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<title>sppi-20220309</title></head><body><div style="display:none"><ix:header><ix:hidden><ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:AmendmentFlag" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM180L2ZyYWc6NmM4ZjIyNjAzY2E3NDc4OTkyMDVhYWNiNDRjZGQzMzEvdGFibGU6NTFiODI1M2FjNGNlNDhlYzhkMWJmZDRmNzY0Y2JkN2IvdGFibGVyYW5nZTo1MWI4MjUzYWM0Y2U0OGVjOGQxYmZkNGY3NjRjYmQ3Yl8yLTEtMS0xLTI0MDcz_30f8189a-f357-48c4-9684-df049b877303">false</ix:nonNumeric><ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:EntityCentralIndexKey" 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style="min-height:42.75pt;width:100%"><div><span><br/></span></div></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:14pt;font-weight:700;line-height:120%">UNITED STATES</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:14pt;font-weight:700;line-height:120%">SECURITIES AND EXCHANGE COMMISSION</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%"> </span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">WASHINGTON, DC 20549</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:400;line-height:120%">_______________</span></div><div style="margin-top:12pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:16pt;font-weight:700;line-height:120%">FORM <ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:DocumentType" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM18xL2ZyYWc6YTBhMmRhNjk4YjYxNGIzYzk1MGY4YjNhZWZhODRiMjQvdGV4dHJlZ2lvbjphMGEyZGE2OThiNjE0YjNjOTUwZjhiM2FlZmE4NGIyNF8xNjE3_12c52274-4662-4d9a-a608-957bdcab24b8">8-K</ix:nonNumeric> </span></div><div style="margin-top:12pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">CURRENT REPORT</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">Pursuant to Section 13 OR 15(d) of</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">The Securities Exchange Act of 1934</span></div><div style="margin-top:12pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11pt;font-weight:700;line-height:120%">Date of Report (Date of earliest event reported): <ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:DocumentPeriodEndDate" format="ixt:date-monthname-day-year-en" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM18xL2ZyYWc6YTBhMmRhNjk4YjYxNGIzYzk1MGY4YjNhZWZhODRiMjQvdGV4dHJlZ2lvbjphMGEyZGE2OThiNjE0YjNjOTUwZjhiM2FlZmE4NGIyNF8yMzg_cb2569a5-041d-4f91-8bc9-9270ea60d863">March 9, 2022</ix:nonNumeric> </span></div><div style="margin-top:24pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:20pt;font-weight:700;line-height:120%"><ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:EntityRegistrantName" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM18xL2ZyYWc6YTBhMmRhNjk4YjYxNGIzYzk1MGY4YjNhZWZhODRiMjQvdGV4dHJlZ2lvbjphMGEyZGE2OThiNjE0YjNjOTUwZjhiM2FlZmE4NGIyNF8xNjE4_3540f59e-c1b9-4e8e-b646-5ec3cc9f6aee">SPECTRUM PHARMACEUTICALS INC</ix:nonNumeric> </span></div><div style="margin-bottom:12pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">(Exact name of registrant as specified in its charter)</span><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:32.233%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:32.233%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:32.234%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:EntityIncorporationStateCountryCode" format="ixt-sec:stateprovnameen" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM18xL2ZyYWc6YTBhMmRhNjk4YjYxNGIzYzk1MGY4YjNhZWZhODRiMjQvdGFibGU6MGJiMjQ0NDVmYTI5NDZkMTlmYTZkY2Y4NjA4YzFhNzQvdGFibGVyYW5nZTowYmIyNDQ0NWZhMjk0NmQxOWZhNmRjZjg2MDhjMWE3NF8wLTAtMS0xLTI0MDcz_bad588fa-664d-4476-a35c-c2d9bf470764">Delaware</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:EntityFileNumber" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM18xL2ZyYWc6YTBhMmRhNjk4YjYxNGIzYzk1MGY4YjNhZWZhODRiMjQvdGFibGU6MGJiMjQ0NDVmYTI5NDZkMTlmYTZkY2Y4NjA4YzFhNzQvdGFibGVyYW5nZTowYmIyNDQ0NWZhMjk0NmQxOWZhNmRjZjg2MDhjMWE3NF8wLTEtMS0xLTI0MDcz_777e5fea-7551-4cec-812e-622211e8a685">001-35006</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:EntityTaxIdentificationNumber" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM18xL2ZyYWc6YTBhMmRhNjk4YjYxNGIzYzk1MGY4YjNhZWZhODRiMjQvdGFibGU6MGJiMjQ0NDVmYTI5NDZkMTlmYTZkY2Y4NjA4YzFhNzQvdGFibGVyYW5nZTowYmIyNDQ0NWZhMjk0NmQxOWZhNmRjZjg2MDhjMWE3NF8wLTItMS0xLTI0MDcz_ccc72be6-94f2-45a3-a60f-2bf56fba244c">93-0979187</ix:nonNumeric></span></td></tr><tr><td colspan="3" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:700;line-height:100%">(State or other jurisdiction <br/>of incorporation)</span></td><td colspan="3" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:700;line-height:100%">(Commission <br/>File Number)</span></td><td colspan="3" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:700;line-height:100%">(IRS Employer <br/>Identification No.)</span></td></tr></table></div><div style="text-align:center"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:32.281%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:9.979%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:9.979%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:9.979%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:32.282%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:EntityAddressAddressLine1" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM18xL2ZyYWc6YTBhMmRhNjk4YjYxNGIzYzk1MGY4YjNhZWZhODRiMjQvdGFibGU6MDM3ZjZmM2IwM2NmNGFhNmI3YzQ4NDA2NjFlYTAzYzAvdGFibGVyYW5nZTowMzdmNmYzYjAzY2Y0YWE2YjdjNDg0MDY2MWVhMDNjMF8wLTAtMS0xLTI0MDcz_6eb37840-86c9-499d-aebc-1879e23efcaa">11500 South Eastern Avenue</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:EntityAddressAddressLine2" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM18xL2ZyYWc6YTBhMmRhNjk4YjYxNGIzYzk1MGY4YjNhZWZhODRiMjQvdGFibGU6MDM3ZjZmM2IwM2NmNGFhNmI3YzQ4NDA2NjFlYTAzYzAvdGFibGVyYW5nZTowMzdmNmYzYjAzY2Y0YWE2YjdjNDg0MDY2MWVhMDNjMF8wLTEtMS0xLTI0MDcz_0e575752-d7a6-4440-ac05-3450904b6081">Suite 220</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:EntityAddressCityOrTown" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM18xL2ZyYWc6YTBhMmRhNjk4YjYxNGIzYzk1MGY4YjNhZWZhODRiMjQvdGFibGU6MDM3ZjZmM2IwM2NmNGFhNmI3YzQ4NDA2NjFlYTAzYzAvdGFibGVyYW5nZTowMzdmNmYzYjAzY2Y0YWE2YjdjNDg0MDY2MWVhMDNjMF8wLTItMS0xLTI0MDcz_3be1b61c-5c6f-4fa6-93f9-1d10741d345c">Henderson</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:EntityAddressStateOrProvince" format="ixt-sec:stateprovnameen" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM18xL2ZyYWc6YTBhMmRhNjk4YjYxNGIzYzk1MGY4YjNhZWZhODRiMjQvdGFibGU6MDM3ZjZmM2IwM2NmNGFhNmI3YzQ4NDA2NjFlYTAzYzAvdGFibGVyYW5nZTowMzdmNmYzYjAzY2Y0YWE2YjdjNDg0MDY2MWVhMDNjMF8wLTMtMS0xLTI0MDcz_459139e7-15f4-4b02-81f2-bbb72906b0a8">Nevada</ix:nonNumeric></span></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:100%"><ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:EntityAddressPostalZipCode" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM18xL2ZyYWc6YTBhMmRhNjk4YjYxNGIzYzk1MGY4YjNhZWZhODRiMjQvdGFibGU6MDM3ZjZmM2IwM2NmNGFhNmI3YzQ4NDA2NjFlYTAzYzAvdGFibGVyYW5nZTowMzdmNmYzYjAzY2Y0YWE2YjdjNDg0MDY2MWVhMDNjMF8wLTQtMS0xLTI0MDcz_a710ea1e-0df0-4760-80a5-35680143b0d2">89052</ix:nonNumeric></span></td></tr><tr><td colspan="3" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:700;line-height:100%">(Address of principal executive offices)</span></td><td colspan="3" style="border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:center;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:700;line-height:100%">(Zip Code)</span></td></tr></table></div><div style="margin-top:12pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Registrant&#8217;s telephone number, including area code: </span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:120%">(<ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:CityAreaCode" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM18xL2ZyYWc6YTBhMmRhNjk4YjYxNGIzYzk1MGY4YjNhZWZhODRiMjQvdGV4dHJlZ2lvbjphMGEyZGE2OThiNjE0YjNjOTUwZjhiM2FlZmE4NGIyNF8xNjE5_b755cd23-6031-49bd-a115-ebf27369ae6a">702</ix:nonNumeric>) <ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:LocalPhoneNumber" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM18xL2ZyYWc6YTBhMmRhNjk4YjYxNGIzYzk1MGY4YjNhZWZhODRiMjQvdGV4dHJlZ2lvbjphMGEyZGE2OThiNjE0YjNjOTUwZjhiM2FlZmE4NGIyNF8xNjIw_6993ab45-33cc-403e-a4dc-f37fb4b997ef">835-6300</ix:nonNumeric> </span></div><div style="margin-top:12pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11pt;font-weight:700;line-height:120%">Not Applicable</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">(Former name or former address if changed since last report.)</span></div><div style="margin-top:12pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy 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Emerging growth company </span><span style="color:#000000;font-family:'Arial Unicode MS',sans-serif;font-size:10pt;font-weight:400;line-height:120%"><ix:nonNumeric contextRef="i0b509389ad1d402a85e029e511a4ebdb_D20220309-20220309" name="dei:EntityEmergingGrowthCompany" format="ixt-sec:boolballotbox" id="id3VybDovL2RvY3MudjEvZG9jOjA3NGVjM2QyMGI0NzQwZDg5MTFhYWMwYzBlMWFlNzEzL3NlYzowNzRlYzNkMjBiNDc0MGQ4OTExYWFjMGMwZTFhZTcxM18xL2ZyYWc6YTBhMmRhNjk4YjYxNGIzYzk1MGY4YjNhZWZhODRiMjQvdGV4dHJlZ2lvbjphMGEyZGE2OThiNjE0YjNjOTUwZjhiM2FlZmE4NGIyNF8xNjI1_836eb94d-610a-4d11-8a95-cbfc2578ccad">&#9744;</ix:nonNumeric></span></div><div style="margin-bottom:6pt;margin-top:12pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.   </span><span style="color:#000000;font-family:'Arial Unicode MS',sans-serif;font-size:10pt;font-weight:400;line-height:120%">&#9744;</span></div><div style="height:42.75pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><span><br/></span></div></div></div><div id="i074ec3d20b4740d8911aac0c0e1ae713_7"></div><hr style="page-break-after:always"/><div style="min-height:42.75pt;width:100%"><div><span><br/></span></div></div><div style="-sec-extract:summary;text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11pt;font-weight:700;line-height:120%">Item 5.02&#160;&#160;&#160;&#160;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:700;line-height:120%">Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.</span></div><div><span><br/></span></div><div style="text-align:justify;text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">On March 9, 2022, the Board of Directors (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-style:italic;font-weight:700;line-height:120%">Board</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">&#8221;) of Spectrum Pharmaceuticals, Inc. (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-style:italic;font-weight:700;line-height:120%">Company</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">&#8221;) appointed Ms. Juhyun Lim to serve as a member of the Board. Ms. Lim has over 20 years of experience in the life sciences industry and has served as President, Global Strategy and Planning at Hanmi Science Co., Ltd. (&#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-style:italic;font-weight:700;line-height:120%">Hanmi Science</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">&#8221;) and Hanmi Pharmaceutical Co., Ltd. (&#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-style:italic;font-weight:700;line-height:120%">Hanmi Pharmaceutical</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">&#8221;), since September 2020 and January 2021, respectively, where she leads the execution of corporate strategy and investment. In conjunction with her role as President, Global Strategy and Planning of Hanmi Science, she also serves as a member of the Hanmi Science board of directors. Ms. Lim has also served as Director, Healthcare Investment at Hanmi Ventures since July 2017. In her 18-year tenure at Hanmi Pharmaceutical, Ms. Lim has held various leadership roles, including SVP, Human Resource Development, from January 2018 to January 2021, and VP, Human Resource Development, from January 2013 to January 2018. </span></div><div style="text-align:justify;text-indent:36pt"><span><br/></span></div><div style="text-align:justify;text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">On January 3, 2022, the Company entered into a privately-negotiated securities purchase agreement (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-style:italic;font-weight:700;line-height:120%">Securities Purchase Agreement</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">&#8221;) with Hanmi Pharmaceutical, pursuant to which Hanmi Pharmaceutical p</span><span style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">urchased an aggregate of 12,500,000 shares of Common Stock, par value $.001 per share, of the Company (&#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-style:italic;font-weight:700;line-height:120%">Common Stock</span><span style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">&#8221;) at a price equal to $1.60 per share, for an aggregate purchase price of $20 million. Pursuant to the Securities Purchase Agreement, for so long as Hanmi Pharmaceutical shall beneficially own at least five percent (5%) of the total issued and outstanding shares of Common Stock, the Company shall take any and all actions reasonably necessary to nominate and appoint a designee of Hanmi Pharmaceutical (the &#8220;</span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-style:italic;font-weight:700;line-height:120%">Designee</span><span style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">&#8221;) to serve as a member of the Board. Ms. Lim&#8217;s appointment to the Board is as Designee pursuant to the Securities Purchase Agreement. In addition, Hanmi Pharmaceutical is counterparty to the Company&#8217;s license agreements for both ROLONTIS</span><span style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',sans-serif;font-size:7.47pt;font-weight:400;line-height:120%;position:relative;top:-4.02pt;vertical-align:baseline">&#174;</span><span style="background-color:#ffffff;color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%"> (eflapegrastim) and poziotinib. Hanmi Pharmaceutical and the Company are also parties to a supply agreement, pursuant to which the Company paid to Hanmi Pharmaceutical an aggregate of approximately $2.5 million during the year ended December 31, 2021.  As indicated above, Ms. Lim currently serves as </span><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">President, Global Strategy and Planning, at Hanmi Pharmaceutical.</span></div><div style="text-align:justify;text-indent:36pt"><span><br/></span></div><div style="text-align:justify;text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">Except as described above, there are no arrangements or understandings between Ms. Lim and any other persons pursuant to which she was elected to serve on the Board, and there are no transactions in which Ms. Lim has an interest requiring disclosure under Item 404(a) of Regulation S-K.</span></div><div style="text-indent:36pt"><span><br/></span></div><div style="text-align:justify;text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">In connection with the appointment of Ms. Lim to the Board, she also is expected to enter into the Company&#8217;s standard form of indemnification agreement providing for indemnification and advancement of expenses to the fullest extent permitted by the General Corporation Law of the State of Delaware.</span></div><div style="text-align:justify;text-indent:36pt"><span><br/></span></div><div style="text-align:justify;text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">Ms. Lim shall receive fees, compensation and equity awards in accordance with the terms of the Company&#8217;s compensation policy for directors, which was disclosed in the Company&#8217;s definitive proxy statement on Schedule 14A filed with the Securities and Exchange Commission on April 21, 2021, the terms of which are incorporated by reference herein.</span></div><div style="text-align:justify;text-indent:36pt"><span><br/></span></div><div style="text-align:justify;text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">The Company issued a press release regarding the appointment of Ms. Lim as a director of the Company which is attached hereto as Exhibit 99.1 and is incorporated herein by reference.</span></div><div style="text-align:justify;text-indent:36pt"><span><br/></span></div><div><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:12.378%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:85.422%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:700;line-height:112%">Item 9.01</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;text-indent:24pt;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:700;line-height:112%">Financial Statements and Exhibits.</span></td></tr></table></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-style:italic;font-weight:400;line-height:112%">(d)    Exhibits.</span></div><div><span><br/></span></div><div style="text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">99.1       </span><span style="color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%;text-decoration:underline"><a style="-sec-extract:exhibit;color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%;text-decoration:underline" href="exhibit991.htm">Press Release, dated March 10, 2022.</a></span></div><div style="text-indent:36pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">104        The cover page from this Current Report on Form 8-K, formatted in Inline XBRL. </span></div><div style="height:42.75pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><span><br/></span></div></div></div><div id="i074ec3d20b4740d8911aac0c0e1ae713_10"></div><hr style="page-break-after:always"/><div style="min-height:42.75pt;width:100%"><div><span><br/></span></div></div><div style="margin-top:11.25pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:700;line-height:120%">SIGNATURE</span></div><div style="margin-top:7.5pt;text-align:justify;text-indent:22.5pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</span></div><div style="margin-top:7.5pt;text-align:justify;text-indent:22.5pt"><span><br/></span></div><div style="padding-left:137.25pt;padding-right:137.25pt;text-align:center;text-indent:-20.25pt"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:99.853%"><tr><td style="width:1.0%"></td><td style="width:10.173%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:40.481%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:4.024%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:40.922%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="6" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:700;line-height:100%">SPECTRUM PHARMACEUTICALS, INC.</span></td></tr><tr style="height:15pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:100%">Date:</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:100%">March 10, 2022</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:100%">By:</span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:100%">/s/ Keith M. McGahan</span></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:11.5pt;font-weight:400;line-height:120%">Keith M. McGahan <br/>Executive Vice President, Chief Legal Officer and Secretary</span></td></tr></table></div><div><span><br/></span></div><div style="height:42.75pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><span><br/></span></div></div></div></body></html>
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sppi-20220309
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
_______________
FORM
8-K
CURRENT REPORT
Pursuant to Section 13 OR 15(d) of
The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
March 9, 2022
SPECTRUM PHARMACEUTICALS INC
(Exact name of registrant as specified in its charter)
Delaware
001-35006
93-0979187
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
11500 South Eastern Avenue
Suite 220
Henderson
Nevada
89052
(Address of principal executive offices)
(Zip Code)
Registrant's telephone number, including area code:
(
702
)
835-6300
Not Applicable
(Former name or former address if changed since last report.)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Common Stock, $0.001 par value
SPPI
The NASDAQ Global Select Market
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).   Emerging growth company
☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
☐
Item 5.02
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On March 9, 2022, the Board of Directors (the "
Board
") of Spectrum Pharmaceuticals, Inc. (the "
Company
") appointed Ms. Juhyun Lim to serve as a member of the Board. Ms. Lim has over 20 years of experience in the life sciences industry and has served as President, Global Strategy and Planning at Hanmi Science Co., Ltd. ("
Hanmi Science
") and Hanmi Pharmaceutical Co., Ltd. ("
Hanmi Pharmaceutical
"), since September 2020 and January 2021, respectively, where she leads the execution of corporate strategy and investment. In conjunction with her role as President, Global Strategy and Planning of Hanmi Science, she also serves as a member of the Hanmi Science board of directors. Ms. Lim has also served as Director, Healthcare Investment at Hanmi Ventures since July 2017. In her 18-year tenure at Hanmi Pharmaceutical, Ms. Lim has held various leadership roles, including SVP, Human Resource Development, from January 2018 to January 2021, and VP, Human Resource Development, from January 2013 to January 2018.
On January 3, 2022, the Company entered into a privately-negotiated securities purchase agreement (the "
Securities Purchase Agreement
") with Hanmi Pharmaceutical, pursuant to which Hanmi Pharmaceutical p
urchased an aggregate of 12,500,000 shares of Common Stock, par value $.001 per share, of the Company ("
Common Stock
") at a price equal to $1.60 per share, for an aggregate purchase price of $20 million. Pursuant to the Securities Purchase Agreement, for so long as Hanmi Pharmaceutical shall beneficially own at least five percent (5%) of the total issued and outstanding shares of Common Stock, the Company shall take any and all actions reasonably necessary to nominate and appoint a designee of Hanmi Pharmaceutical (the "
Designee
") to serve as a member of the Board. Ms. Lim's appointment to the Board is as Designee pursuant to the Securities Purchase Agreement. In addition, Hanmi Pharmaceutical is counterparty to the Company's license agreements for both ROLONTIS
®
(eflapegrastim) and poziotinib. Hanmi Pharmaceutical and the Company are also parties to a supply agreement, pursuant to which the Company paid to Hanmi Pharmaceutical an aggregate of approximately $2.5 million during the year ended December 31, 2021.  As indicated above, Ms. Lim currently serves as
President, Global Strategy and Planning, at Hanmi Pharmaceutical.
Except as described above, there are no arrangements or understandings between Ms. Lim and any other persons pursuant to which she was elected to serve on the Board, and there are no transactions in which Ms. Lim has an interest requiring disclosure under Item 404(a) of Regulation S-K.
In connection with the appointment of Ms. Lim to the Board, she also is expected to enter into the Company's standard form of indemnification agreement providing for indemnification and advancement of expenses to the fullest extent permitted by the General Corporation Law of the State of Delaware.
Ms. Lim shall receive fees, compensation and equity awards in accordance with the terms of the Company's compensation policy for directors, which was disclosed in the Company's definitive proxy statement on Schedule 14A filed with the Securities and Exchange Commission on April 21, 2021, the terms of which are incorporated by reference herein.
The Company issued a press release regarding the appointment of Ms. Lim as a director of the Company which is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
Item 9.01
Financial Statements and Exhibits.
(d)    Exhibits.
99.1
Press Release, dated March 10, 2022.
104        The cover page from this Current Report on Form 8-K, formatted in Inline XBRL.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
SPECTRUM PHARMACEUTICALS, INC.
Date:
March 10, 2022
By:
/s/ Keith M. McGahan
Keith M. McGahan
Executive Vice President, Chief Legal Officer and Secretary