SEC Form 4/A · accession 0001209191-17-007216
PUMA BIOTECHNOLOGY, INC. · PBYI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robert Charnas
Other
Period of report
Jan 20, 2017
Accepted (ET)
Feb 2, 2017 · 5:41 pm EST
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 STOCKF2,F3 | Jan 20, 2017 | S | 2,239 | $33.2351 | D | 29,461 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 15, 2016 to satisfy tax obligations in connection with the vesting of restricted stock units.
- F2This amended Form 4 is filed solely for the purpose of correcting an administrative error in the number of shares sold originally reported on the Form 4 filed January 24, 2017.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.90 to $33.60, 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.
Remarks
The Reporting Person is the Senior Vice President of Regulatory Affairs and Project Management of the Issuer.