0001437749-22-006207.txt : 20220314 0001437749-22-006207.hdr.sgml : 20220314 20220314195852 ACCESSION NUMBER: 0001437749-22-006207 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220303 FILED AS OF DATE: 20220314 DATE AS OF CHANGE: 20220314 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: 001-35703 FILM NUMBER: 22738427 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 rdgdoc.xml FORM 4 X0306 4 2022-03-03 0001401667 PUMA BIOTECHNOLOGY, INC. PBYI 0001358285 AUERBACH ALAN H C/O PUMA BIOTECHNOLOGY, INC. 10880 WILSHIRE BLVD., SUITE 2150 LOS ANGELES CA 90024 1 1 1 President and CEO Common Stock 2022-03-03 4 A 0 168824 0 A 4555639 D Common Stock 2022-03-10 4 A 0 1792114 2.79 A 6347753 D Stock Option (Right to Buy) 2.33 2022-03-03 4 A 0 241176 0 A 2032-03-02 Common Stock 241176 241176 D Subject to the Grantee's continued status as an Employee, the Restricted Stock Units shall vest with respect to one-fourth (1/4th) of the Restricted Stock Units on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024, subject to acceleration in certain events. On March 8, 2022, the Issuer entered into a Securities Purchase Agreement with certain purchasers, including the Reporting Person. Shares were purchased at $2.79 per share and issued at closing on March 10, 2022. Subject to the Optionee's continued status as an Employee, the Option shall vest and become exercisable with respect to one-fourth (1/4th) of the Shares (as defined in the Plan) subject thereto on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024, subject to acceleration in certain events. /s/ Alan H. Auerbach 2022-03-14