0001181431-11-052492.txt : 20111011
0001181431-11-052492.hdr.sgml : 20111010
20111011174736
ACCESSION NUMBER: 0001181431-11-052492
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111006
FILED AS OF DATE: 20111011
DATE AS OF CHANGE: 20111011
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: AUERBACH ALAN H
CENTRAL INDEX KEY: 0001358285
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-52811
FILM NUMBER: 111136229
MAIL ADDRESS:
STREET 1: 10940 WILSHIRE BLVD. SUITE 600
CITY: LOS ANGELES
STATE: CA
ZIP: 90024
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: PUMA BIOTECHNOLOGY, INC.
CENTRAL INDEX KEY: 0001401667
STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770]
IRS NUMBER: 770683487
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 10940 WILSHIRE BLVD.
STREET 2: SUITE 600
CITY: LOS ANGELES
STATE: CA
ZIP: 90024
BUSINESS PHONE: (310) 443-4150
MAIL ADDRESS:
STREET 1: 10940 WILSHIRE BLVD.
STREET 2: SUITE 600
CITY: LOS ANGELES
STATE: CA
ZIP: 90024
FORMER COMPANY:
FORMER CONFORMED NAME: INNOVATIVE ACQUISITIONS CORP
DATE OF NAME CHANGE: 20070601
4
1
rrd323489.xml
AUERBACH F4
X0304
4
2011-10-06
0
0001401667
PUMA BIOTECHNOLOGY, INC.
NONE
0001358285
AUERBACH ALAN H
C/O PUMA BIOTECHNOLOGY, INC.
10940 WILSHIRE BLVD., SUITE 600
LOS ANGELES
CA
90024
1
1
1
0
PRESIDENT, CEO & SECRETARY
COMMON STOCK
2011-10-06
4
A
0
40000
A
4040000
D
Reflects shares acquired through the conversion of a convertible promissory note (the "Note") issued in favor of the Reporting Person on September 9, 2011 in the principal amount of $150,000. The Note was converted into 40,000 shares of common stock of the Issuer at a conversion price of $3.75 per share. The number of shares and exercise price were not fixed until conversion.
/s/ ALAN H. AUERBACH
2011-10-11