0001181431-12-055971.txt : 20121031
0001181431-12-055971.hdr.sgml : 20121031
20121031170947
ACCESSION NUMBER: 0001181431-12-055971
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121024
FILED AS OF DATE: 20121031
DATE AS OF CHANGE: 20121031
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: AUERBACH ALAN H
CENTRAL INDEX KEY: 0001358285
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35703
FILM NUMBER: 121171465
MAIL ADDRESS:
STREET 1: 10940 WILSHIRE BLVD. SUITE 600
CITY: LOS ANGELES
STATE: CA
ZIP: 90024
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
4
1
rrd358968.xml
AUERBACH F4
X0306
4
2012-10-24
0
0001401667
PUMA BIOTECHNOLOGY, INC.
PBYI
0001358285
AUERBACH ALAN H
C/O PUMA BIOTECHNOLOGY, INC.
10880 WILSHIRE BLVD., SUITE 2150
LOS ANGELES
CA
90024
1
1
1
0
PRESIDENT, CEO & SECRETARY
Warrant to Purchase Common Stock
16.00
2012-10-24
4
A
0
2116250
0
A
2012-10-24
2021-10-04
Common Stock
2116250
2116250
D
This warrant was issued to the Reporting Person on October 4, 2011 and is exercisable following an offering of the Issuer's securities resulting in gross cash proceeds to the Issuer of at least $15 million. This warrant has a ten-year term, an exercise price equal to the price per share paid in such offering, and is exercisable for the number of shares of common stock as would be necessary for the Reporting Person to maintain, as calculated under the terms of such warrant, ownership of 20% of the Issuer's outstanding shares of common stock after such offering.
The warrant became exercisable on October 24, 2012 following the closing of a $138 million public offering by the Issuer.
/s/ Alan H. Auerbach
2012-10-30