SEC Form 4 · accession 0001209191-16-150634
PUMA BIOTECHNOLOGY, INC. · PBYI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adrian Senderowicz
Director
Period of report
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 5:49 pm EST
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 | $40.10 | Nov 14, 2016 | A | 10,000 | A | — | Nov 13, 2026 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1The vesting commencement date ("VCD") of the option is November 14, 2016. The option vests (i) with respect to one-third (1/3) of the shares underlying the option on the first anniversary of the VCD and (ii) with respect to 1/36th of the shares underlying the option, on each monthly anniversary of the VCD thereafter, subject to the Reporting Person's continued service with the Issuer through each vesting date.