0000902664-17-002551.txt : 20170605 0000902664-17-002551.hdr.sgml : 20170605 20170605175813 ACCESSION NUMBER: 0000902664-17-002551 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170601 FILED AS OF DATE: 20170605 DATE AS OF CHANGE: 20170605 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: PUMA BIOTECHNOLOGY, INC. CENTRAL INDEX KEY: 0001401667 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 770683487 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10880 WILSHIRE BLVD. STREET 2: SUITE 2150 CITY: LOS ANGELES STATE: CA ZIP: 90024 BUSINESS PHONE: (424) 248-6500 MAIL ADDRESS: STREET 1: 10880 WILSHIRE BLVD. STREET 2: SUITE 2150 CITY: LOS ANGELES STATE: CA ZIP: 90024 FORMER COMPANY: FORMER CONFORMED NAME: INNOVATIVE ACQUISITIONS CORP DATE OF NAME CHANGE: 20070601 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gross Phillip CENTRAL INDEX KEY: 0001403413 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35703 FILM NUMBER: 17892435 MAIL ADDRESS: STREET 1: 200 CLARENDON STREET STREET 2: 52ND FLOOR CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Atchinson Robert CENTRAL INDEX KEY: 0001403404 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35703 FILM NUMBER: 17892436 MAIL ADDRESS: STREET 1: 200 CLARENDON STREET STREET 2: 52ND FLOOR CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Adage Capital Advisors, L.L.C. CENTRAL INDEX KEY: 0001403403 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35703 FILM NUMBER: 17892437 BUSINESS ADDRESS: STREET 1: 200 CLARENDON STREET STREET 2: 52ND FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-867-2800 MAIL ADDRESS: STREET 1: 200 CLARENDON STREET STREET 2: 52ND FLOOR CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Adage Capital Partners, L.P. CENTRAL INDEX KEY: 0001163846 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35703 FILM NUMBER: 17892438 BUSINESS ADDRESS: STREET 1: 200 CLARENDON STREET, 52ND FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: (617) 867-2800 MAIL ADDRESS: STREET 1: 200 CLARENDON STREET, 52ND FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: ADAGE CAPITAL PARTNERS LP DATE OF NAME CHANGE: 20011219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ADAGE CAPITAL PARTNERS GP, L.L.C. CENTRAL INDEX KEY: 0001165408 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35703 FILM NUMBER: 17892439 BUSINESS ADDRESS: STREET 1: 200 CLARENDON STREET STREET 2: 52ND FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: (617) 867-2800 MAIL ADDRESS: STREET 1: 200 CLARENDON STREET, 52ND FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER NAME: FORMER CONFORMED NAME: ADAGE CAPITAL PARTNERS GP LLC DATE OF NAME CHANGE: 20020117 4 1 p17-1315form4.xml PUMA BIOTECHNOLOGY, INC. X0306 4 2017-06-01 0 0001401667 PUMA BIOTECHNOLOGY, INC. PBYI 0001165408 ADAGE CAPITAL PARTNERS GP, L.L.C. 200 CLARENDON STREET, 52ND FLOOR BOSTON MA 02116 0 0 1 0 0001163846 Adage Capital Partners, L.P. 200 CLARENDON STREET, 52ND FLOOR BOSTON MA 02116 0 0 1 0 0001403403 Adage Capital Advisors, L.L.C. 200 CLARENDON STREET 52ND FLOOR BOSTON MA 02116 0 0 1 0 0001403404 Atchinson Robert 200 CLARENDON STREET 52ND FLOOR BOSTON MA 02116 0 0 1 0 0001403413 Gross Phillip 200 CLARENDON STREET 52ND FLOOR BOSTON MA 02116 0 0 1 0 Common Stock, par value $0.0001 ("Common Stock") 2017-06-01 4 S 0 164325 82.4112 D 4286643 I See footnote Common Stock 2017-06-01 4 S 0 5200 83.5454 D 4281443 I See footnote Common Stock 2017-06-02 4 S 0 30475 83.0611 D 4250968 I See footnote Common Stock 2017-06-05 4 S 0 1100 85.3182 D 4249868 I See footnote Common Stock 2017-06-05 4 S 0 63227 88.1235 D 4186641 I See footnote Common Stock 2017-06-05 4 S 0 152762 90.2132 D 4033879 I See footnote Common Stock 2017-06-05 4 S 0 23272 91.3138 D 4010607 I See footnote Common Stock 2017-06-05 4 S 0 3083 92 D 4007524 I See footnote Common Stock 2017-06-05 4 S 0 52016 96.6144 D 3955508 I See footnote Common Stock 2017-06-05 4 S 0 11668 99.0798 D 3943840 I See footnote The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $81.75 to $82.625, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. The securities to which this filing relates are held directly by Adage Capital Partners, L.P., a Delaware limited partnership (the "Fund"). Adage Capital Partners GP, L.L.C., a Delaware limited liability company ("ACPGP"), serves as the general partner of the Fund and as such has discretion over the portfolio securities beneficially owned by the Fund. Adage Capital Advisors, L.L.C., a Delaware limited liability company ("ACA"), is the managing member of ACPGP and directs ACPGP's operations. Robert Atchinson and Phillip Gross are the managing members of ACPGP and ACA and general partners of the Fund. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $83.2 to $84, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $83 to $83.45, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $85.25 to $85.45, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $87.625 to $88.6, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $90 to $90.75, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $91 to $91.65, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $96.5 to $97, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $99 to $99.45, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. /s/ Robert Atchinson 2017-06-05 s/ Adage Capital Partners, L.P.; By its general partner Adage Capital Partners GP, L.L.C.; By its managing member Adage Capital Advisors, L.L.C.; By its managing member Robert Atchinson 2017-06-05 s/ Adage Capital Partners GP, L.L.C.; By its managing member Adage Capital Advisors, L.L.C.; By its managing member Robert Atchinson 2017-06-05 /s/ Adage Capital Advisors, L.L.C.; By its managing member Robert Atchinson 2017-06-05 /s/ Phillip Gross 2017-06-05