SEC Form 4 · accession 0001209191-18-009708
PUMA BIOTECHNOLOGY, INC. · PBYI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Charles R Eyler
Officer — SEE REMARKS
Period of report
Feb 11, 2018
Accepted (ET)
Feb 13, 2018 · 6:00 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 STOCKF1 | Feb 11, 2018 | A | 9,000 | $0.00 | A | 37,027 | 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 | $60.85 | Feb 11, 2018 | A | 14,000 | A | — | Feb 10, 2028 | COMMON STOCK | 14,000 | 14,000 | D |
Explanation of responses
- 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 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 Reporting Person's continued service with the Issuer through the applicable vesting date.
Remarks
Title of Reporting Person: Senior Vice President, Finance and Administration and Treasuer