SEC Form 4 · accession 0001209191-17-046087
PUMA BIOTECHNOLOGY, INC. · PBYI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan H Auerbach
Officer — PRESIDENT AND CEO · Director · 10% Owner
Period of report
Jul 20, 2017
Accepted (ET)
Jul 24, 2017 · 5:07 pm EDT
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 | Jul 20, 2017 | S | 9,175 | $94.3439 | D | 4,170,623 | D | |
| COMMON STOCK | Jul 20, 2017 | S | 4,000 | $95.60 | D | 4,166,623 | 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 16, 2016 to satisfy tax obligations in connection with the vesting of restricted stock units.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in two transactions with one transaction pricing at $94.10 and the other transaction pricing at $94.35. 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 set forth in this footnote.