Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PUMA BIOTECHNOLOGY, INC.PBYI · Entity 5478 | SEE REMARKS | April 05, 2021 | April 06, 2021 |
| Rain Oncology Inc.RAIN · Entity 94695 | Chief Medical Officer | February 15, 2023 | February 17, 2023 |
| enGene Therapeutics Inc.ENGN · Entity 6638 | Chief Medical Officer | November 30, 2023 | December 04, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
PUMA BIOTECHNOLOGY, INC.
Report date April 05, 2021 · Filed April 06, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 121,662 |
Reported balance
After 2021-04-05 transaction · row 1
1 source rowRow 1 · 2021-04-05 · Sale · Disposed 426 · Balance 121,662 F1: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units. |
Filing footnotes · ownership attribution and instrument terms
F1: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units.
Rain Oncology Inc.
Report date February 15, 2023 · Filed February 17, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.30 · Expires 2033-02-15 | Direct | 110,000 |
Reported balance
After 2023-02-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-02-15 · Grant · Acquired 110,000 · Balance 110,000 F1: This option represents a right to purchase a total of 110,000 shares of the Issuer's common stock, one quarter of which will vest on February 15, 2024, with the remaining three quarters vesting in equal monthly installments through February 15, 2027, subject to the Reporting Person's continued service to the Issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: This option represents a right to purchase a total of 110,000 shares of the Issuer's common stock, one quarter of which will vest on February 15, 2024, with the remaining three quarters vesting in equal monthly installments through February 15, 2027, subject to the Reporting Person's continued service to the Issuer.
enGene Therapeutics Inc.
Report date November 30, 2023 · Filed December 04, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.66 · Expires 2033-11-30 | Direct | 153,000 |
Reported balance
After 2023-11-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-11-30 · Grant · Acquired 153,000 · Balance 153,000 F1: This option vests at 25% on the first anniversary of the grant date, with the remaining portion to vest monthly over the remaining three years. |
Filing footnotes · ownership attribution and instrument terms
F1: This option vests at 25% on the first anniversary of the grant date, with the remaining portion to vest monthly over the remaining three years.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 30, 2023 Filed Dec 4, 2023 17:55 UTC | enGene Therapeutics Inc. ENGN · Entity 6638 | GrantStock Option (Right to Buy) · Derivative | 153,000 | $0.00 Strike: $7.66 | $0.00 |
DisclosureSEC source: 0000929638-23-003341 · form4.xml · derivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · Chief Medical Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 153,000 Underlying: Common Shares · 153,000 shares Expires 2033-11-30 F1 · derivative.exercise_date: This option vests at 25% on the first anniversary of the grant date, with the remaining portion to vest monthly over the remaining three years. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 18:21 UTC | Rain Oncology Inc. RAIN · Entity 94695 | GrantStock Option (Right to Buy) · Derivative | 110,000 | $0.00 Strike: $9.30 | $0.00 |
DisclosureSEC source: 0001104659-23-023388 · tm237300-3_4seq1.xml · derivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,000 Underlying: Common Stock · 110,000 shares Expires 2033-02-15 F1 · derivative.exercise_date: This option represents a right to purchase a total of 110,000 shares of the Issuer's common stock, one quarter of which will vest on February 15, 2024, with the remaining three quarters vesting in equal monthly installments through February 15, 2027, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| January 07, 2022 Filed Feb 4, 2022 16:40 UTC | Rain Oncology Inc. RAIN · Entity 94695 | GrantStock Option (Right to Buy) · Derivative | 53,064 | $0.00 Strike: $12.01 | $0.00 |
DisclosureSEC source: 0000899243-22-004836 · doc4.xml · derivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,064 Underlying: Common Stock · 53,064 shares Expires 2032-01-07 F1 · derivative.exercise_date: This option represents a right to purchase a total of 53,064 shares of the Issuer's common stock, one quarter of which will vest on January 7, 2023, with the remaining three quarters vesting in equal monthly installments through January 7, 2026, subject to the Reporting Person's continued service to the Issuer. Read SEC document |
| April 05, 2021 Filed Apr 6, 2021 21:54 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 426 | $9.80 | $4,176.04 |
DisclosureSEC source: 0001209191-21-025726 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,662 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 02, 2021 Filed Mar 4, 2021 21:40 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 422 | $10.15 | $4,283.30 |
DisclosureSEC source: 0001209191-21-017836 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,088 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 17, 2021 Filed Feb 19, 2021 23:22 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 74,341 | $0.00 Strike: $12.02 | $0.00 |
DisclosureSEC source: 0001209191-21-012523 · doc4.xml · derivative · entry 2 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,341 Underlying: COMMON STOCK · 74,341 shares Expires 2031-02-16 F2 · derivative.exercise_date: 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. Read SEC document |
| February 17, 2021 Filed Feb 19, 2021 23:22 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCOMMON STOCK | 52,846 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-012523 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,510 F1 · shares: 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. Read SEC document |
| February 02, 2021 Filed Feb 4, 2021 00:39 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 415 | $12.23 | $5,075.95 |
DisclosureSEC source: 0001209191-21-007534 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,664 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 $12.2306 to $12.2480, 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 range set forth in this footnote. Read SEC document |
| January 04, 2021 Filed Jan 6, 2021 23:36 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 6,548 | $10.23 | $67,016.16 |
DisclosureSEC source: 0001209191-21-002327 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,079 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 $10.17 to $10.28, 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 range set forth in this footnote. Read SEC document |
| December 02, 2020 Filed Dec 4, 2020 21:34 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 92 | $11.65 | $1,071.80 |
DisclosureSEC source: 0001209191-20-061811 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,627 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 |
| November 02, 2020 Filed Nov 4, 2020 00:28 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 97 | $7.81 | $757.57 |
DisclosureSEC source: 0001209191-20-056784 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,719 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 |
| October 02, 2020 Filed Oct 5, 2020 21:25 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 91 | $10.14 | $923.10 |
DisclosureSEC source: 0001209191-20-053766 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,816 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 |
| September 02, 2020 Filed Sep 3, 2020 21:27 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 90 | $9.77 | $879.30 |
DisclosureSEC source: 0001209191-20-049481 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,907 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 |
| August 03, 2020 Filed Aug 5, 2020 20:35 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 86 | $10.80 | $928.80 |
DisclosureSEC source: 0001209191-20-045120 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,997 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 |
| July 02, 2020 Filed Jul 7, 2020 00:02 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 660 | $10.67 | $7,040.42 |
DisclosureSEC source: 0001209191-20-041329 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,083 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 $10.5701 to $10.6676, 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 02, 2020 Filed Jun 3, 2020 21:26 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 89 | $10.66 | $948.74 |
DisclosureSEC source: 0001209191-20-034136 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,743 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 04, 2020 Filed May 6, 2020 20:55 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 89 | $9.62 | $856.19 |
DisclosureSEC source: 0001209191-20-027503 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,832 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, 2020 Filed Apr 3, 2020 20:42 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 91 | $7.37 | $670.68 |
DisclosureSEC source: 0001209191-20-023194 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,921 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 02, 2020 Filed Mar 3, 2020 21:41 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 96 | $10.02 | $962.15 |
DisclosureSEC source: 0001209191-20-015251 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,012 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 11, 2020 Filed Feb 14, 2020 00:59 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 54,842 | $0.00 Strike: $12.34 | $0.00 |
DisclosureSEC source: 0001209191-20-009445 · doc4.xml · derivative · entry 2 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,842 Underlying: COMMON STOCK · 54,842 shares Expires 2030-02-10 F2 · derivative.exercise_date: The vesting commencement date ("Option Vesting Commencement Date") of the option is January 1, 2020. 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 11, 2020 Filed Feb 14, 2020 00:59 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCOMMON STOCK | 43,274 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-009445 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,108 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, 2020 ("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. Read SEC document |
| February 03, 2020 Filed Feb 4, 2020 22:41 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 105 | $8.02 | $841.58 |
DisclosureSEC source: 0001209191-20-006488 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,834 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 02, 2020 Filed Jan 3, 2020 21:31 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 1,514 | $8.40 | $12,717.60 |
DisclosureSEC source: 0001209191-20-001000 · doc4.xml · nonDerivative · entry 2 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,939 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 02, 2020 Filed Jan 3, 2020 21:31 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 2 | $8.36 | $16.72 |
DisclosureSEC source: 0001209191-20-001000 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,453 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 02, 2019 Filed Dec 4, 2019 01:53 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 83 | $10.34 | $858.23 |
DisclosureSEC source: 0001209191-19-058925 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,455 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 |
| November 04, 2019 Filed Nov 5, 2019 21:34 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 88 | $7.38 | $649.45 |
DisclosureSEC source: 0001209191-19-055216 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,538 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 |
| October 02, 2019 Filed Oct 3, 2019 20:35 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 91 | $10.05 | $914.55 |
DisclosureSEC source: 0001209191-19-052231 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,626 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 |
| September 04, 2019 Filed Sep 5, 2019 20:51 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 95 | $10.11 | $960.45 |
DisclosureSEC source: 0001209191-19-048558 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,717 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 |
| August 02, 2019 Filed Aug 5, 2019 22:20 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 94 | $9.00 | $846.00 |
DisclosureSEC source: 0001209191-19-044681 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,812 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 |
| July 22, 2019 Filed Jul 24, 2019 20:36 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 1,841 | $10.10 | $18,588.76 |
DisclosureSEC source: 0001209191-19-043049 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,906 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 $10.06 to $10.10, 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 02, 2019 Filed Jul 3, 2019 22:05 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 89 | $12.78 | $1,137.42 |
DisclosureSEC source: 0001209191-19-041266 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,747 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 |
| June 03, 2019 Filed Jun 6, 2019 00:04 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 88 | $15.07 | $1,326.16 |
DisclosureSEC source: 0001209191-19-034961 · doc4.xml · nonDerivative · entry 1 BRYCE RICHARD PAUL · CIK 0001553037 · SEE REMARKS 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,836 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 | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 85 | $32.38 | $2,752.31 |
DisclosureSEC 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 |
| April 02, 2019 Filed Apr 3, 2019 21:00 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 88 | $35.78 | $3,148.65 |
DisclosureSEC 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 |
| March 04, 2019 Filed Mar 22, 2019 20:53 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 88 | $38.66 | $3,402.08 |
DisclosureSEC 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 22:34 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 15,400 | $0.00 Strike: $27.76 | $0.00 |
DisclosureSEC 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 | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCOMMON STOCK | 9,900 | $0.00 | $0.00 |
DisclosureSEC 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 04, 2019 Filed Feb 6, 2019 21:34 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 89 | $27.77 | $2,471.53 |
DisclosureSEC 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 |
| January 22, 2019 Filed Jan 24, 2019 21:47 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 1,959 | $24.72 | $48,426.48 |
DisclosureSEC 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 03, 2019 Filed Jan 4, 2019 22:08 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 1,210 | $20.67 | $25,010.70 |
DisclosureSEC 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 |
| July 20, 2018 Filed Jul 24, 2018 21:03 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 1,836 | $51.95 | $95,381.30 |
DisclosureSEC 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 |
| February 11, 2018 Filed Feb 13, 2018 22:57 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 14,000 | $0.00 Strike: $60.85 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 11, 2018 Filed Feb 13, 2018 22:57 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCOMMON STOCK | 9,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 11, 2018 Filed Mar 7, 2018 21:34 UTC Amendment | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCOMMON STOCK | 9,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| January 22, 2018 Filed Jan 24, 2018 21:33 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 1,860 | $92.75 | $172,515.00 |
DisclosureSEC 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. Read SEC document |
| September 29, 2017 Filed Oct 2, 2017 20:24 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative | 15,000 | $0.00 Strike: $11.30 | $0.00 |
DisclosureSEC source: 0001209191-17-054619 · doc4.xml · derivative · entry 3 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,000 Underlying: COMMON STOCK · 15,000 shares Expires 2022-06-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option is fully vested and is exercisable. Read SEC document |
| September 29, 2017 Filed Oct 2, 2017 20:24 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 15,000 | $120.00 | $1,800,000.00 |
DisclosureSEC source: 0001209191-17-054619 · doc4.xml · nonDerivative · entry 2 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,239 F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| September 29, 2017 Filed Oct 2, 2017 20:24 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | Exercise / conversionCOMMON STOCK | 15,000 | $11.30 | $169,500.00 |
DisclosureSEC source: 0001209191-17-054619 · 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: 42,239 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 07, 2017 Filed Sep 8, 2017 20:11 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | Exercise / conversionSTOCK OPTION (RIGHT TO BUY) · Derivative | 14,000 | $0.00 Strike: $11.30 | $0.00 |
DisclosureSEC source: 0001209191-17-052039 · doc4.xml · derivative · entry 6 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,000 Underlying: COMMON STOCK · 14,000 shares Expires 2022-06-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option is fully vested and is exercisable. Read SEC document |
| September 07, 2017 Filed Sep 8, 2017 20:11 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 14,000 | $100.10 | $1,401,400.00 |
DisclosureSEC source: 0001209191-17-052039 · doc4.xml · nonDerivative · entry 4 BRYCE RICHARD PAUL · CIK 0001553037 · SR VP, CLINICAL RESEARCH & DEV 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,239 F1 · kind: The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person. 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.