Initial Statement of Beneficial Ownership (3)
December 27 2017 - 6:50PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Riga Thomas J
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2. Date of Event Requiring Statement (MM/DD/YYYY)
12/17/2017
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3. Issuer Name
and
Ticker or Trading Symbol
SPECTRUM PHARMACEUTICALS INC [SPPI]
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(Last)
(First)
(Middle)
11500 S. EASTERN AVE., SUITE 240
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Chief Operating Officer /
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(Street)
HENDERSON, NV 89052
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock, $0.001 par value
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151696
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D
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Common Stock, $0.001 par value
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9096
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I
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By 401k Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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(1)
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7/8/2023
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Common Stock
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35000
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$7.88
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D
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Stock Option (Right to Buy)
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(2)
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3/25/2024
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Common Stock
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17331
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$7.78
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D
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Stock Option (Right to Buy)
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(3)
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2/18/2025
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Common Stock
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40000
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$7.23
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D
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Stock Option (Right to Buy)
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(4)
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4/15/2025
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Common Stock
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50000
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$6.01
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D
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Stock Option (Right to Buy)
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(5)
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10/26/2025
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Common Stock
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50000
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$5.33
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D
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Stock Option (Right to Buy)
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(6)
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12/14/2025
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Common Stock
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100000
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$5.31
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D
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Stock Option (Right to Buy)
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(7)
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3/30/2026
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Common Stock
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45000
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$6.03
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D
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Stock Option (Right to Buy)
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(8)
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5/12/2027
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Common Stock
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35000
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$5.99
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D
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Explanation of Responses:
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(1)
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These options are fully vested.
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(2)
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25% of the option shares vested on March 25, 2015. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.
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(3)
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25% of the option shares vested on February 18, 2016. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.
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(4)
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25% of the option shares vested on April 15, 2015. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.
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(5)
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25% of the option shares vested on October 26, 2015. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.
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(6)
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25% of the option shares vested on December 14, 2015. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.
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(7)
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25% of the option shares vested on March 30, 2017. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.
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(8)
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25% of the option shares shall vest on May 12, 2018. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Riga Thomas J
11500 S. EASTERN AVE., SUITE 240
HENDERSON, NV 89052
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Chief Operating Officer
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Signatures
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/s/ Kurt A. Gustafson, attorney-in-fact for Thomas J. Riga
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12/27/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who 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.
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