SEC Form 4 · accession 0001209191-18-009705

PUMA BIOTECHNOLOGY, INC. · PBYI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Officer — SEE REMARKS

Period of report

Feb 11, 2018

Accepted (ET)

Feb 13, 2018 · 5:57 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 STOCK^F1	Feb 11, 2018	A	9,000	$0.00	D	34,379	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
STOCK OPTION (RIGHT TO BUY)^F2	$60.85	Feb 11, 2018	A	14,000	A	—	Feb 10, 2028	COMMON STOCK	14,000	14,000	D

F1Represents Restricted Stock Units which vest (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the vesting commencement date of January 1, 2018 ("Vesting Commencement Date") and (ii) with respect to 1/36th of the shares subject thereto on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.
F2The vesting commencement date ("Vesting Commencement Date") of the option is January 1, 2018. The option vests (i) with respect to one-third (1/3rd) of the shares underlying the option on the first anniversary of the Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

Title of Reporting Person: Chief Medical and Scientific Officer