SEC Form 4 · accession 0001209191-19-008680
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
Feb 6, 2019
Accepted (ET)
Feb 8, 2019 · 5:30 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 6, 2019 | A | 39,215 | $0.00 | A | 4,204,682 | 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 | $27.76 | Feb 6, 2019 | A | 62,634 | A | — | Feb 5, 2029 | COMMON STOCK | 62,634 | 62,634 | 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, 2019 ("RSU Vesting Commencement Date"), and (ii) with respect to an additional 1/6th of the shares subject thereto on each six-month anniversary of the RSU Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.
- F2The vesting commencement date of the option is January 1, 2019 ("Option Vesting Commencement Date"). The option vests (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the Option Vesting Commencement Date and (ii) with respect to 1/36th of the shares subject thereto on each monthly anniversary of the Option Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.