Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Alaunos Therapeutics, Inc.ZIOP · Entity 8339 | Executive Vice President R&D | December 29, 2017 | January 03, 2018 |
| SPECTRUM PHARMACEUTICALS INCSPPI · Entity 111009 | Chief Medical Officer | June 21, 2022 | June 23, 2022 |
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.
Alaunos Therapeutics, Inc.
Report date December 29, 2017 · Filed January 03, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 200,566 |
Ending reported balance
After 2017-12-31 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2017-12-29 · Grant · Acquired 116,000 · Balance 253,683 F1: 38,666 shares shall vest on 12/29/2018; 38,667 shares shall vest on each of 12/29/2019 and 12/29/2020. Row 2 · 2017-12-30 · Tax withholding · Disposed 31,450 · Balance 222,233 F2: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants. Row 3 · 2017-12-31 · Tax withholding · Disposed 21,667 · Balance 200,566 F2: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants. |
Filing footnotes · ownership attribution and instrument terms
F1: 38,666 shares shall vest on 12/29/2018; 38,667 shares shall vest on each of 12/29/2019 and 12/29/2020.
F2: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants.
SPECTRUM PHARMACEUTICALS INC
Report date June 21, 2022 · Filed June 23, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $0.001 par valueSEC Table I · non-derivative | Direct | 644,790 |
Ending reported balance
After 2022-06-23 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2022-06-21 · Grant · Acquired 405,040 · Balance 657,553 F1: The restricted stock unit grant was approved by Spectrum Pharmaceuticals, Inc.'s ("Spectrum") board of directors on January 27, 2022, subject to stockholder approval of the Amended and Restated 2018 Long-Term Incentive Plan (the "Plan") under which the restricted stock unit was granted. Spectrum's stockholders approved the Plan on June 21, 2022. Row 2 · 2022-06-22 · Sale · Disposed 6,096 · Balance 651,457 F2: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Row 3 · 2022-06-23 · Sale · Disposed 6,667 · Balance 644,790 F2: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.63 · Expires 2032-01-27 | Direct | 1,488,940 |
Reported balance
After 2022-06-21 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-06-21 · Grant · Acquired 1,488,940 · Balance 1,488,940 F3: The option grant was approved by Spectrum's board of directors on January 27, 2022, subject to stockholder approval of the Plan under which the option was granted. Spectrum's stockholders approved the Plan on June 21, 2022. F4: One third of the aggregate amount of option shares shall vest on each of January 27, 2023, 2024 and 2025, respectively. |
| Common Stock, $0.001 par valueSEC Table I · non-derivative | IndirectBy 401(k) plan | 7,226 |
Reported balance
Holding disclosure · report date 2022-06-21 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 7,226 |
Filing footnotes · ownership attribution and instrument terms
F1: The restricted stock unit grant was approved by Spectrum Pharmaceuticals, Inc.'s ("Spectrum") board of directors on January 27, 2022, subject to stockholder approval of the Amended and Restated 2018 Long-Term Incentive Plan (the "Plan") under which the restricted stock unit was granted. Spectrum's stockholders approved the Plan on June 21, 2022.
F2: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer.
F3: The option grant was approved by Spectrum's board of directors on January 27, 2022, subject to stockholder approval of the Plan under which the option was granted. Spectrum's stockholders approved the Plan on June 21, 2022.
F4: One third of the aggregate amount of option shares shall vest on each of January 27, 2023, 2024 and 2025, respectively.
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 |
|---|---|---|---|---|---|---|
| June 23, 2022 Filed Jun 23, 2022 20:24 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 6,667 | $0.84 | $5,593.61 |
DisclosureSEC source: 0001209191-22-039063 · doc4.xml · nonDerivative · entry 3 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 644,790 F2 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| June 22, 2022 Filed Jun 23, 2022 20:24 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 6,096 | $0.81 | $4,913.38 |
DisclosureSEC source: 0001209191-22-039063 · doc4.xml · nonDerivative · entry 2 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 651,457 F2 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| June 21, 2022 Filed Jun 23, 2022 20:24 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 1,488,940 | $0.00 Strike: $0.63 | $0.00 |
DisclosureSEC source: 0001209191-22-039063 · doc4.xml · derivative · entry 5 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,488,940 Underlying: Common Stock · 1,488,940 shares Expires 2032-01-27 F3 · date: The option grant was approved by Spectrum's board of directors on January 27, 2022, subject to stockholder approval of the Plan under which the option was granted. Spectrum's stockholders approved the Plan on June 21, 2022. F4 · derivative.exercise_date: One third of the aggregate amount of option shares shall vest on each of January 27, 2023, 2024 and 2025, respectively. Read SEC document |
| June 21, 2022 Filed Jun 23, 2022 20:24 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 405,040 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-22-039063 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 657,553 F1 · date: The restricted stock unit grant was approved by Spectrum Pharmaceuticals, Inc.'s ("Spectrum") board of directors on January 27, 2022, subject to stockholder approval of the Amended and Restated 2018 Long-Term Incentive Plan (the "Plan") under which the restricted stock unit was granted. Spectrum's stockholders approved the Plan on June 21, 2022. Read SEC document |
| April 05, 2022 Filed Apr 5, 2022 17:42 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 1,367 | $1.41 | $1,927.47 |
DisclosureSEC source: 0001209191-22-023224 · doc4.xml · nonDerivative · entry 2 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 252,513 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| April 04, 2022 Filed Apr 5, 2022 17:42 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 1,205 | $1.35 | $1,626.75 |
DisclosureSEC source: 0001209191-22-023224 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,880 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| March 16, 2022 Filed Mar 16, 2022 19:11 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 25,105 | $0.71 | $17,724.13 |
DisclosureSEC source: 0001209191-22-019341 · doc4.xml · nonDerivative · entry 2 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 255,085 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| March 15, 2022 Filed Mar 16, 2022 19:11 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 25,130 | $0.71 | $17,716.65 |
DisclosureSEC source: 0001209191-22-019341 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 280,190 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| February 24, 2022 Filed Feb 24, 2022 21:04 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 14,708 | $0.64 | $9,413.12 |
DisclosureSEC source: 0001209191-22-012928 · doc4.xml · nonDerivative · entry 2 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 305,320 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| February 23, 2022 Filed Feb 24, 2022 21:04 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 13,466 | $0.70 | $9,466.60 |
DisclosureSEC source: 0001209191-22-012928 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 320,028 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| November 09, 2021 Filed Nov 10, 2021 20:32 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 6,000 | $2.18 | $13,080.00 |
DisclosureSEC source: 0001209191-21-064002 · doc4.xml · nonDerivative · entry 2 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 329,166 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| November 08, 2021 Filed Nov 10, 2021 20:32 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 7,363 | $2.20 | $16,220.69 |
DisclosureSEC source: 0001209191-21-064002 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 335,166 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| June 23, 2021 Filed Jun 23, 2021 17:11 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 5,000 | $4.00 | $20,000.00 |
DisclosureSEC source: 0001209191-21-042775 · doc4.xml · nonDerivative · entry 2 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 340,046 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| June 22, 2021 Filed Jun 23, 2021 17:11 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 5,821 | $4.09 | $23,784.61 |
DisclosureSEC source: 0001209191-21-042775 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 345,046 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| April 06, 2021 Filed Apr 6, 2021 17:50 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 1,025 | $3.24 | $3,321.00 |
DisclosureSEC source: 0001209191-21-025722 · doc4.xml · nonDerivative · entry 2 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,867 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| April 05, 2021 Filed Apr 6, 2021 17:50 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 1,125 | $3.31 | $3,726.00 |
DisclosureSEC source: 0001209191-21-025722 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 351,892 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| March 16, 2021 Filed Mar 17, 2021 18:08 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 18,828 | $3.69 | $69,475.32 |
DisclosureSEC source: 0001209191-21-021497 · doc4.xml · nonDerivative · entry 2 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 353,017 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| March 15, 2021 Filed Mar 17, 2021 18:08 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 22,631 | $3.63 | $82,037.38 |
DisclosureSEC source: 0001209191-21-021497 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 371,845 F1 · kind: All sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| February 18, 2021 Filed Feb 24, 2021 17:08 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Appreciation Right · Derivative | 314,213 | $0.00 Strike: $3.56 | $0.00 |
DisclosureSEC source: 0001209191-21-013884 · doc4.xml · derivative · entry 4 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 314,213 Underlying: Common Stock · 314,213 shares Expires 2031-02-18 F3 · derivative.exercise_date: One third of the aggregate amount of stock appreciation rights shall vest on each of February 18, 2022, 2023 and 2024, respectively. Read SEC document |
| February 18, 2021 Filed Feb 24, 2021 17:08 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 133,708 | $0.00 Strike: $3.56 | $0.00 |
DisclosureSEC source: 0001209191-21-013884 · doc4.xml · derivative · entry 3 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,708 Underlying: Common Stock · 133,708 shares Expires 2031-02-18 F2 · derivative.exercise_date: One third of the aggregate amount of option shares shall vest on each of February 18, 2022, 2023 and 2024, respectively. Read SEC document |
| February 18, 2021 Filed Feb 24, 2021 17:08 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 110,309 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-013884 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 418,526 F1 · shares: One third of the aggregate amount of restricted shares shall vest on each of February 18, 2022, 2023 and 2024, respectively. Read SEC document |
| November 09, 2020 Filed Nov 9, 2020 20:08 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 5,000 | $3.56 | $17,800.00 |
DisclosureSEC source: 0001209191-20-057520 · doc4.xml · nonDerivative · entry 2 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 306,424 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| November 06, 2020 Filed Nov 9, 2020 20:08 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 7,025 | $3.50 | $24,608.58 |
DisclosureSEC source: 0001209191-20-057520 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 301,424 F1 · kind: These transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| June 23, 2020 Filed Jun 23, 2020 17:23 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 4,167 | $3.35 | $13,959.45 |
DisclosureSEC source: 0001209191-20-038544 · doc4.xml · nonDerivative · entry 2 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 292,729 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| June 22, 2020 Filed Jun 23, 2020 17:23 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 5,474 | $3.16 | $17,319.74 |
DisclosureSEC source: 0001209191-20-038544 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 296,896 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| April 03, 2020 Filed Apr 6, 2020 16:28 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 854 | $2.18 | $1,861.72 |
DisclosureSEC source: 0001209191-20-023586 · doc4.xml · nonDerivative · entry 2 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,370 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| April 02, 2020 Filed Apr 6, 2020 16:28 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 1,228 | $2.17 | $2,667.22 |
DisclosureSEC source: 0001209191-20-023586 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 303,224 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 17:25 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Appreciation Right · Derivative | 250,000 | $0.00 Strike: $2.13 | $0.00 |
DisclosureSEC source: 0001209191-20-018986 · doc4.xml · derivative · entry 4 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 250,000 shares Expires 2030-03-12 F3 · derivative.exercise_date: 25% of the stock appreciation rights vested on March 12, 2020. The remaining stock appreciation rights shall vest in equal amounts of 25% of the total shares underlying the stock appreciation rights on each anniversary of the grant date over the next three years. The stock appreciation rights can be settled in common stock or cash at the election of the Compensation Committee. Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 17:25 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $2.13 | $0.00 |
DisclosureSEC source: 0001209191-20-018986 · doc4.xml · derivative · entry 3 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2030-03-12 F2 · derivative.exercise_date: 25% of the option shares vested on March 12, 2020. The remaining option shares shall vest in equal amounts of 25% of the total shares underlying the option shares on each anniversary of the grant date over the next three years. Read SEC document |
| March 12, 2020 Filed Mar 13, 2020 17:25 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 188,285 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-018986 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 304,452 F1 · shares: One third of the aggregate amount of restricted shares shall vest on each of March 12, 2021, 2022 and 2023, respectively. Read SEC document |
| November 06, 2019 Filed Nov 8, 2019 16:01 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | SaleCommon Stock, $0.001 par value | 6,963 | $8.16 | $56,825.04 |
DisclosureSEC source: 0001209191-19-055804 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,970 F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for the purpose of satisfying tax withholding obligations in connection with restricted stock awards granted by the issuer. Read SEC document |
| June 19, 2019 Filed Jun 21, 2019 19:19 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantStock Option (Right to Buy) · Derivative | 125,000 | $0.00 Strike: $8.48 | $0.00 |
DisclosureSEC source: 0001209191-19-038657 · doc4.xml · derivative · entry 3 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 125,000 shares Expires 2029-06-19 F2 · derivative.exercise_date: 25% of the option shares vested on June 19, 2019. The remaining option shares shall vest in 25% equal annual amounts on each anniversary date of the grant over three years. Read SEC document |
| June 19, 2019 Filed Jun 21, 2019 19:19 UTC | SPECTRUM PHARMACEUTICALS INC SPPI · Entity 111009 | GrantCommon Stock, $0.001 par value | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-038657 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,250 F1 · shares: One third of the aggregate amount of restricted shares shall vest on each of June 19, 2020, 2021 and 2022, respectively. Read SEC document |
| December 31, 2017 Filed Jan 3, 2018 16:59 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | Tax withholdingCommon Stock | 21,667 | $4.14 | $89,701.38 |
DisclosureSEC source: 0001209191-18-001011 · doc4.xml · nonDerivative · entry 3 LEBEL FRANCOIS · CIK 0001038704 · Executive Vice President R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,566 F2 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants. Read SEC document |
| December 30, 2017 Filed Jan 3, 2018 16:59 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | Tax withholdingCommon Stock | 31,450 | $4.14 | $130,203.00 |
DisclosureSEC source: 0001209191-18-001011 · doc4.xml · nonDerivative · entry 2 LEBEL FRANCOIS · CIK 0001038704 · Executive Vice President R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,233 F2 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants. Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 16:59 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | GrantCommon Stock | 116,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-001011 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Executive Vice President R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,683 F1 · shares: 38,666 shares shall vest on 12/29/2018; 38,667 shares shall vest on each of 12/29/2019 and 12/29/2020. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 16:42 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | Tax withholdingCommon Stock | 21,667 | $5.35 | $115,918.45 |
DisclosureSEC source: 0001209191-17-001014 · doc4.xml · nonDerivative · entry 2 LEBEL FRANCOIS · CIK 0001038704 · Executive Vice President R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,683 F2 · shares: Represents shares withheld to satisfy withholding tax obligations upon the vesting of restricted stock grants. Read SEC document |
| December 30, 2016 Filed Jan 4, 2017 16:42 UTC | Alaunos Therapeutics, Inc. ZIOP · Entity 8339 | GrantCommon Stock | 94,350 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-001014 · doc4.xml · nonDerivative · entry 1 LEBEL FRANCOIS · CIK 0001038704 · Executive Vice President R&D 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,350 F1 · shares: 31,450 shares shall vest on each of 12/30/2017, 12/30/2018 and 12/30/2019. 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.