Riga Thomas J's Form 4 filing
Spectrum Pharmaceuticals Inc (SPPI) · filed Jan 5, 2023
- Accession no.
- 0000899243-23-001066
- Filed
- Jan 5, 2023, 7:50 PM ET
- Trade date
- Jan 3, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $9.14K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Riga Thomas JCIK 0001726378 | Director, Officer (CEO & President) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 3, 2023 | Common Stock, $0.001 par value | SSaleDisposed | −23,929 | $0.382 | −$9,140.88 | 1,189,411 | Direct | |
| Jan 3, 2023 | Common Stock, $0.001 par value | AGrant or awardAcquired | +888,000 | $0.00 | $0 | 2,077,411 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 3, 2023 | Common Stock | AGrant or awardAcquired | +3,112,000 | $0.00 | $0 | 3,112,000 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.