2022, subject to stockholder approval of the Plan under which the option was granted. Spectrum's stockholders approved the Plan on June 21, 2022. Represents options granted in connection with the reporting person's promotion to President and Chief Executive Officer. One third of the aggregate amount of option shares shall vest on each of January 27, 2023, 2024 and 2025, respectively. Represents the annual performance awards granted to the reporting person. /s/ Keith M. McGahan, attorney-in-fact for Thomas J. Riga 2022-06-23