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PUMA BIOTECHNOLOGY, INC. — Director's Dealing 2021
Feb 19, 2021
33488_dirs_2021-02-19_fa06eea3-3569-437b-8f20-d11e65837895.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: PUMA BIOTECHNOLOGY, INC. (PBYI)
CIK: 0001401667
Period of Report: 2021-02-17
Reporting Person: BRYCE RICHARD PAUL (SEE REMARKS)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-02-17 | COMMON STOCK | A | 52846 | $0.00 | Acquired | 122510 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-02-17 | STOCK OPTION (RIGHT TO BUY) | $12.02 | A | 74341 | Acquired | 2031-02-16 | COMMON STOCK (74341) | Direct |
Footnotes
F1: Subject to the Grantee's continued service with the Company through the applicable vesting date, the Restricted Stock Units shall vest with respect to (i) one-third (1/3) of the Restricted Stock Units on the first anniversary of of the commencement date of January 1, 2021 (the "Vesting Commencement Date") and (ii) one-sixth (1/6th) of the Restricted Stock Units on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024.
F2: Subject to the Optionee's continued service with the Company through the applicable vesting date, the Option shall vest and become exercisable with respect to (i) one-third (1/3) of the Shares (as defined in the Plan) underlying the Option on the first anniversary of January 1, 2021 (the "Vesting Commencement Date")and (ii) one-sixth (1/6th) of the Shares subject thereto on each of July 1, 2022, January 1, 2023, July 1, 2023, and January 1, 2024.