0001181431-12-065787.txt : 20121218 0001181431-12-065787.hdr.sgml : 20121218 20121218200625 ACCESSION NUMBER: 0001181431-12-065787 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121217 FILED AS OF DATE: 20121218 DATE AS OF CHANGE: 20121218 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: 121272867 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 rrd363883.xml X0306 4 2012-12-17 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 AND CEO Stock Option (Right to Buy) 19.34 2012-12-17 4 A 0 150000 0 A 2022-12-17 Common Stock 150000 150000 D The vesting commencement date ("Vesting Commencement Date") of the option is December 17, 2012. The option vests (i) with respect to one-third (1/3rd) of the shares underlying the option on the first anniversary of the Vesting Commencement Date and (ii) with respect to 1/36th of the shares of the underlying option, on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer. /s/ Alan H. Auerbach 2012-12-18