pbyi20230615_sec16.htm

0001437749-23-017604.txt : 20230615 0001437749-23-017604.hdr.sgml : 20230615 20230615210103 ACCESSION NUMBER: 0001437749-23-017604 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230613 FILED AS OF DATE: 20230615 DATE AS OF CHANGE: 20230615 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dorval Allison CENTRAL INDEX KEY: 0001625110 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35703 FILM NUMBER: 231019170 MAIL ADDRESS: STREET 1: C/O INSULET CORPORATION STREET 2: 600 TECHNOLOGY PARK DRIVE, SUITE 200 CITY: BILLERICA STATE: MA ZIP: 01821 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 X0407 4 2023-06-13 0001401667 PUMA BIOTECHNOLOGY, INC. PBYI 0001625110 Dorval Allison C/O PUMA BIOTECHNOLGY, INC. 10880 WILSHIRE BOULEVARD, SUITE 2150 LOS ANGELES CA 90024 1 1 Common Stock 2023-06-13 4 S 0 10000 3.45 D 17000 D Common Stock 2023-06-13 4 A 0 27000 0 A 44000 D Adoption date of referenced 10b5-1(c) sell to cover program is: 12-14-2022. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.42 to $3.48, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote. Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer. Exhibit List: Exhibit 24 – Power of Attorney /s/ Gordon Esplin as attorney-in-fact for Allison Dorval 2023-06-15 EX-24 2 poa-dorval.htm pbyi20230615_sec16.htm

Exhibit 24

POWER OF ATTORNEY

With respect to holdings of and transactions in securities issued by Puma Biotechnology, Inc. (the "Company"), the undersigned hereby constitutes and appoints the individuals named on Schedule X attached hereto and as may be amended from time to time, or any of them signing singly, with full power of substitution and resubstitution, to act as the undersigned's true and lawful attorney-in-fact to:

prepare, execute in the undersigned's name and on the undersigned's behalf, and submit to the United States Securities and Exchange Commission (the "SEC") a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain and/or regenerate codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities Exchange Act of 1934, as amended, or any rule or regulation of the SEC;

execute for and on behalf of the undersigned, Forms 3, 4, and 5 in accordance with Section 16 of the Securities Exchange Act of 1934, as amended, and the rules thereunder;

do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and

take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in- facts discretion.

The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution and resubstitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorneys-in-fact substitute or substitutes, shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted.

The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is any Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934, as amended.

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 2^nd day of July, 2021.

By: /s/ Allison Dorval

Name: Allison Dorval

Schedule X

Individuals Appointed as Attorney-in-Fact with Full Power of Substitution and Resubstitution

1. Chris Culotta

2. Maximo Nougues

3. Don Roe

4. Gordon Esplin