SEC Form 4 · accession 0001209191-15-060154
PUMA BIOTECHNOLOGY, INC. · PBYI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Paul Bryce
Officer — SR VP, CLINICAL RESEARCH & DEV
Period of report
Jul 6, 2015
Accepted (ET)
Jul 8, 2015 · 5:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001401667
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| COMMON STOCK | Jul 6, 2015 | M | 3,000 | $11.30 | A | 3,030 | D | |
| COMMON STOCKF2 | Jul 6, 2015 | S | 3,000 | $110.028 | D | 30 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| STOCK OPTION (RIGHT TO BUY)F3 | $11.30 | Jul 6, 2015 | M | 3,000 | D | — | Jun 26, 2022 | COMMON STOCK | 3,000 | 102,000 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 4, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.00 to $110.28, 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 sold at each separate price within the ranges set forth in this footnote.
- F3The option is fully vested and is exercisable.