0001181431-12-008959.txt : 20120214
0001181431-12-008959.hdr.sgml : 20120214
20120214213704
ACCESSION NUMBER: 0001181431-12-008959
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120213
FILED AS OF DATE: 20120214
DATE AS OF CHANGE: 20120214
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: 12614078
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: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 770683487
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 10880 WILSHIRE BLVD.
STREET 2: SUITE 2150
CITY: LOS ANGELES
STATE: CA
ZIP: 90024
BUSINESS PHONE: (424) 248-6500
MAIL ADDRESS:
STREET 1: 10880 WILSHIRE BLVD.
STREET 2: SUITE 2150
CITY: LOS ANGELES
STATE: CA
ZIP: 90024
FORMER COMPANY:
FORMER CONFORMED NAME: INNOVATIVE ACQUISITIONS CORP
DATE OF NAME CHANGE: 20070601
4
1
rrd334144.xml
F4 AUERBACH
X0304
4
2012-02-13
0
0001401667
PUMA BIOTECHNOLOGY, INC.
NONE
0001358285
AUERBACH ALAN H
C/O PUMA BIOTECHNOLOGY, INC.
10880 WILSHIRE BLVD., SUITE 2150
LOS ANGELES
CA
90024
1
1
1
0
PRESIDENT, CEO & SECRETARY
Stock Option (Right to Buy)
3.75
2012-02-13
4
A
0
200000
0
A
2022-02-13
Common Stock
200000
200000
D
The vesting commencement date ("Vesting Commencement Date) of the option is February 13, 2012. Subject to the Reporting Person's continued status as an employee of the Issuer, the option shall vest and become exercisable with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the Vesting Commencement Date, and with respect to an additional 1/36th of the shares subject thereto on each monthly anniversary of the Vesting Commencement Date thereafter; (continued to Footnote 2 below)
(Continued from Footnote 1 above) provided, however, that if the Reporting Person experiences a Termination of Service by the Issuer without Cause or by the Reporting Person with Good Reason, each as defined in the employment agreement between the Issuer and the Reporting Person dated January 19, 2012 (the "Employment Agreement"), in either case, during the period beginning sixty (60) days prior to and ending eighteen (18) months after the occurrence of a Change in Control, as defined in the Employment Agreement, then (i) the option shall vest and become exercisable in full on the later to occur of such termination or the Change in Control, and (ii) the option shall remain exercisable until the earlier to occur of the first anniversary of such termination or the expiration date of the option reported herein.
/s/ Alan H. Auerbach
2012-02-13