0001437749-23-003382.txt : 20230214 0001437749-23-003382.hdr.sgml : 20230214 20230214165327 ACCESSION NUMBER: 0001437749-23-003382 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230210 FILED AS OF DATE: 20230214 DATE AS OF CHANGE: 20230214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NOUGUES MAXIMO F CENTRAL INDEX KEY: 0001758507 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35703 FILM NUMBER: 23630966 MAIL ADDRESS: STREET 1: C/O PUMA BIOTECHNOLOGY, INC. STREET 2: 10880 WILSHIRE BOULEVARD, SUITE 2150 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 rdgdoc.xml FORM 4 X0306 4 2023-02-10 0001401667 PUMA BIOTECHNOLOGY, INC. PBYI 0001758507 NOUGUES MAXIMO F C/O PUMA BIOTECHNOLOGY, INC. 10880 WILSHIRE BLVD., SUITE 2150 LOS ANGELES CA 90024 1 Chief Financial Officer Common Stock 2023-02-10 4 A 0 58601 0 A 159028 D Stock Option (Right to Buy) 4.39 2023-02-10 4 A 0 81399 0 A 2033-02-09 Common Stock 81399 81399 D Represents Restricted Stock Units ("RSUs") that shall vest with respect to one-fourth (1/4th) of the RSUs on each of July 1, 2023, January 1, 2024, July 1, 2024 and January 1, 2025, subject to the Grantee's continued service with the Company through the applicable vesting date. Options shall vest and become exercisable with respect to one-fourth (1/4th) of the shares subject thereto on each of July 1, 2023, January 1, 2024, July 1, 2024 and January 1, 2025, subject to the Optionee's continued service with the Company through the applicable vesting date. /s/ Gordon Esplin as attorney-in-fact for Maximo F. Nougues 2023-02-14