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As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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12/22/17‡ CASI Pharmaceuticals, Inc. (DE) EFFECT 12/22/17 1:2K SEC #5
12/22/17 CASI Pharmaceuticals, Inc. (DE) 8-K:1,9 12/20/17 2:31K Toppan Merrill/FA
12/22/17 Spectrum Pharmaceuticals Inc. 4 10% Owner² 1:9K CASI Pharmaceuticals, Inc. (DE) DONNELLEY FIN… File16/FA
Spectrum Pharmaceuticals Cayman, L.P.
____________ | ‡ | A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm ET. The legal “Filed As Of” date may be the next, or another, day. | ¹ | Filing/Form Types: | | 4 | Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 { The Filer is an Insider² of the Issuer }. | | 8-K | Current Report — Form 8-K { Item 1: Business & Operations; 2: Financial Info; 3: Securities & Trading; 4: Accountants & Accounting; 5: Governance & Management; 6: Asset-Backed Securities; 7: Disclosures; 8: Events; 9: Financials }. | | EFFECT | SEC Notice of Effectiveness. | ² | Insider: The Filer is a Director, Officer, 10% Owner and/or Other “insider” of the Issuer. |
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