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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.
Monthly counts
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
June 03, 2019 Filed Jun 5, 2019 21:12 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 483 $15.18 $7,331.94
Disclosure

SEC source: 0001209191-19-034818 · 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: 4,202,735

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
May 02, 2019 Filed May 6, 2019 20:39 UTC SaleCOMMON STOCK 85 $32.38 $2,752.31
Disclosure

SEC source: 0001209191-19-027727 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,924

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
May 02, 2019 Filed May 6, 2019 20:37 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 477 $32.38 $15,445.31
Disclosure

SEC source: 0001209191-19-027722 · 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: 4,203,218

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
April 02, 2019 Filed Apr 3, 2019 21:00 UTC SaleCOMMON STOCK 88 $35.78 $3,148.65
Disclosure

SEC source: 0001209191-19-023265 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,009

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
April 02, 2019 Filed Apr 3, 2019 20:58 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 491 $35.79 $17,573.09
Disclosure

SEC source: 0001209191-19-023260 · 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: 4,203,695

F1 · kind: The sales reported in this Form 4 were 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 $35.78 to $35.81, 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
March 04, 2019 Filed Mar 22, 2019 20:51 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 496 $38.62 $19,155.52
Disclosure

SEC source: 0001209191-19-021011 · 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: 4,204,186

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
March 04, 2019 Filed Mar 22, 2019 20:53 UTC SaleCOMMON STOCK 88 $38.66 $3,402.08
Disclosure

SEC source: 0001209191-19-021012 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,097

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 22:39 UTC
Lo StevenChief Commercial Officer
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 36,300 $0.00 Strike: $27.76 $0.00
Disclosure

SEC source: 0001209191-19-008693 · doc4.xml · derivative · entry 1

Lo Steven · CIK 0001501959 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,300

Underlying: COMMON STOCK · 36,300 shares

Expires 2029-02-05

F1 · derivative.exercise_date: The vesting commencement date ("Option Vesting Commencement Date") of the option is January 1, 2019. The option vests (i) with respect to one-third (1/3rd) of the shares underlying the option on the first anniversary of the Option Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option on each monthly anniversary of the Option Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 22:34 UTC GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 15,400 $0.00 Strike: $27.76 $0.00
Disclosure

SEC source: 0001209191-19-008683 · doc4.xml · derivative · entry 2

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,400

Underlying: COMMON STOCK · 15,400 shares

Expires 2029-02-05

F2 · derivative.exercise_date: The vesting commencement date ("Option Vesting Commencement Date") of the option is January 1, 2019. The option vests (i) with respect to one-third (1/3rd) of the shares underlying the option on the first anniversary of the Option Vesting Commencement Date and (ii) with respect to 1/36th of the shares underlying the option on each monthly anniversary of the Option Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 22:34 UTC GrantCOMMON STOCK 9,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-008683 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,185

F1 · shares: Represents Restricted Stock Units which vest (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the vesting commencement date of January 1, 2019 ("RSU Vesting Commencement Date") and (ii) with respect to 1/6th of the shares subject thereto on each six-month anniversary of the RSU Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 22:37 UTC
HUNT DOUGLAS MSee Remarks
GrantStock Option (Right to Buy) · Derivative 15,400 $0.00 Strike: $27.76 $0.00
Disclosure

SEC source: 0001209191-19-008688 · doc4.xml · derivative · entry 2

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,400

Underlying: Common Stock · 15,400 shares

Expires 2029-02-05

F2 · derivative.exercise_date: The vesting commencement date of the option is January 1, 2019 ("Option Vesting Commencement Date"). The option vests (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the Option Vesting Commencement Date and (ii) with respect to 1/36th of the shares subject thereto on each monthly anniversary of the Option Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 22:37 UTC
HUNT DOUGLAS MSee Remarks
GrantCommon Stock 9,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-008688 · doc4.xml · nonDerivative · entry 1

HUNT DOUGLAS M · CIK 0001727172 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,900

F1 · shares: Represents Restricted Stock Units which vest (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the vesting commencement date of January 1, 2019 ("RSU Vesting Commencement Date"), and (ii) with respect to an additional 1/6th of the shares subject thereto on each six-month anniversary of the RSU Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 22:30 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 62,634 $0.00 Strike: $27.76 $0.00
Disclosure

SEC source: 0001209191-19-008680 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,634

Underlying: COMMON STOCK · 62,634 shares

Expires 2029-02-05

F2 · derivative.exercise_date: The vesting commencement date of the option is January 1, 2019 ("Option Vesting Commencement Date"). The option vests (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the Option Vesting Commencement Date and (ii) with respect to 1/36th of the shares subject thereto on each monthly anniversary of the Option Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 22:30 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
GrantCOMMON STOCK 39,215 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-008680 · 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: 4,204,682

F1 · shares: Represents Restricted Stock Units which vest (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the vesting commencement date of January 1, 2019 ("RSU Vesting Commencement Date"), and (ii) with respect to an additional 1/6th of the shares subject thereto on each six-month anniversary of the RSU Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

Read SEC document
February 04, 2019 Filed Feb 6, 2019 21:34 UTC SaleCOMMON STOCK 89 $27.77 $2,471.53
Disclosure

SEC source: 0001209191-19-007743 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,285

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
February 04, 2019 Filed Feb 6, 2019 21:38 UTC
EYLER CHARLES RSEE REMARKS
SaleCOMMON STOCK 87 $27.64 $2,404.71
Disclosure

SEC source: 0001209191-19-007747 · doc4.xml · nonDerivative · entry 1

EYLER CHARLES R · CIK 0001358246 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,957

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
February 04, 2019 Filed Feb 6, 2019 21:30 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 345 $27.80 $9,591.00
Disclosure

SEC source: 0001209191-19-007740 · 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: 4,165,467

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
January 22, 2019 Filed Jan 24, 2019 21:54 UTC
Lo StevenChief Commercial Officer
SaleCOMMON STOCK 2,114 $24.91 $52,663.55
Disclosure

SEC source: 0001209191-19-005188 · doc4.xml · nonDerivative · entry 1

Lo Steven · CIK 0001501959 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,409

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 $24.91 to $24.96, 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 22, 2019 Filed Jan 24, 2019 21:51 UTC
EYLER CHARLES RSEE REMARKS
SaleCOMMON STOCK 713 $24.80 $17,682.40
Disclosure

SEC source: 0001209191-19-005185 · doc4.xml · nonDerivative · entry 1

EYLER CHARLES R · CIK 0001358246 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,044

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.

Read SEC document
January 22, 2019 Filed Jan 24, 2019 21:47 UTC SaleCOMMON STOCK 1,959 $24.72 $48,426.48
Disclosure

SEC source: 0001209191-19-005183 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,374

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.

Read SEC document
January 22, 2019 Filed Jan 24, 2019 21:44 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 8,825 $24.74 $218,334.03
Disclosure

SEC source: 0001209191-19-005177 · 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: 4,165,812

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 $24.55 to $24.91, 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 03, 2019 Filed Jan 4, 2019 23:26 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 4,424 $20.67 $91,444.08
Disclosure

SEC source: 0001209191-19-002246 · 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: 4,174,637

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
January 03, 2019 Filed Jan 4, 2019 22:08 UTC SaleCOMMON STOCK 1,210 $20.67 $25,010.70
Disclosure

SEC source: 0001209191-19-002078 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,333

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
January 03, 2019 Filed Jan 4, 2019 22:16 UTC
EYLER CHARLES RSEE REMARKS
SaleCOMMON STOCK 1,210 $20.67 $25,010.70
Disclosure

SEC source: 0001209191-19-002102 · doc4.xml · nonDerivative · entry 1

EYLER CHARLES R · CIK 0001358246 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,757

F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
December 03, 2018 Filed Dec 4, 2018 21:59 UTC
EYLER CHARLES RSEE REMARKS
SaleCOMMON STOCK 1,239 $22.77 $28,212.03
Disclosure

SEC source: 0001209191-18-060914 · doc4.xml · nonDerivative · entry 1

EYLER CHARLES R · CIK 0001358246 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,967

F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 13, 2017 to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
November 11, 2018 Filed Nov 14, 2018 00:25 UTC
NOUGUES MAXIMO FChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 90,000 $0.00 Strike: $23.37 $0.00
Disclosure

SEC source: 0001209191-18-058405 · doc4.xml · derivative · entry 1

NOUGUES MAXIMO F · CIK 0001758507 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2028-11-10

F1 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is November 11, 2018. 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 through the applicable vesting date.

Read SEC document
July 20, 2018 Filed Jul 24, 2018 21:10 UTC
Lo StevenChief Commercial Officer
SaleCOMMON STOCK 1,839 $51.85 $95,360.06
Disclosure

SEC source: 0001209191-18-043775 · doc4.xml · nonDerivative · entry 1

Lo Steven · CIK 0001501959 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,523

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 $51.80 to $52.525, 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
July 20, 2018 Filed Jul 24, 2018 21:07 UTC
EYLER CHARLES RSEE REMARKS
SaleCOMMON STOCK 610 $51.95 $31,689.50
Disclosure

SEC source: 0001209191-18-043768 · doc4.xml · nonDerivative · entry 1

EYLER CHARLES R · CIK 0001358246 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,206

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.

Read SEC document
July 20, 2018 Filed Jul 24, 2018 21:00 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 12,520 $52.00 $651,019.97
Disclosure

SEC source: 0001209191-18-043755 · 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: 4,179,061

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 $51.95 to $52.10, 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
July 20, 2018 Filed Jul 24, 2018 21:03 UTC SaleCOMMON STOCK 1,836 $51.95 $95,381.30
Disclosure

SEC source: 0001209191-18-043760 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,543

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 $51.95 to $52.15, 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
June 12, 2018 Filed Jun 14, 2018 23:29 UTC
ZAVRL FRANKDirector
GrantCOMMON STOCK 5,822 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-037896 · doc4.xml · nonDerivative · entry 1

ZAVRL FRANK · CIK 0001652169 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,822

F1 · shares: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

Read SEC document
June 12, 2018 Filed Jun 14, 2018 23:24 UTC GrantCOMMON STOCK 5,822 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-037894 · doc4.xml · nonDerivative · entry 1

WILSON TROY EDWARD · CIK 0001589597 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,172

F1 · shares: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

Read SEC document
June 12, 2018 Filed Jun 14, 2018 23:16 UTC GrantCOMMON STOCK 5,822 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-037883 · doc4.xml · nonDerivative · entry 1

Senderowicz Adrian · CIK 0001616230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,822

F1 · shares: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

Read SEC document
June 12, 2018 Filed Jun 14, 2018 23:10 UTC
MOYES JAY MDirector
GrantCOMMON STOCK 5,822 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-037876 · doc4.xml · nonDerivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,822

F1 · shares: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

Read SEC document
June 12, 2018 Filed Jun 14, 2018 22:36 UTC GrantCOMMON STOCK 5,482 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-037867 · doc4.xml · nonDerivative · entry 1

MILLER MICHAEL PATRICK · CIK 0001236514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,482

F1 · shares: Represents Restricted Stock Units which vest in full on the earlier of the one-year anniversary of the date of grant and the date of the annual shareholder meeting following the date of grant, subject to the Reporting Person's continued service with the Issuer.

Read SEC document
June 01, 2018 Filed Jun 4, 2018 21:08 UTC
EYLER CHARLES RSEE REMARKS
SaleCOMMON STOCK 1,211 $53.00 $64,183.00
Disclosure

SEC source: 0001209191-18-035228 · doc4.xml · nonDerivative · entry 1

EYLER CHARLES R · CIK 0001358246 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,816

F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 13, 2017 to satisfy tax obligations in connection with the vesting of restricted stock units.

Read SEC document
February 23, 2018 Filed Feb 27, 2018 22:30 UTC GrantStock Option (Right to Buy) · Derivative 17,626 $0.00 Strike: $68.25 $0.00
Disclosure

SEC source: 0001209191-18-014045 · doc4.xml · derivative · entry 1

MILLER MICHAEL PATRICK · CIK 0001236514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,626

Underlying: Common Stock · 17,626 shares

Expires 2028-02-22

F1 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is February 23, 2018. 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 through the applicable vesting date.

Read SEC document
February 11, 2018 Filed Feb 13, 2018 23:02 UTC
Lo StevenChief Commercial Officer
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 33,000 $0.00 Strike: $60.85 $0.00
Disclosure

SEC source: 0001209191-18-009711 · doc4.xml · derivative · entry 1

Lo Steven · CIK 0001501959 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,000

Underlying: COMMON STOCK · 33,000 shares

Expires 2028-02-10

F1 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is January 1, 2018. The option vests (i) with respect to one-third (1/3rd) 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 through the applicable vesting date.

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February 11, 2018 Filed Feb 13, 2018 22:57 UTC GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 14,000 $0.00 Strike: $60.85 $0.00
Disclosure

SEC source: 0001209191-18-009705 · doc4.xml · derivative · entry 2

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: COMMON STOCK · 14,000 shares

Expires 2028-02-10

F2 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is January 1, 2018. The option vests (i) with respect to one-third (1/3rd) 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 through the applicable vesting date.

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February 11, 2018 Filed Feb 13, 2018 22:57 UTC GrantCOMMON STOCK 9,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-009705 · doc4.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,379

F1 · shares: Represents Restricted Stock Units which vest (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the vesting commencement date of January 1, 2018 ("Vesting Commencement Date") and (ii) with respect to 1/36th of the shares subject thereto on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

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February 11, 2018 Filed Feb 13, 2018 23:00 UTC
EYLER CHARLES RSEE REMARKS
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 14,000 $0.00 Strike: $60.85 $0.00
Disclosure

SEC source: 0001209191-18-009708 · doc4.xml · derivative · entry 2

EYLER CHARLES R · CIK 0001358246 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: COMMON STOCK · 14,000 shares

Expires 2028-02-10

F2 · derivative.exercise_date: The vesting commencement date ("Vesting Commencement Date") of the option is January 1, 2018. The option vests (i) with respect to one-third (1/3rd) 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 through the applicable vesting date.

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February 11, 2018 Filed Feb 13, 2018 23:00 UTC
EYLER CHARLES RSEE REMARKS
GrantCOMMON STOCK 9,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-009708 · doc4.xml · nonDerivative · entry 1

EYLER CHARLES R · CIK 0001358246 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,027

F1 · shares: Represents Restricted Stock Units which vest (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the vesting commencement date of January 1, 2018 ("Vesting Commencement Date") and (ii) with respect to 1/36th of the shares subject thereto on each monthly anniversary of the Vesting Commencement Date thereafter, subject to Reporting Person's continued service with the Issuer through the applicable vesting date.

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February 11, 2018 Filed Feb 13, 2018 22:55 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
GrantSTOCK OPTION (RIGHT TO BUY) · Derivative 56,940 $0.00 Strike: $60.85 $0.00
Disclosure

SEC source: 0001209191-18-009703 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,940

Underlying: COMMON STOCK · 56,940 shares

Expires 2028-02-10

F2 · derivative.exercise_date: The vesting commencement date of the option is January 1, 2018 ("Vesting Commencement Date"). The option vests (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the Vesting Commencement Date and (ii) with respect to 1/36th of the shares subject thereto on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

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February 11, 2018 Filed Feb 13, 2018 22:55 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
GrantCOMMON STOCK 35,650 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-009703 · 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: 4,191,581

F1 · shares: Represents Restricted Stock Units which vest (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the vesting commencement date of January 1, 2018 ("Vesting Commencement Date"), and (ii) with respect to an additional 1/36th of the shares subject thereto on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

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February 11, 2018 Filed Mar 7, 2018 21:34 UTC Amendment GrantCOMMON STOCK 9,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-017738 · doc4a.xml · nonDerivative · entry 1

BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,379

F1 · shares: Represents Restricted Stock Units which vest (i) with respect to one-third (1/3rd) of the shares subject thereto on the first anniversary of the vesting commencement date of January 1, 2018 ("Vesting Commencement Date") and (ii) with respect to 1/36th of the shares subject thereto on each monthly anniversary of the Vesting Commencement Date thereafter, subject to the Reporting Person's continued service with the Issuer through the applicable vesting date.

F2 · acquired: This amended Form 4 is filed solely for the purpose of correcting an administrative error in column 4 reporting securities as disposed of, instead of acquired, as reported on the Form 4 filed February 13, 2018.

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January 22, 2018 Filed Jan 24, 2018 21:38 UTC
Lo StevenChief Commercial Officer
SaleCOMMON STOCK 1,858 $92.85 $172,515.30
Disclosure

SEC source: 0001209191-18-005139 · doc4.xml · nonDerivative · entry 1

Lo Steven · CIK 0001501959 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,362

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.

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January 22, 2018 Filed Jan 24, 2018 21:36 UTC
EYLER CHARLES RSEE REMARKS
SaleCOMMON STOCK 669 $92.85 $62,116.65
Disclosure

SEC source: 0001209191-18-005135 · doc4.xml · nonDerivative · entry 1

EYLER CHARLES R · CIK 0001358246 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,027

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, 2017 to satisfy tax obligations in connection with the vesting of restricted stock units.

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January 22, 2018 Filed Jan 24, 2018 21:33 UTC
BRYCE RICHARD PAULSR VP, CLINICAL RESEARCH & DEV
SaleCOMMON STOCK 1,860 $92.75 $172,515.00
Disclosure

SEC source: 0001209191-18-005127 · 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: 25,379

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.

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January 22, 2018 Filed Jan 24, 2018 21:30 UTC
AUERBACH ALAN HDirector · PRESIDENT AND CEO · 10% owner
SaleCOMMON STOCK 10,692 $92.75 $991,683.00
Disclosure

SEC source: 0001209191-18-005125 · 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: 4,155,931

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.

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January 22, 2018 Filed Aug 2, 2018 20:33 UTC Amendment
EYLER CHARLES RSEE REMARKS
SaleCOMMON STOCK 669 $92.85 $62,116.65
Disclosure

SEC source: 0001209191-18-044965 · doc4a.xml · nonDerivative · entry 1

EYLER CHARLES R · CIK 0001358246 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,027

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, 2017 to satisfy tax obligations in connection with the vesting of restricted stock units.

F2 · acquired: This amended Form 4 is filed solely for the purpose of correcting an administrative error in column 4 reporting securities as acquired, instead of disposed of, as reported on the Form 4 filed January 24, 2018.

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