person · Reporting owner
SHROTRIYA RAJESH C MD
Disclosed activity across 4 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Avant Diagnostics, IncAVDX · Entity 148455 | Director | August 28, 2018 | September 14, 2018 |
| CASI Pharmaceuticals, Inc.CASI · Entity 123920 | Director | May 25, 2022 | May 26, 2022 |
| GT Biopharma, Inc.GTBP · Entity 7878 | Director | January 27, 2023 | February 01, 2023 |
| SPECTRUM PHARMACEUTICALS INCSPPI · Entity 111009 | Director | May 17, 2018 | May 17, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Avant Diagnostics, Inc
Report date August 28, 2018 · Filed September 14, 2018
This filing explicitly reported no securities owned.
CASI Pharmaceuticals, Inc.
Report date May 25, 2022 · Filed May 26, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.47 · Expires 2032-05-25 | Direct | 345,806 |
Reported balance
After 2022-05-25 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2022-05-25 · Grant · Acquired 345,806 · Balance 345,806 F1: Stock option award will vest ratably quarterly to the end of the year. |
Filing footnotes · ownership attribution and instrument terms
F1: Stock option award will vest ratably quarterly to the end of the year.
GT Biopharma, Inc.
Report date January 27, 2023 · Filed February 01, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Option to purchase Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.84 · Expires 2033-01-26 | Direct | 500,000 |
Reported balance
After 2023-01-27 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-01-27 · Grant · Acquired 500,000 · Balance 500,000 F1: 1/12th of the shares vest on the monthly anniversary of January 1, 2023 until fully vested, subject to full acceleration in the event the reporting person is not re-elected to the board of directors or is removed from the board of directors other than for misconduct. |
Filing footnotes · ownership attribution and instrument terms
F1: 1/12th of the shares vest on the monthly anniversary of January 1, 2023 until fully vested, subject to full acceleration in the event the reporting person is not re-elected to the board of directors or is removed from the board of directors other than for misconduct.
SPECTRUM PHARMACEUTICALS INC
Report date May 17, 2018 · Filed May 17, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 200,652 |
Ending reported balance
After 2018-05-17 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2018-05-17 · Exercise / conversion · Acquired 112,500 · Balance 313,152 Row 2 · 2018-05-17 · Exercise / conversion · Acquired 250,426 · Balance 563,578 Row 3 · 2018-05-17 · Gift · Disposed 362,926 · Balance 200,652 F1: 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. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectBy CS Family Trust | 978,889 |
Reported balance
After 2018-05-17 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2018-05-17 · Gift · Acquired 362,926 · Balance 978,889 F1: 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. |
| Stock Option Exercise (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.43 · Expires 2018-12-06 | Direct | 0 |
Reported balance
After 2018-05-17 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2018-05-17 · Exercise / conversion · Disposed 112,500 · Balance 0 |
| Stock Option Exercise (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.47 · Expires 2019-01-16 | Direct | 0 |
Reported balance
After 2018-05-17 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2018-05-17 · Exercise / conversion · Disposed 250,426 · Balance 0 |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectBy Shrotriya Gift Trust | 1,787,542 |
Reported balance
Holding disclosure · report date 2018-05-17 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 1,787,542 |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectBy RS Irrevocable Trust | 1,243,284 |
Reported balance
Holding disclosure · report date 2018-05-17 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 1,243,284 |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectBy 401(k) Plan | 28,907 |
Reported balance
Holding disclosure · report date 2018-05-17 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 28,907 |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectBy Spouse | 9,523 |
Reported balance
Holding disclosure · report date 2018-05-17 · row 8
Holding and transaction disclosures are not merged.
1 source rowRow 8 · Balance 9,523 |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectBy Shrotriya Family Foundation | 67,144 |
Reported balance
Holding disclosure · report date 2018-05-17 · row 9
Holding and transaction disclosures are not merged.
1 source rowRow 9 · Balance 67,144 |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectBy ROTH IRA | 40,000 |
Reported balance
Holding disclosure · report date 2018-05-17 · row 10
Holding and transaction disclosures are not merged.
1 source rowRow 10 · Balance 40,000 |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 26, 2018 Filed Mar 28, 2018 16:38 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 30,000 | $17.34 | $520,200.00 |
DisclosureSEC source: 0001209191-18-021929 · doc4.xml · nonDerivative · entry 1 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By CS Family Trust Disclosed balance after: 1,585,963 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 19, 2018. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.13 to $17.52, 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. Read SEC document |
| March 09, 2018 Filed Mar 12, 2018 18:05 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionStock Option Exercise (Right to Buy) · Derivative | 500,000 | $0.00 Strike: $2.55 | $0.00 |
DisclosureSEC source: 0001209191-18-018940 · doc4.xml · derivative · entry 7 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Shrotriya Gift Trust Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires 2018-03-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 09, 2018 Filed Mar 12, 2018 18:05 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionCommon Stock, $0.001 par value | 500,000 | $2.55 | $1,275,000.00 |
DisclosureSEC source: 0001209191-18-018940 · doc4.xml · nonDerivative · entry 1 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Shrotriya Gift Trust Disclosed balance after: 1,787,542 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 15, 2018 Filed Jan 19, 2018 18:05 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 200,652 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004637 · doc4.xml · nonDerivative · entry 1 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,652 F1 · shares: Dr. Shrotriya may be deemed to have acquired beneficial ownership of the shares of common stock reported herein as a result of the determination by the Compensation Committee that applicable performance criteria have been satisfied pursuant to the terms of Dr. Shrotriya's award agreement. Pursuant to the terms of the award agreement, the actual issuance by the Company of the shares of common stock reported herein is subject to Dr. Shrotriya's having paid or satisfied in full the amount of all federal, state and local taxes applicable to his taxable income resulting from the grant or vesting of the award or the issuance of shares under the award agreement. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionStock Option Exercise (Right to Buy) · Derivative | 58,480 | $0.00 Strike: $6.69 | $0.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · derivative · entry 30 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 58,480 shares Expires 2020-12-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionStock Option Exercise (Right to Buy) · Derivative | 412,500 | $0.00 Strike: $5.86 | $0.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · derivative · entry 29 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 412,500 shares Expires 2020-12-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionStock Option Exercise (Right to Buy) · Derivative | 622,376 | $0.00 Strike: $7.24 | $0.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · derivative · entry 28 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 622,376 shares Expires 2020-12-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionStock Option Exercise (Right to Buy) · Derivative | 650,000 | $0.00 Strike: $9.18 | $0.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · derivative · entry 27 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 650,000 shares Expires 2020-12-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionStock Option Exercise (Right to Buy) · Derivative | 955,847 | $0.00 Strike: $11.34 | $0.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · derivative · entry 26 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 955,847 shares Expires 2020-12-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionStock Option Exercise (Right to Buy) · Derivative | 500,000 | $0.00 Strike: $8.27 | $0.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · derivative · entry 25 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires 2020-12-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionStock Option Exercise (Right to Buy) · Derivative | 985,444 | $0.00 Strike: $6.87 | $0.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · derivative · entry 24 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 985,444 shares Expires 2020-12-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionStock Option Exercise (Right to Buy) · Derivative | 500,000 | $0.00 Strike: $3.92 | $0.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · derivative · entry 23 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 500,000 shares Expires 2020-07-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionStock Option Exercise (Right to Buy) · Derivative | 478,495 | $0.00 Strike: $4.65 | $0.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · derivative · entry 22 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 478,495 shares Expires 2020-01-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionStock Option Exercise (Right to Buy) · Derivative | 27,624 | $0.00 Strike: $7.24 | $0.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · derivative · entry 21 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,624 shares Expires 2020-12-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionStock Option Exercise (Right to Buy) · Derivative | 8,818 | $0.00 Strike: $11.34 | $0.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · derivative · entry 20 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,818 shares Expires 2020-12-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Tax withholdingCommon Stock, $0.001 par value | 3,500,294 | $18.03 | $63,110,300.82 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · nonDerivative · entry 12 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,488,337 F1 · shares: Represents shares withheld by Spectrum to satisfy the Reporting Person's payment of the exercise price and tax withholding obligations. The shares have not been sold by the Reporting Person or by Spectrum. The shares have been cancelled by the transfer agent. F2 · balance_after: Upon completion of the proposed contribution of shares to the RS Irrevocable Trust referenced in footnote 3 below, the shares included in this Form 4 shall all be held indirectly by the Reporting Person. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionCommon Stock, $0.001 par value | 58,480 | $6.69 | $391,231.20 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · nonDerivative · entry 11 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,988,631 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionCommon Stock, $0.001 par value | 412,500 | $5.86 | $2,417,250.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · nonDerivative · entry 10 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,930,151 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionCommon Stock, $0.001 par value | 622,376 | $7.24 | $4,506,002.24 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · nonDerivative · entry 9 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,517,651 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionCommon Stock, $0.001 par value | 650,000 | $9.18 | $5,967,000.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · nonDerivative · entry 8 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,895,275 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionCommon Stock, $0.001 par value | 955,847 | $11.34 | $10,839,304.98 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · nonDerivative · entry 7 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,245,275 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionCommon Stock, $0.001 par value | 500,000 | $8.27 | $4,135,000.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · nonDerivative · entry 6 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,289,428 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionCommon Stock, $0.001 par value | 985,444 | $6.87 | $6,770,000.28 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · nonDerivative · entry 5 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,789,428 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionCommon Stock, $0.001 par value | 500,000 | $3.92 | $1,960,000.00 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · nonDerivative · entry 4 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,803,984 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionCommon Stock, $0.001 par value | 478,495 | $4.65 | $2,225,001.75 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · nonDerivative · entry 3 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,303,984 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionCommon Stock, $0.001 par value | 27,624 | $7.24 | $199,997.76 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · nonDerivative · entry 2 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,825,489 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 09, 2018 Filed Jan 11, 2018 21:27 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionCommon Stock, $0.001 par value | 8,818 | $11.34 | $99,996.12 |
DisclosureSEC source: 0001209191-18-003315 · doc4.xml · nonDerivative · entry 1 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,797,865 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 22, 2017 Filed Jan 19, 2018 18:05 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GiftCommon Stock, $0.001 par value | 1,431 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004637 · doc4.xml · nonDerivative · entry 4 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Shrotriya Family Foundation Disclosed balance after: 67,144 F4 · kind: This transaction involved a gift of securities by the Shrotriya Family Foundation, a Nevada nonprofit corporation, to a nonprofit charitable organization. The reporting person has an indirect beneficial ownership, as a director and officer of the Shrotriya Family Foundation, a Nevada nonprofit corporation. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 19:42 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionStock Option Exercise (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $3.15 | $0.00 |
DisclosureSEC source: 0001209191-17-063673 · doc4.xml · derivative · entry 9 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Shrotriya Gift Trust Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2017-12-06 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 19:42 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GiftCommon Stock, $0.001 par value | 27,666 | $19.04 | $526,760.64 |
DisclosureSEC source: 0001209191-17-063673 · doc4.xml · nonDerivative · entry 4 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,829,047 F4 · shares: This transaction involved a transfer from the reporting person to the Shrotriya Gift Trust. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 19:42 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Tax withholdingCommon Stock, $0.001 par value | 27,666 | $19.04 | $526,760.64 |
DisclosureSEC source: 0001209191-17-063673 · doc4.xml · nonDerivative · entry 3 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Shrotriya Gift Trust Disclosed balance after: 170,473 F3 · shares: Represents shares withheld by Spectrum to satisfy the Shrotriya Gift Trust's tax withholding obligations. The shares have not been sold by the Shrotriya Gift Trust or by Spectrum. The shares have been cancelled by the transfer agent. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 19:42 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Tax withholdingCommon Stock, $0.001 par value | 16,545 | $19.04 | $315,016.80 |
DisclosureSEC source: 0001209191-17-063673 · doc4.xml · nonDerivative · entry 2 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Shrotriya Gift Trust Disclosed balance after: 198,139 F2 · shares: Represents shares withheld by Spectrum to satisfy the Shrotriya Gift Trust's payment of the exercise price. The shares have not been sold by the Shrotriya Gift Trust or by Spectrum. The shares have been cancelled by the transfer agent. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 19:42 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Exercise / conversionCommon Stock, $0.001 par value | 100,000 | $3.15 | $315,000.00 |
DisclosureSEC source: 0001209191-17-063673 · doc4.xml · nonDerivative · entry 1 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Shrotriya Gift Trust Disclosed balance after: 214,684 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 27,666 shares previously owned directly which the reporting person contributed to the Shrotriya Gift Trust on November 30, 2017. Read SEC document |
| August 28, 2017 Filed Jan 19, 2018 18:05 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GiftCommon Stock, $0.001 par value | 774 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004637 · doc4.xml · nonDerivative · entry 3 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Shrotriya Family Foundation Disclosed balance after: 68,575 F4 · kind: This transaction involved a gift of securities by the Shrotriya Family Foundation, a Nevada nonprofit corporation, to a nonprofit charitable organization. The reporting person has an indirect beneficial ownership, as a director and officer of the Shrotriya Family Foundation, a Nevada nonprofit corporation. Read SEC document |
| June 08, 2017 Filed Jun 9, 2017 17:07 UTC | CASI Pharmaceuticals, Inc. CASI · Entity 123920 | GrantStock Options (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $1.01 | $0.00 |
DisclosureSEC source: 0001144204-17-031986 · v468785_4.xml · derivative · entry 1 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2027-06-08 F1 · derivative.exercise_date: Stock option award will vest ratably quarterly to the end of one year. Read SEC document |
| May 18, 2017 Filed Jan 19, 2018 18:05 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GiftCommon Stock, $0.001 par value | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004637 · doc4.xml · nonDerivative · entry 2 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,652 F2 · kind: This transaction involved a gift of securities by the reporting person to his two adult children and three grandchildren, who do not share the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his two children and three grandchildren, and this report should not be deemed an admission that the reporting person is the beneficial owner of his children or grandchildren's shares for purposes of Section 16 or any other purpose. F3 · balance_after: The number of shares deemed beneficially owned directly following the 2017 gift transaction was not adjusted since the gift pre-dated the deemed acquisition of beneficial ownership of the 200,652 shares noted in Table 1, Line 1 of this Form 4. Read SEC document |
| March 28, 2017 Filed Mar 30, 2017 18:50 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 233,918 | $0.00 Strike: $6.69 | $0.00 |
DisclosureSEC source: 0001209191-17-023725 · doc4.xml · derivative · entry 8 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,918 Underlying: Common Stock · 233,918 shares Expires 2027-03-28 F3 · derivative.exercise_date: 25% of the option shares vested on March 28, 2017. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years. Read SEC document |
| March 28, 2017 Filed Mar 30, 2017 18:50 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Tax withholdingCommon Stock, $0.001 | 6,860 | $6.69 | $45,893.40 |
DisclosureSEC source: 0001209191-17-023725 · doc4.xml · nonDerivative · entry 2 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,876,713 F2 · shares: Represents shares withheld by Spectrum to satisfy the Reporting Person's tax withholding obligations. The shares have not been sold by the Reporting Person or by Spectrum. The shares have been cancelled by the transfer agent. Read SEC document |
| March 28, 2017 Filed Mar 30, 2017 18:50 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 100,326 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-023725 · doc4.xml · nonDerivative · entry 1 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,883,573 F1 · shares: 25% of the restricted shares vested on March 28, 2017. The remaining restricted shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years. Read SEC document |
| March 22, 2017 Filed Mar 24, 2017 16:52 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Tax withholdingCommon Stock, $0.001 par value | 6,838 | $6.42 | $43,899.96 |
DisclosureSEC source: 0001209191-17-022777 · doc4.xml · nonDerivative · entry 1 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,783,247 F1 · shares: Represents restricted shares withheld by Spectrum to satisfy Reporting Person's tax withholding obligations. The shares have not been sold by the Reporting Person or by Spectrum. The shares have been cancelled by the transfer agent. Read SEC document |
| February 18, 2017 Filed Feb 22, 2017 17:48 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | Tax withholdingCommon Stock, $0.001 par value | 6,939 | $5.91 | $41,009.49 |
DisclosureSEC source: 0001209191-17-013461 · doc4.xml · nonDerivative · entry 1 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,790,085 F1 · shares: Represents shares withheld by Spectrum to satisfy the Reporting Person's tax withholding obligations. The shares have not been sold by the Reporting Person or by Spectrum. The shares have been cancelled by the transfer agent. Read SEC document |
| December 19, 2016 Filed Feb 10, 2017 14:54 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GiftCommon Stock, $.001 Par Value | 4,320 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-009463 · doc5.xml · nonDerivative · entry 3 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Shrotriya Family Foundation Disclosed balance after: 69,349 F3 · kind: This transaction involved a gift of securities by the Shrotriya Family Foundation, a Nevada nonprofit corporation, to a nonprofit charitable organization. The reporting person has an indirect beneficial ownership, as a director and officer of the Shrotriya Family Foundation, a Nevada nonprofit corporation. F3 · ownership.nature: This transaction involved a gift of securities by the Shrotriya Family Foundation, a Nevada nonprofit corporation, to a nonprofit charitable organization. The reporting person has an indirect beneficial ownership, as a director and officer of the Shrotriya Family Foundation, a Nevada nonprofit corporation. Read SEC document |
| October 03, 2016 Filed Feb 10, 2017 14:54 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GiftCommon Stock, $.001 Par Value | 10,613 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-009463 · doc5.xml · nonDerivative · entry 5 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Shrotriya Annuity Trust Disclosed balance after: 0 F4 · kind: This transaction involved a transfer back to the reporting person from the Shrotriya Annuity Trust as a result of the termination of such Trust. F4 · ownership.nature: This transaction involved a transfer back to the reporting person from the Shrotriya Annuity Trust as a result of the termination of such Trust. Read SEC document |
| October 03, 2016 Filed Feb 10, 2017 14:54 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GiftCommon Stock, $.001 Par Value | 10,613 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-009463 · doc5.xml · nonDerivative · entry 4 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,797,024 F4 · kind: This transaction involved a transfer back to the reporting person from the Shrotriya Annuity Trust as a result of the termination of such Trust. Read SEC document |
| February 09, 2016 Filed Feb 10, 2017 14:54 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GiftCommon Stock, $.001 Par Value | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-009463 · doc5.xml · nonDerivative · entry 2 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,797,024 F2 · kind: This transaction involved a gift of securities by the reporting person to his two adult children who do not share the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his adult children and this report should not be deemed an admission that the reporting person is the beneficial owner of his children's shares for purposes of Section 16 or any other purpose. Read SEC document |
| February 09, 2016 Filed Feb 10, 2017 14:54 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GiftCommon Stock, $.001 Par Value | 9,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-009463 · doc5.xml · nonDerivative · entry 1 SHROTRIYA RAJESH C MD · CIK 0001193918 · Director · Chairman & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,797,024 F1 · kind: This transaction involved a gift of securities by the reporting person to his three grandchildren who do not share the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his three grandchildren and this report should not be deemed an admission that the reporting person is the beneficial owner of his grandchildren's shares for purposes of Section 16 or any other purpose. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.