Alvin F. Wong - 15 Jun 2021 Form 3 Insider Report for PUMA BIOTECHNOLOGY, INC. (PBYI)

Role
Chief Scientific Officer
Signature
/s/ Alvin F. Wong
Issuer symbol
PBYI
Transactions as of
15 Jun 2021
Net transactions value
$0
Form type
3
Filing time
22 Jun 2021, 20:10:17 UTC
Next filing
22 Jun 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding PBYI COMMON STOCK 7,181 15 Jun 2021 Direct
holding PBYI COMMON STOCK 963 15 Jun 2021 Direct F1
holding PBYI COMMON STOCK 701 15 Jun 2021 Direct F2
holding PBYI COMMON STOCK 2,888 15 Jun 2021 Direct F3
holding PBYI COMMON STOCK 6,550 15 Jun 2021 Direct F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding PBYI STOCK OPTION (RIGHT TO BUY) 15 Jun 2021 COMMON STOCK 14,000 $28.63 Direct F5
holding PBYI STOCK OPTION (RIGHT TO BUY) 15 Jun 2021 COMMON STOCK 10,500 $112.80 Direct F5
holding PBYI STOCK OPTION (RIGHT TO BUY) 15 Jun 2021 COMMON STOCK 10,500 $217.38 Direct F5
holding PBYI STOCK OPTION (RIGHT TO BUY) 15 Jun 2021 COMMON STOCK 7,035 $73.57 Direct F5
holding PBYI STOCK OPTION (RIGHT TO BUY) 15 Jun 2021 COMMON STOCK 10,500 $39.50 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.