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Nasdaq · USD

PBYI

PUMA BIOTECHNOLOGY, INC.

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5478
SEC CIK
0001401667
Parsed reports
383

Last 12 months

Inside the activity.

0 purchase rows · 17 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202606
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202605
Jul 202603
Aug 202600
Sep 202602
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 24, 2017 Filed May 26, 2017 16:40 UTC
Gross Phillip10% owner
SaleCommon Stock 175,687 $73.29 $12,875,836.70
Disclosure

SEC source: 0000902664-17-002486 · p17-1283form4.xml · nonDerivative · entry 5

ADAGE CAPITAL PARTNERS GP, L.L.C. · CIK 0001165408 · 10% owner

Adage Capital Partners, L.P. · CIK 0001163846 · 10% owner

Adage Capital Advisors, L.L.C. · CIK 0001403403 · 10% owner

Atchinson Robert · CIK 0001403404 · 10% owner

Gross Phillip · CIK 0001403413 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,315,966

F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $73 to $73.9875, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

F2 · ownership.nature: The securities to which this filing relates are held directly by Adage Capital Partners, L.P., a Delaware limited partnership (the "Fund"). Adage Capital Partners GP, L.L.C., a Delaware limited liability company ("ACPGP"), serves as the general partner of the Fund and as such has discretion over the portfolio securities beneficially owned by the Fund. Adage Capital Advisors, L.L.C., a Delaware limited liability company ("ACA"), is the managing member of ACPGP and directs ACPGP's operations. Robert Atchinson and Phillip Gross are the managing members of ACPGP and ACA and general partners of the Fund. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

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May 24, 2017 Filed May 26, 2017 16:40 UTC
Gross Phillip10% owner
SaleCommon Stock 52,300 $72.22 $3,776,933.41
Disclosure

SEC source: 0000902664-17-002486 · p17-1283form4.xml · nonDerivative · entry 4

ADAGE CAPITAL PARTNERS GP, L.L.C. · CIK 0001165408 · 10% owner

Adage Capital Partners, L.P. · CIK 0001163846 · 10% owner

Adage Capital Advisors, L.L.C. · CIK 0001403403 · 10% owner

Atchinson Robert · CIK 0001403404 · 10% owner

Gross Phillip · CIK 0001403413 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,491,653

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $72 to $72.825, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

F2 · ownership.nature: The securities to which this filing relates are held directly by Adage Capital Partners, L.P., a Delaware limited partnership (the "Fund"). Adage Capital Partners GP, L.L.C., a Delaware limited liability company ("ACPGP"), serves as the general partner of the Fund and as such has discretion over the portfolio securities beneficially owned by the Fund. Adage Capital Advisors, L.L.C., a Delaware limited liability company ("ACA"), is the managing member of ACPGP and directs ACPGP's operations. Robert Atchinson and Phillip Gross are the managing members of ACPGP and ACA and general partners of the Fund. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

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May 24, 2017 Filed May 26, 2017 16:40 UTC
Gross Phillip10% owner
SaleCommon Stock 53,600 $70.31 $3,768,492.72
Disclosure

SEC source: 0000902664-17-002486 · p17-1283form4.xml · nonDerivative · entry 3

ADAGE CAPITAL PARTNERS GP, L.L.C. · CIK 0001165408 · 10% owner

Adage Capital Partners, L.P. · CIK 0001163846 · 10% owner

Adage Capital Advisors, L.L.C. · CIK 0001403403 · 10% owner

Atchinson Robert · CIK 0001403404 · 10% owner

Gross Phillip · CIK 0001403413 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,543,953

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $70 to $70.75, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

F2 · ownership.nature: The securities to which this filing relates are held directly by Adage Capital Partners, L.P., a Delaware limited partnership (the "Fund"). Adage Capital Partners GP, L.L.C., a Delaware limited liability company ("ACPGP"), serves as the general partner of the Fund and as such has discretion over the portfolio securities beneficially owned by the Fund. Adage Capital Advisors, L.L.C., a Delaware limited liability company ("ACA"), is the managing member of ACPGP and directs ACPGP's operations. Robert Atchinson and Phillip Gross are the managing members of ACPGP and ACA and general partners of the Fund. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

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May 24, 2017 Filed May 26, 2017 16:40 UTC
Gross Phillip10% owner
SaleCommon Stock 39,115 $69.00 $2,698,935.00
Disclosure

SEC source: 0000902664-17-002486 · p17-1283form4.xml · nonDerivative · entry 2

ADAGE CAPITAL PARTNERS GP, L.L.C. · CIK 0001165408 · 10% owner

Adage Capital Partners, L.P. · CIK 0001163846 · 10% owner

Adage Capital Advisors, L.L.C. · CIK 0001403403 · 10% owner

Atchinson Robert · CIK 0001403404 · 10% owner

Gross Phillip · CIK 0001403413 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,597,553

F2 · ownership.nature: The securities to which this filing relates are held directly by Adage Capital Partners, L.P., a Delaware limited partnership (the "Fund"). Adage Capital Partners GP, L.L.C., a Delaware limited liability company ("ACPGP"), serves as the general partner of the Fund and as such has discretion over the portfolio securities beneficially owned by the Fund. Adage Capital Advisors, L.L.C., a Delaware limited liability company ("ACA"), is the managing member of ACPGP and directs ACPGP's operations. Robert Atchinson and Phillip Gross are the managing members of ACPGP and ACA and general partners of the Fund. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

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May 24, 2017 Filed May 26, 2017 16:40 UTC
Gross Phillip10% owner
SaleCommon Stock, par value $0.0001 ("Common Stock") 50,000 $68.13 $3,406,455.00
Disclosure

SEC source: 0000902664-17-002486 · p17-1283form4.xml · nonDerivative · entry 1

ADAGE CAPITAL PARTNERS GP, L.L.C. · CIK 0001165408 · 10% owner

Adage Capital Partners, L.P. · CIK 0001163846 · 10% owner

Adage Capital Advisors, L.L.C. · CIK 0001403403 · 10% owner

Atchinson Robert · CIK 0001403404 · 10% owner

Gross Phillip · CIK 0001403413 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,636,668

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $68 to $68.55, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

F2 · ownership.nature: The securities to which this filing relates are held directly by Adage Capital Partners, L.P., a Delaware limited partnership (the "Fund"). Adage Capital Partners GP, L.L.C., a Delaware limited liability company ("ACPGP"), serves as the general partner of the Fund and as such has discretion over the portfolio securities beneficially owned by the Fund. Adage Capital Advisors, L.L.C., a Delaware limited liability company ("ACA"), is the managing member of ACPGP and directs ACPGP's operations. Robert Atchinson and Phillip Gross are the managing members of ACPGP and ACA and general partners of the Fund. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

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February 16, 2017 Filed Feb 21, 2017 21:47 UTC
CHARNAS ROBERTSee Remarks
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 15,750 $0.00 Strike: $37.35 $0.00
Disclosure

SEC source: 0001209191-17-012753 · doc4.xml · derivative · entry 1

CHARNAS ROBERT · CIK 0001678610 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,750

Underlying: COMMON STOCK · 15,750 shares

Expires 2027-02-15

F1 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is February 16, 2017. The option vests (i) with respect to one-third (1/3) of the shares underlying the option on the first anniversary of the Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option, on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer.

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February 16, 2017 Filed Feb 21, 2017 21:45 UTC
BRYCE RICHARD PAULSR VP, CLINICAL RESEARCH & DEV
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 31,500 $0.00 Strike: $37.35 $0.00
Disclosure

SEC source: 0001209191-17-012749 · doc4.xml · derivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,500

Underlying: COMMON STOCK · 31,500 shares

Expires 2027-02-15

F1 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is February 16, 2017. The option vests (i) with respect to one-third (1/3) of the shares underlying the option on the first anniversary of the Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option, on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer.

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February 16, 2017 Filed Feb 21, 2017 21:43 UTC
Lo StevenChief Commercial Officer
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 31,500 $0.00 Strike: $37.35 $0.00
Disclosure

SEC source: 0001209191-17-012746 · doc4.xml · derivative · entry 1

Lo Steven · CIK 0001501959 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,500

Underlying: COMMON STOCK · 31,500 shares

Expires 2027-02-15

F1 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is February 16, 2017. The option vests (i) with respect to one-third (1/3) of the shares underlying the option on the first anniversary of the Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option, on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer; provided, however, that if the Reporting Person experiences a Qualifying Termination (as defined in the letter agreement between the Issuer and the Reporting Person) on or within eighteen (18) months following a Change in Control (as defined in the Issuer's 2011 Incentive Award Plan), then the option shall vest and become exercisable upon the effectiveness of the Release (as defined in the letter agreement).

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February 16, 2017 Filed Feb 21, 2017 21:41 UTC
EYLER CHARLES RSEE REMARKS
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 31,500 $0.00 Strike: $37.35 $0.00
Disclosure

SEC source: 0001209191-17-012744 · doc4.xml · derivative · entry 1

EYLER CHARLES R · CIK 0001358246 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,500

Underlying: COMMON STOCK · 31,500 shares

Expires 2027-02-15

F1 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is February 16, 2017. The option vests (i) with respect to one-third (1/3) of the shares underlying the option on the first anniversary of the Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option, on each monthly anniversary of the Vesting Commencement Date thereafter, subject to Reporting Person's continued service with the Issuer.

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February 16, 2017 Filed Feb 21, 2017 21:39 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 70,000 $0.00 Strike: $37.35 $0.00
Disclosure

SEC source: 0001209191-17-012738 · doc4.xml · derivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: COMMON STOCK · 70,000 shares

Expires 2027-02-15

F1 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is February 16, 2017. Subject to the Reporting Person's continued status as an employee of the Issuer, the option shall vest and become exercisable with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the Vesting Commencement Date, and with respect to an additional 1/36th of the shares subject thereto on each monthly anniversary of the Vesting Commencement Date thereafter; (continued to Footnote 2 below)

F2 · derivative.exercise_date: (Continued from Footnote 1 above) provided, however, that if the Reporting Person experiences a Termination of Service by the Issuer without Cause or by the Reporting Person with Good Reason, each as defined in the employment agreement between the Issuer and the Reporting Person dated January 19, 2012 (the "Employment Agreement"), in either case, during the period beginning sixty (60) days prior to and ending eighteen (18) months after the occurrence of a Change in Control, as defined in the Employment Agreement, then (subject to timely executing and not revoking the Release Agreement (as defined in the Employment Agreement)) (i) the option shall vest and become exercisable in full on the later to occur of such termination or the Change in Control, and (ii) the option shall remain exercisable until the earlier to occur of the first anniversary of such termination or the expiration date of the option reported herein.

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February 01, 2017 Filed Feb 2, 2017 22:43 UTC
CHARNAS ROBERTSee Remarks
SaleCOMMON STOCK 2,008 $31.85 $63,954.80
Disclosure

SEC source: 0001209191-17-007221 · doc4.xml · nonDerivative · entry 2

CHARNAS ROBERT · CIK 0001678610 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,453

F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 15, 2016.

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February 01, 2017 Filed Feb 2, 2017 22:43 UTC
CHARNAS ROBERTSee Remarks
SaleCOMMON STOCK 1,000 $31.80 $31,800.00
Disclosure

SEC source: 0001209191-17-007221 · doc4.xml · nonDerivative · entry 1

CHARNAS ROBERT · CIK 0001678610 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,461

F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 15, 2016.

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January 20, 2017 Filed Jan 24, 2017 22:49 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 10,202 $33.24 $339,064.49
Disclosure

SEC source: 0001209191-17-005343 · doc4.xml · nonDerivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,179,798

F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 16, 2016 to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.90 to $33.60, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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January 20, 2017 Filed Jan 24, 2017 22:56 UTC
Lo StevenChief Commercial Officer
SaleCOMMON STOCK 2,290 $33.24 $76,108.38
Disclosure

SEC source: 0001209191-17-005354 · doc4.xml · nonDerivative · entry 1

Lo Steven · CIK 0001501959 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,210

F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 22, 2016 to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.90 to $33.60, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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January 20, 2017 Filed Jan 24, 2017 22:53 UTC
EYLER CHARLES RSEE REMARKS
SaleCOMMON STOCK 820 $33.24 $27,252.78
Disclosure

SEC source: 0001209191-17-005352 · doc4.xml · nonDerivative · entry 1

EYLER CHARLES R · CIK 0001358246 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,680

F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 16, 2016 to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.90 to $33.60, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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January 20, 2017 Filed Jan 24, 2017 22:52 UTC
CHARNAS ROBERTSee Remarks
SaleCOMMON STOCK 2,293 $33.24 $76,208.08
Disclosure

SEC source: 0001209191-17-005350 · doc4.xml · nonDerivative · entry 1

CHARNAS ROBERT · CIK 0001678610 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,407

F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 15, 2016 to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.90 to $33.60, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Read SEC document
January 20, 2017 Filed Jan 24, 2017 22:51 UTC
BRYCE RICHARD PAULSR VP, CLINICAL RESEARCH & DEV
SaleCOMMON STOCK 2,293 $33.24 $76,208.08
Disclosure

SEC source: 0001209191-17-005347 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,237

F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 19, 2016 to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.90 to $33.60, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F1 · acquired: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 19, 2016 to satisfy tax obligations in connection with the vesting of restricted stock units.

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January 20, 2017 Filed Feb 2, 2017 22:41 UTC Amendment
CHARNAS ROBERTSee Remarks
SaleCOMMON STOCK 2,239 $33.24 $74,413.39
Disclosure

SEC source: 0001209191-17-007216 · doc4a.xml · nonDerivative · entry 1

CHARNAS ROBERT · CIK 0001678610 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,461

F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 15, 2016 to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · shares: This amended Form 4 is filed solely for the purpose of correcting an administrative error in the number of shares sold originally reported on the Form 4 filed January 24, 2017.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $32.90 to $33.60, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

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November 14, 2016 Filed Nov 16, 2016 22:53 UTC
ZAVRL FRANKDirector
GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $40.10 $0.00
Disclosure

SEC source: 0001209191-16-150643 · doc4.xml · derivative · entry 1

ZAVRL FRANK · CIK 0001652169 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2026-11-13

F1 · derivative.exercise_date: The vesting commencement date ("VCD") of the option is November 14, 2016. The option vests (i) with respect to one-third (1/3) of the shares underlying the option on the first anniversary of the VCD and (ii) with respect to 1/36th of the shares underlying the option, on each monthly anniversary of the VCD thereafter, subject to the Reporting Person's continued service with the Issuer through each vesting date.

Read SEC document
November 14, 2016 Filed Nov 16, 2016 22:51 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $40.10 $0.00
Disclosure

SEC source: 0001209191-16-150637 · doc4.xml · derivative · entry 1

WILSON TROY EDWARD · CIK 0001589597 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2026-11-13

F1 · derivative.exercise_date: The vesting commencement date ("VCD") of the option is November 14, 2016. The option vests (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the VCD and (ii) with respect to an additional 1/36th of the shares subject thereto on each monthly anniversary of the VCD thereafter, subject to the Reporting Person's continued service with the Issuer through each vesting date.

Read SEC document
November 14, 2016 Filed Nov 16, 2016 22:49 UTC GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $40.10 $0.00
Disclosure

SEC source: 0001209191-16-150634 · doc4.xml · derivative · entry 1

Senderowicz Adrian · CIK 0001616230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2026-11-13

F1 · derivative.exercise_date: The vesting commencement date ("VCD") of the option is November 14, 2016. The option vests (i) with respect to one-third (1/3) of the shares underlying the option on the first anniversary of the VCD and (ii) with respect to 1/36th of the shares underlying the option, on each monthly anniversary of the VCD thereafter, subject to the Reporting Person's continued service with the Issuer through each vesting date.

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November 14, 2016 Filed Nov 16, 2016 22:48 UTC
MOYES JAY MDirector
GrantStock Option (Right to Buy) · Derivative 10,000 $0.00 Strike: $40.10 $0.00
Disclosure

SEC source: 0001209191-16-150629 · doc4.xml · derivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2026-11-13

F1 · derivative.exercise_date: The vesting commencement date ("VCD") of the option is November 14, 2016. The option vests (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the VCD and (ii) with respect to an additional 1/36th of the shares subject thereto on each monthly anniversary of the VCD thereafter, subject to the Reporting Person's continued service with the Issuer through each vesting date.

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October 14, 2016 Filed Oct 15, 2016 01:19 UTC
Lo StevenChief Commercial Officer
GrantCOMMON STOCK 31,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-145981 · doc4.xml · nonDerivative · entry 1

Lo Steven · CIK 0001501959 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,500

F1 · shares: Represents Restricted Stock Units which vest in six substantially equal installments on each six-month anniversary of the Vesting Commencement Date of July 19, 2016, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

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October 14, 2016 Filed Oct 15, 2016 01:18 UTC
EYLER CHARLES RSEE REMARKS
GrantCommon Stock 10,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-145980 · doc4.xml · nonDerivative · entry 1

EYLER CHARLES R · CIK 0001358246 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,500

F1 · shares: Represents Restricted Stock Units which vest in six substantially equal installments on each six-month anniversary of the Vesting Commencement Date of July 19, 2016, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

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October 14, 2016 Filed Oct 15, 2016 01:16 UTC
CHARNAS ROBERTSee Remarks
GrantCOMMON STOCK 31,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-145979 · doc4.xml · nonDerivative · entry 1

CHARNAS ROBERT · CIK 0001678610 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,700

F1 · shares: Represents Restricted Stock Units which vest in six substantially equal installments on each six-month anniversary of the Vesting Commencement Date of July 19, 2016, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

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October 14, 2016 Filed Oct 15, 2016 01:09 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
GrantCOMMON STOCK 150,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-145977 · doc4.xml · nonDerivative · entry 1

AUERBACH ALAN H · CIK 0001358285 · Director · PRESIDENT AND CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,190,000

F1 · shares: Represents Restricted Stock Units which vest in six substantially equal installments on each six-month anniversary of the Vesting Commencement Date of July 19, 2016, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

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October 14, 2016 Filed Oct 15, 2016 01:12 UTC
BRYCE RICHARD PAULSR VP, CLINICAL RESEARCH & DEV
GrantCOMMON STOCK 31,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-16-145978 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,530

F1 · shares: Represents Restricted Stock Units which vest in six substantially equal installments on each six-month anniversary of the Vesting Commencement Date of July 19, 2016, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.