SEC Form 4 · accession 0001209191-15-070185
PUMA BIOTECHNOLOGY, INC. · PBYI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven Lo
Officer — Chief Commercial Officer
Period of report
Sep 8, 2015
Accepted (ET)
Sep 10, 2015 · 6:34 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001401667
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $95.22 | Sep 8, 2015 | A | 150,000 | A | — | Sep 7, 2025 | COMMON STOCK | 150,000 | 150,000 | D |
Explanation of responses
- F1The vesting commencement date ("VCD") of the option is September 8, 2015. The option vests (I) with respect to one-fourth (1/4th) of the shares subject thereto on the first anniversary of the VCD and (ii) with respect to an additional 1/48th of the shares subject thereto on each monthly anniversary of the VCD thereafter, subject to the Reporting Person's continued employment with the Issuer through each vesting date.