SPECTRUM PHARMACEUTICALS INC Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 24 rows, 24 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-02-18: Reporting owner LEBEL FRANCOIS; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-02-18: Reporting owner Turgeon Joseph W.; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-02-18: Reporting owner McGahan Keith M; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-02-18: Reporting owner GUSTAFSON KURT A; Form 4; Security Stock Appreciation Right; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-02-18 | LEBEL FRANCOIS Officer (Chief Medical Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +314,213 314,213 owned after | $3.56 exercise price | 2021-02-24 | |
| 2021-02-18 | Turgeon Joseph W. Director, Officer (CEO & President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +792,135 792,135 owned after | $3.56 exercise price | 2021-02-23 | |
| 2021-02-18 | McGahan Keith M Officer (Chief Legal Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +314,213 314,213 owned after | $3.56 exercise price | 2021-02-23 | |
| 2021-02-18 | GUSTAFSON KURT A Officer (EVP & Chief Financial Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +340,618 340,618 owned after | $3.56 exercise price | 2021-02-23 | |
| 2021-02-18 | Riga Thomas J Officer (EVP, COO & CCO) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +382,865 382,865 owned after | $3.56 exercise price | 2021-02-23 | |
| 2020-03-12 | Turgeon Joseph W. Director, Officer (CEO & President) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +600,000 600,000 owned after | $2.13 exercise price | 2020-03-13 | |
| 2020-03-12 | Riga Thomas J Officer (EVP, COO & CCO) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +375,000 375,000 owned after | $2.13 exercise price | 2020-03-13 | |
| 2020-03-12 | McGahan Keith M Officer (Chief Legal Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +200,000 200,000 owned after | $2.13 exercise price | 2020-03-13 | |
| 2020-03-12 | GUSTAFSON KURT A Officer (EVP & Chief Financial Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 225,000 owned after | $2.13 exercise price | 2020-03-13 | |
| 2020-03-12 | LEBEL FRANCOIS Officer (Chief Medical Officer) | 4 | Stock Appreciation Right Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $2.13 exercise price | 2020-03-13 | |
| 2018-06-18 | Vyas Dolatrai Director | 4 | Common Stock (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $19.95 exercise price | 2018-06-19 | |
| 2017-06-13 | Vyas Dolatrai Director | 4 | Common Stock (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $6.48 exercise price | 2017-06-15 | |
| 2016-06-28 | Vyas Dolatrai Director | 4 | Common Stock (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $6.33 | 2016-06-29 | |
| 2010-07-01 | KUMARIA SHYAM K Officer (Sr. Vice President Finance) | 4 | 07/01/2010 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $3.92 | 2010-07-01 | |
| 2010-07-01 | LENAZ LUIGI MD Director | 4 | 07/01/2010 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $3.92 | 2010-07-01 | |
| 2010-07-01 | Krassner Stuart Mitchell Director | 4 | 07/01/2010 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $3.92 | 2010-07-01 | |
| 2009-04-23 | KUMARIA SHYAM K Officer (Vice President Finance) | 4 | Common Stock (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −50,000 0 owned after | $1.15 | 2009-04-27 | |
| 2009-04-23 | KUMARIA SHYAM K Officer (Vice President Finance) | 4 | Common Stock (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −100,000 0 owned after | $1.15 | 2009-04-27 | |
| 2009-04-23 | KUMARIA SHYAM K Officer (Vice President Finance) | 4 | Common Stock (Right to Buy) Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −75,000 0 owned after | $1.15 | 2009-04-27 | |
| 2008-03-25 | Krassner Stuart Mitchell Director | 4 | 03/25/2008 Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,000 30,000 owned after | $2.55 | 2008-03-27 | |
| 2007-07-24 holding as of filing | Cybulski Mitchell P. Director | 3 | No Securities Beneficially Owned Non-derivative · Direct | Holding | 0 owned after | no price filed | 2007-07-24 | |
| 2007-02-20 | VIDA JULIUS A Director | 4 | Common Stock (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $6.56 exercise price | 2007-02-22 | |
| 2007-02-20 | MEHTA DILIP J MD PHD Director | 4 | Common Stock (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $6.56 exercise price | 2007-02-22 | |
| 2007-02-20 | Krassner Stuart Mitchell Director | 4 | Common Stock (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $6.56 exercise price | 2007-02-22 |