0001209191-17-012746.txt : 20170221 0001209191-17-012746.hdr.sgml : 20170220 20170221164328 ACCESSION NUMBER: 0001209191-17-012746 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170216 FILED AS OF DATE: 20170221 DATE AS OF CHANGE: 20170221 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: Lo Steven CENTRAL INDEX KEY: 0001501959 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35703 FILM NUMBER: 17625616 MAIL ADDRESS: STREET 1: C/O CORCEPT THERAPEUTICS STREET 2: 149 COMMONWEALTH DRIVE CITY: MENLO PARK STATE: CA ZIP: 94010 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-02-16 0 0001401667 PUMA BIOTECHNOLOGY, INC. PBYI 0001501959 Lo Steven C/O PUMA BIOTECHNOLOGY, INC. 10880 WILSHIRE BLVD., SUITE 2150 LOS ANGELES CA 90024 0 1 0 0 Chief Commercial Officer STOCK OPTION (RIGHT TO BUY) 37.35 2017-02-16 4 A 0 31500 0.00 A 2027-02-15 COMMON STOCK 31500 31500 D The vesting commencement date ("Vesting Commencement Date") of the option is February 16, 2017. The option vests (i) with respect to one-third (1/3) 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 underlying the option, on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer; provided, however, that if the Reporting Person experiences a Qualifying Termination (as defined in the letter agreement between the Issuer and the Reporting Person) on or within eighteen (18) months following a Change in Control (as defined in the Issuer's 2011 Incentive Award Plan), then the option shall vest and become exercisable upon the effectiveness of the Release (as defined in the letter agreement). /s/ Steven Lo 2017-02-17