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