Form 4 for PBYI PUMA BIOTECHNOLOGY, INC.

Accepted 2022-03-14 00:00:00 ET · period of report 2022-03-03 · accession 0001437749-22-006207 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
DM	2022-03-14	2022-03-03+	PBYI	AUERBACH ALAN H	Pres, CEO, Dir, 10%	A - Grant	$2.55	+1.96M	4.56M	+76%	+$5.00M
D	2022-03-14	2022-03-03	PBYI	AUERBACH ALAN H	Pres, CEO, Dir, 10%	A - Grant	$0.00	+241.2K	241.2K	New	$0

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2022-03-10	A	A	1,792,114	$2.79	6,347,753	D	—	—	(F2) On March 8, 2022, the Issuer entered into a Securities Purchase Agreement with certain purchasers, including the Reporting Person. Shares were purchased at $2.79 per share and issued at closing on March 10, 2022.
2	Common	Common Stock	2022-03-03	A	A	168,824	$0.00	4,555,639	D	—	—	(F1) Subject to the Grantee's continued status as an Employee, the Restricted Stock Units shall vest with respect to one-fourth (1/4th) of the Restricted Stock Units on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024, subject to acceleration in certain events.
3	Derivative	Stock Option (Right to Buy)	2022-03-03	A	A	241,176	$0.00	241,176	D	$2.33 · — to 2032-03-02	241,176 Common Stock	(F3) Subject to the Optionee's continued status as an Employee, the Option shall vest and become exercisable with respect to one-fourth (1/4th) of the Shares (as defined in the Plan) subject thereto on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024, subject to acceleration in certain events.