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