SEC Form 4 · accession 0001209191-17-052039
PUMA BIOTECHNOLOGY, INC. · PBYI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Paul Bryce
Officer — SR VP, CLINICAL RESEARCH & DEV
Period of report
Sep 6, 2017
Accepted (ET)
Sep 8, 2017 · 4:11 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 STOCK | Sep 6, 2017 | M | 1,000 | $11.30 | A | 28,239 | D | |
| COMMON STOCK | Sep 6, 2017 | S | 1,000 | $100.00 | D | 27,239 | D | |
| COMMON STOCK | Sep 7, 2017 | M | 14,000 | $11.30 | A | 41,239 | D | |
| COMMON STOCK | Sep 7, 2017 | S | 14,000 | $100.10 | D | 27,239 | D |
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)F2 | $11.30 | Sep 6, 2017 | M | 1,000 | D | — | Jun 26, 2022 | COMMON STOCK | 1,000 | 96,000 | D |
| STOCK OPTION (RIGHT TO BUY)F2 | $11.30 | Sep 7, 2017 | M | 14,000 | D | — | Jun 26, 2022 | COMMON STOCK | 14,000 | 82,000 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person.
- F2The option is fully vested and is exercisable.