Claim Forms
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This form allows you to file your claim online securely through our website.Please note that your brokerage documents such as trade confirmations and monthly statements must be uploaded in order to complete this submission.1. General InstructionsPlease read this important information about the case. It provides important details you should understand before you file your claim.2. Claimant Identification/InformationPlease enter your current contact information to assist us in identifying your claim and contacting you for additional information and updates. We recommend you turn off auto-fill settings in your browser to ensure incorrect information is not added by mistake. You will receive a confirmation email that we received your claim at the email address you provide. Double check the information before you click Next as you will not have the opportunity to review it again prior to submitting.3. Schedule of TransactionsPlease read the instructions carefully and enter your relevant transactions. You need to ensure that your number of shares in beginning holdings plus purchases/acquisitions minus sales and minus ending holdings equals zero. This is to ensure that all relevant transactions are accounted for. The form will not allow you to continue until all outstanding shares are accounted for.4. DocumentationPlease drag and drop your files or click select files and choose the files that you will provide as proof of your transactions and holdings. Trade confirmations and monthly statements from your respective brokerage firm are usually the best documents to use as proof. Please note that when the file upload completes, the file name will be listed below the upload box. You can click the trash can icon to remove the file if it was added in error.5. Release and CertificationPlease read the Release and Certification. By typing your name and date in these fields, you are signing the document and certifying that everything is true, correct and complete.After you click the submit buttonWithin a few minutes of submitting your claim, you will receive a confirmation email from us that contains your Form ID along with the information you submitted. If you need to make any amendments to your claim, please reference the Form ID you received. Please check your spam folder if you did not receive the email confirmation in your inbox.
GENERAL INSTRUCTIONS
1. To recover as a Class Member based on the claims in the Litigation,[1] you must complete and sign this Proof of Claim and Release (“Proof of Claim”). If you fail to submit a properly addressed (as set forth in paragraph 3 below) Proof of Claim, your claim may be rejected and you may be precluded from any recovery from the Net Settlement Fund created in connection with the proposed Settlement.
2. Submission of this Proof of Claim, however, does not assure that you will share in the proceeds of the Settlement of the Litigation.
3. YOU MUST MAIL OR SUBMIT ONLINE YOUR COMPLETED AND SIGNED PROOF OF CLAIM, ACCOMPANIED BY COPIES OF THE DOCUMENTS REQUESTED HEREIN, IF MAILED POSTMARKED NO LATER THAN OCTOBER 12, 2026, OR IF SUBMITTED ONLINE, NO LATER THAN 11:59 P.M. ON OCTOBER 12, 2026, ADDRESSED AS FOLLOWS:
If you are NOT a Class Member, as defined in the Notice of Pendency and Proposed Settlement of Class Action (“Notice”), DO NOT submit a Proof of Claim.
4. If you are a Class Member and you do not timely request exclusion from the Class, you will be bound by the terms of any judgment entered in the Litigation, including the Releases provided therein, WHETHER OR NOT YOU SUBMIT A PROOF OF CLAIM.
5. If you are a Class Member, you will be bound by the terms of any judgments or orders entered in the Litigation WHETHER OR NOT YOU SUBMIT A PROOF OF CLAIM, unless you submit a request for exclusion from the Class. Thus, if you are a Class Member, the Judgment will release the Released Defendant Parties from all Released Plaintiffs’ Claims, and you will be forever barred and enjoined from commencing, instituting, prosecuting, or continuing to prosecute any action or other proceeding in any court of law or equity, arbitration tribunal, or administrative forum asserting any of the Released Plaintiffs’ Claims against any of the Released Defendant Parties.
6. You are eligible to participate in the distribution of the Net Settlement Fund only if you are a Member of the Class and if you complete and return this form as specified below. If you fail to submit a timely, properly addressed, and completed Proof of Claim with the required documentation, your claim may be rejected and you may be precluded from receiving any distribution from the Net Settlement Fund.
7. Submission of this Proof of Claim does not guarantee that you will share in the proceeds of the Settlement. The distribution of the Net Settlement Fund will be governed by the Plan of Allocation set forth in the Notice, if it is approved by the Court, or by such other plan of allocation approved by the Court.
CLAIMANT IDENTIFICATION
You are a Member of the Class if you purchased the common stock of Spectrum Pharmaceuticals, Inc. (“Spectrum”) between May 12, 2022 and September 22, 2022, inclusive (the “Class Period”), and are not otherwise excluded from the Class.
Use the part of this form entitled “Claimant Identification” to identify each purchaser of record (“nominee”) of the Spectrum common stock that forms the basis of this claim. THIS PROOF OF CLAIM MUST BE FILED BY THE ACTUAL BENEFICIAL PURCHASER(S) OR THE LEGAL REPRESENTATIVE OF SUCH PURCHASER(S) OF SPECTRUM COMMON STOCK UPON WHICH THIS CLAIM IS BASED.
All joint purchasers must sign this Proof of Claim. If you purchased Spectrum common stock during the Class Period and held the securities in your name, you are the beneficial owner as well as the record owner and you must sign this Proof of Claim to participate in the Settlement. If, however, you purchased Spectrum common stock during the Class Period and the shares were registered in the name of a third party, such as a nominee or brokerage firm, you are the beneficial owner of these shares, but the third party is the record owner. The beneficial owner, not the record owner, must sign this Proof of Claim.
Executors, administrators, guardians, conservators, and trustees must complete and sign this Proof of Claim on behalf of Persons represented by them and their authority must accompany this claim and their titles or capacities must be stated. Specifically, they must: expressly state the capacity in which they are acting; identify the name, account number, last four digits of the Social Security Number (or full taxpayer identification number), address, and telephone number of the beneficial owner of (or other Person or entity on whose behalf they are acting with respect to) the Spectrum common stock; and furnish herewith evidence of their authority to bind to the Proof of Claim the Person or entity on whose behalf they are acting. (Authority to complete and sign a Proof of Claim cannot be established by stockbrokers demonstrating only that they have discretionary authority to trade stock in another Person’s accounts.)
The last four digits of the Social Security Number (or full Taxpayer Identification Number) and telephone number of the beneficial owner may be used in verifying the claim. Failure to provide the foregoing information could delay verification of your claim or result in the rejection of the claim.
You are required to submit genuine and sufficient documentation for all of your transactions and holdings in the Spectrum common stock set forth in the “Schedule of Transactions” part of this Proof of Claim. Documentation may consist of copies of brokerage confirmation slips or monthly brokerage account statements, or an authorized statement from your broker containing the transactional and holding information found in a broker confirmation slip or account statement. The Settling Parties and the Claims Administrator do not independently have information about your investments in Spectrum stock. IF SUCH DOCUMENTS ARE NOT IN YOUR POSSESSION, PLEASE OBTAIN COPIES OR EQUIVALENT CONTEMPORANEOUS DOCUMENTS FROM YOUR BROKER. FAILURE TO SUPPLY THIS DOCUMENTATION MAY RESULT IN THE REJECTION OF YOUR CLAIM. Please keep a copy of all documents that you send to the Claims Administrator.
A Proof of Claim should be submitted for each separate legal entity (e.g., a claim of joint owners should not include separate transactions of just one of the joint owners, and an individual should not combine his or her IRA transactions with transactions made solely in the individual’s name). Conversely, a single Proof of Claim should be submitted on behalf of one legal entity including all transactions made by that entity, no matter how many separate accounts that entity has (e.g., an institution with multiple brokerage accounts that the entity has transacted in Spectrum common stock during the Class Period).
By submitting a signed Proof of Claim, you will be swearing that you: own(ed) the Spectrum common stock you have listed in the Proof of Claim; or are expressly authorized to act on behalf of the owner thereof.
By submitting a signed Proof of Claim, you will be swearing to the truth of the statements contained therein and the genuineness of the documents attached thereto, subject to penalties of perjury under the laws of the United States of America. The making of false statements, or the submission of forged or fraudulent documentation, will result in the rejection of your claim and may subject you to civil liability or criminal prosecution.
If the Court approves the Settlement, payments to eligible Authorized Claimants pursuant to the Plan of Allocation (or such other plan of allocation as the Court approves) will be made after the completion of all claims processing. This could take substantial time. Please be patient.
If you have questions concerning the Proof of Claim, or need additional copies of the Proof of Claim or the Notice, you may contact the Claims Administrator, c/o Strategic Claims Services at P.O. Box 230, 600 N. Jackson St., Ste. 205, Media, PA 19063 or by email at info@strategicclaims.net, or by toll-free phone at 1-866-274-4004, or you may download the documents from the Settlement website,www.strategicclaims.net/AyoubvSpectrum/.
CLAIM FORM
Use the part of this form entitled “Schedule of Transactions in Spectrum Common Stock” to supply all required details of your transaction(s).
On the schedules, provide all of the requested information with respect to all of your purchases and sales of Spectrum common stock that took place between May 12, 2022 and December 21, 2022, inclusive, whether such transactions resulted in a profit or a loss. You must also provide all of the requested information with respect to the number of shares of Spectrum common stock you held at the close of trading on May 11, 2022, and December 21, 2022. Failure to report all such transactions may result in the rejection of your claim.
The CUSIP number for Spectrum Pharmaceuticals, Inc. (formerly traded as NASDAQ: SPPI) common stock was 84763A108.
List each transaction separately and in chronological order, by trade date, beginning with the earliest. You must accurately provide the month, day, and year of each transaction you list.
The date of covering a “short sale” is deemed to be the date of purchase of Spectrum common stock. The date of a “short sale” is deemed to be the date of sale of Spectrum common stock.
COPIES OF BROKER CONFIRMATIONS OR OTHER DOCUMENTATION OF YOUR TRANSACTIONS IN SPECTRUM COMMON STOCK SHOULD BE ATTACHED TO YOUR PROOF OF CLAIM. FAILURE TO PROVIDE THIS DOCUMENTATION COULD DELAY VERIFICATION OF YOUR CLAIM OR RESULT IN THE REJECTION OF YOUR CLAIM. THE PARTIES DO NOT HAVE INFORMATION ABOUT YOUR TRANSACTIONS IN SPECTRUM COMMON STOCK.
PLEASE NOTE: As set forth in the Plan of Allocation contained in the Notice, each Authorized Claimant shall receive his, her, its, or their pro rata share of the Net Settlement Fund. If the prorated payment to any Authorized Claimant calculates to less than $10.00, it will not be included in the calculation and no distribution will be made to that Authorized Claimant.
NOTICE REGARDING INSTITUTIONAL FILERS: Representatives with the authority to file on behalf of (a) accounts of multiple persons and/or (b) institutional accounts with large numbers of transactions (“Representative Filers”) must submit information regarding their clients’ transactions in the approved electronic spreadsheet format, which is available by request to the Claims Administrator at efile@strategicclaims.net or by visiting the website www.strategicclaims.net/AyoubvSpectrum/. One spreadsheet may contain the information for multiple persons and institutional accounts, but all Representative Filers MUST also submit a manually signed Proof of Claim, as well as proof of authority to file (see Claimant Identification above) along with the electronic spreadsheet. Any file not submitted in accordance with the required electronic filing format will be subject to rejection. No claims submitted in electronic spreadsheet format will be considered to have been properly submitted unless the Claims Administrator issues to the claimant a written acknowledgment of receipt and acceptance of electronically submitted data. Do not assume that the file has been received or processed until the Claims Administrator sends a confirmation email. If you do not receive such an email within 10 days of submission, please contact the electronic filing department at efile@strategicclaims.net to inquire about the file and confirm it was received and acceptable.
NOTICE REGARDING ONLINE FILING: Claimants who are not Representative Filers may submit their claims online by clicking Next below and following all the instructions. If you are not acting as a Representative Filer, you do not need to contact the Claims Administrator prior to filing; you will receive an automated e-mail confirming receipt once your Proof of Claim has been submitted. If you are unsure if you should submit your claim as a Representative Filer, please contact the Claims Administrator at info@strategicclaims.net or (866) 274-4004. If you are not a Representative Filer, but your claim contains a large number of transactions, the Claims Administrator may request that you also submit an electronic spreadsheet showing your transactions to accompany your Proof of Claim.
1This Proof of Claim and Release form (“Proof of Claim”) incorporates by reference the definitions in the Stipulation of Settlement, dated June 1, 2026 (“Stipulation”), which can be obtained at the Important Documents section on the website: www.strategicclaims.net/AyoubvSpectrum/. ↑
