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PUMA BIOTECHNOLOGY, INC. — Director's Dealing 2021
Jun 22, 2021
33488_dirs_2021-06-22_5e045d2f-5257-4fa3-ac24-8dc6f76fffee.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: PUMA BIOTECHNOLOGY, INC. (PBYI)
CIK: 0001401667
Period of Report: 2021-06-15
Reporting Person: Wong Alvin F (Chief Scientific Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| COMMON STOCK | 7181 | Direct |
| COMMON STOCK | 963 | Direct |
| COMMON STOCK | 701 | Direct |
| COMMON STOCK | 2888 | Direct |
| COMMON STOCK | 6550 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| STOCK OPTION (RIGHT TO BUY) | $28.63 | 2023-03-18 | COMMON STOCK (14000) | Direct | |
| STOCK OPTION (RIGHT TO BUY) | $112.80 | 2024-03-14 | COMMON STOCK (10500) | Direct | |
| STOCK OPTION (RIGHT TO BUY) | $217.38 | 2025-03-23 | COMMON STOCK (10500) | Direct | |
| STOCK OPTION (RIGHT TO BUY) | $73.57 | 2025-11-30 | COMMON STOCK (7035) | Direct | |
| STOCK OPTION (RIGHT TO BUY) | $39.50 | 2026-12-01 | COMMON STOCK (10500) | Direct |
Footnotes
F1: Represents restricted stock units which, subject to the Reporting Person's continued service with the Company through the vesting date, shall vest in full on December 1, 2021.
F2: Represents restricted stock units which, subject to the Reporting Person's continued service with the Company through the applicable vesting date, shall vest with respect to one-half (1/2) of the restricted stock units on each of December 1, 2021 and June 1, 2022.
F3: Represents restricted stock units which, subject to the Reporting Person's continued service with the Company through the applicable vesting date, shall vest with respect to one-third (1/3) of the restricted stock units on each of December 1, 2021, June 1, 2022 and December 1, 2022.
F4: Represents restricted stock units which, subject to the Reporting Person's continued service with the Company through the applicable vesting date, shall vest with respect to (i) one-third (1/3) of the restricted stock units on December 1, 2021 and (ii) one-sixth (1/6) of the restricted stock units on each of June 1, 2022, December 1, 2022, June 1, 2023 and December 1, 2023.
F5: The option is currently exercisable.