Spectrum Pharmaceuticals (SPPI) Form 4 SPECTRUM PHARMACEUTICALS / RAJESH C MD SHROTRIYA ownership change

SEC Form 4

FORM 4

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

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

SHROTRIYA RAJESH C MD

(Last) (First) (Middle)

11500 S. EASTERN AVE.

SUITE 240

(Street)

HENDERSON NV 89052

(City) (State) (Zip)

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

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
05/17/2018

4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock, $0.001 par value	05/17/2018		M		112,500	A	$1.43	313,152	D
Common Stock, $0.001 par value	05/17/2018		M		250,426	A	$1.47	563,578	D
Common Stock, $0.001 par value	05/17/2018		G(1)		362,926	D	$0.00	200,652	D
Common Stock, $0.001 par value	05/17/2018		G(1)		362,926	A	$0.00	978,889	I	By CS Family Trust
Common Stock, $0.001 par value								1,787,542	I	By Shrotriya Gift Trust
Common Stock, $0.001 par value								1,243,284	I	By RS Irrevocable Trust
Common Stock, $0.001 par value								28,907	I	By 401(k) Plan
Common Stock, $0.001 par value								9,523	I	By Spouse
Common Stock, $0.001 par value								67,144	I	By Shrotriya Family Foundation
Common Stock, $0.001 par value								40,000	I	By ROTH IRA

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option Exercise (Right to Buy)	$1.43	05/17/2018		M			112,500	12/06/2011	12/06/2018	Common Stock	112,500	$0.00	0	D
Stock Option Exercise (Right to Buy)	$1.47	05/17/2018		M			250,426	01/16/2012	01/16/2019	Common Stock	250,426	$0.00	0	D

Explanation of Responses:

1. Transfer for estate planning purposes by Reporting Person to the CS Family Trust. The Reporting Person has an indirect beneficial ownership as trustee of the CS Family Trust.

Remarks:

	/s/ Kurt A. Gustafson, attorney-in-fact for Rajesh C. Shrotriya	05/17/2018
	** 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 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).
Note: 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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