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