0001181431-12-065789.txt : 20121218 0001181431-12-065789.hdr.sgml : 20121218 20121218200857 ACCESSION NUMBER: 0001181431-12-065789 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: PHILLIPS RICHARD BENTON CENTRAL INDEX KEY: 0001433384 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35703 FILM NUMBER: 121272871 MAIL ADDRESS: STREET 1: 10990 WILSHIRE BOULEVARD STREET 2: SUITE 1200 CITY: LOS ANGELES STATE: MN 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 rrd363889.xml PHILLIPS F4 X0306 4 2012-12-17 0 0001401667 PUMA BIOTECHNOLOGY, INC. PBYI 0001433384 PHILLIPS RICHARD BENTON C/O PUMA BIOTECHNOLOGY, INC. 10880 WILSHIRE BLVD., SUITE 2150 LOS ANGELES CA 90024 0 1 0 0 SEE REMARKS Stock Option (Right to Buy) 19.34 2012-12-17 4 A 0 31500 0 A 2022-12-17 Common Stock 31500 31500 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. Title of Reporting Person: Senior Vice President, Regulatory Affairs, Quality Assurance and Pharmacovigilance /s/ Richard B. Phillips 2012-12-18