SEC Form 4 · accession 0001209191-16-114573
PUMA BIOTECHNOLOGY, INC. · PBYI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Benton Phillips
Officer — See Remarks
Period of report
Apr 15, 2016
Accepted (ET)
Apr 18, 2016 · 4:56 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 | $31.85 | Apr 15, 2016 | A | 25,000 | A | — | Apr 14, 2026 | COMMON STOCK | 25,000 | 25,000 | D |
Explanation of responses
- F1The vesting commencement date ("VCD") of the option is April 15, 2016. 100% of the shares of common stock underlying the option shall vest on the earlier of (i) the one-year anniversary of the VCD and (ii) the date on which a new Head of Regulatory Affairs commences employment with the Issuer, subject to the Reporting Person's continued employment with the Issuer through the vesting date.
Remarks
The Reporting Person is the Interim Head of Regulatory Affairs, Quality Assurance and Pharmacovigilance of the Issuer.