Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-20-049479
Date:2020-09-02
Issuer: PUMA BIOTECHNOLOGY, INC. (PBYI)
Original Submission Date:

Reporting Person:

AUERBACH ALAN H
C/O PUMA BIOTECHNOLOGY, INC.
10880 WILSHIRE BLVD., SUITE 2150 LOS ANGELES, CA 90024

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-09-02 S 347 d $9.78 4,303,569 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the sales reported in this form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.
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