SECURITIES AND EXCHANGE COMMISSION
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D) OF THE
SECURITIES AND EXCHANGE ACT OF 1934
January 25, 2005 (January 24, 2005)
Date of Report (Date of earliest event reported)
SPECTRUM PHARMACEUTICALS, INC.
| Delaware (State or other Jurisdiction of Incorporation) |
000-28782 (Commission File Number) |
93-0979187 (IRS Employer Identification Number) |
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| 157 Technology Drive Irvine, California (Address of principal executive offices) |
92618 (Zip Code) |
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(949) 788-6700
(Registrant’s telephone number, including area code)
N/A
(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:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) | |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) | |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) | |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
| Item 3.02 Unregistered Sales of Equity Securities | ||||||||
| SIGNATURES | ||||||||
Item 3.02 Unregistered Sales of Equity Securities
In connection with a private placement transaction in May 2003, we issued warrants exercisable through May 2008. Since our last current report, two warrants were partially exercised for the purchase of 170,965 shares of our common stock for cash consideration of $566,995. We believe the sale of the shares was exempt from registration under the Securities Act of 1933 (the “Act”) pursuant to Section 4(2) of the Act. We made no solicitation in connection with the exercise of the warrant; we obtained representations from the holder regarding its status as an accredited investor; and the holder had access to adequate information about Spectrum in order to make an informed investment decision. No underwriting discounts or commissions were paid in conjunction with the issuances.
SIGNATURES
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.
Date: January 25, 2005
| SPECTRUM PHARMACEUTICALS, INC. |
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| By: | /s/ Shyam K. Kumaria | |||
| Name: | Shyam K. Kumaria | |||