0001181431-12-008960.txt : 20120214 0001181431-12-008960.hdr.sgml : 20120214 20120214213749 ACCESSION NUMBER: 0001181431-12-008960 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: Malley Thomas CENTRAL INDEX KEY: 0001403322 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52811 FILM NUMBER: 12614079 MAIL ADDRESS: STREET 1: 295 CLAYTON CITY: DENVER STATE: CO ZIP: 80206 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 rrd334119.xml F4 MALLEY X0304 4 2012-02-13 0 0001401667 PUMA BIOTECHNOLOGY, INC. NONE 0001403322 Malley Thomas C/O PUMA BIOTECHNOLOGY, INC. 10880 WILSHIRE BLVD., SUITE 2150 LOS ANGELES CA 90024 1 0 0 0 Stock Option (Right to Buy) 3.75 2012-02-13 4 A 0 30000 0 A 2022-02-13 Common Stock 30000 30000 D Stock Option (Right to Buy) 3.75 2012-02-13 4 A 0 20000 0 A 2022-02-13 Common Stock 20000 20000 D The vesting commencement date ("Vesting Commencement Date) of the option is October 4, 2011. The option vests (i) with respect to one-third (1/3) of the shares underlying the option on the first anniversary of the Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option, on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer. The vesting commencement date ("Vesting Commencement Date) of the option is February 13, 2012. The option vests (i) with respect to one-third (1/3) of the shares underlying the option on the first anniversary of the Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option, on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service through each vesting date as chair of the Audit Committee of the Board of Directors of the Issuer. /s/ Thomas R. Malley 2012-02-13