SEC FORM 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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

(Last)

(First)

(Middle)

11500 S. EASTERN AVE., SUITE 240

(Street)

HENDERSON

89052

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
12/17/2017

3. Issuer Name and Ticker or Trading Symbol
SPECTRUM PHARMACEUTICALS INC [ SPPI ]

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

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock, $0.001 par value	151,696	D
Common Stock, $0.001 par value	9,096	I	By 401k Plan

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Stock Option (Right to Buy)	⁽¹⁾	07/08/2023	Common Stock	35,000	$7.88	D
Stock Option (Right to Buy)	⁽²⁾	03/25/2024	Common Stock	17,331	$7.78	D
Stock Option (Right to Buy)	⁽³⁾	02/18/2025	Common Stock	40,000	$7.23	D
Stock Option (Right to Buy)	⁽⁴⁾	04/15/2025	Common Stock	50,000	$6.01	D
Stock Option (Right to Buy)	⁽⁵⁾	10/26/2025	Common Stock	50,000	$5.33	D
Stock Option (Right to Buy)	⁽⁶⁾	12/14/2025	Common Stock	100,000	$5.31	D
Stock Option (Right to Buy)	⁽⁷⁾	03/30/2026	Common Stock	45,000	$6.03	D
Stock Option (Right to Buy)	⁽⁸⁾	05/12/2027	Common Stock	35,000	$5.99	D

Explanation of Responses:

1. These options are fully vested.

2. 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.

3. 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.

4. 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.

5. 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.

6. 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.

7. 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.

8. 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.

Remarks:

	/s/ Kurt A. Gustafson, attorney-in-fact for Thomas J. Riga	12/27/2017
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.