SEC Form 4 · accession 0001209191-15-070250
PUMA BIOTECHNOLOGY, INC. · PBYI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Zavrl
Director
Period of report
Sep 8, 2015
Accepted (ET)
Sep 10, 2015 · 7:55 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 | 30,000 | A | — | Sep 7, 2025 | COMMON STOCK | 30,000 | 30,000 | D |
| STOCK OPTION (RIGHT TO BUY)F2 | $95.22 | Sep 8, 2015 | A | 10,000 | A | — | Sep 7, 2025 | COMMON STOCK | 10,000 | 10,000 | D |
Explanation of responses
- F1The vesting commencement date ("VCD") of the option is September 8, 2015. The option vests (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the VCD and (ii) with respect to an additional 1/36th of the shares subject thereto on each monthly anniversary of the VCD thereafter, subject to the Reporting Person's continued services with the Issuer through each vesting date.
- F2The vesting commencement date ("VCD") of the option is September 8, 2015. The option vests (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the VCD and (ii) with respect to an additional 1/36th of the shares subject thereto on each monthly anniversary of the VCD thereafter, subject to the Reporting Person's continued service on the Audit Committee of the Board of Directors of the Issuer through each vesting date.