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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option Exercise (Right to Buy) | $ 4.26 | 02/05/2013 | M | 3,300 | 01/01/2009(3) | 12/06/2015 | Common Stock | 3,300 | $ 0 | 0 | D | ||||
Stock Option Exercise (Right to Buy) | $ 3.92 | 02/05/2013 | M | 1,700 | (4) | 07/01/2020 | Common Stock | 1,700 | $ 0 | 28,300 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MAIDA ANTHONY E III 11500 S. EASTERN AVE. SUITE 240 HENDERSON, NV 89052 |
X |
/s/ Brett L. Scott, attorney-in-fact for Anthony E. Maida | 02/06/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 13, 2012. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.20 to $12.30, 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. |
(3) | The stock option, representing the right to purchase a total of 15,000 shares of common stock, was granted on December 6, 2005. The stock option became exercisable as to 3,750 shares on January 1, 2006, 3,750 shares on January 1, 2007, 3,750 shares on January 1, 2008, and 3,750 shares on January 1, 2009. |
(4) | The stock option, representing the right to purchase a total of 30,000 shares of common stock, was granted on July 1, 2010. The stock option became exercisable as to 7,500 shares on July 1, 2010, 7,500 shares on July 1, 2011 and 7,500 shares on July 1, 2012. 7,500 shares will become exercisable on July 1, 2013. |