Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PUMA BIOTECHNOLOGY, INC.PBYI · Entity 5478 | See Remarks | February 16, 2017 | February 21, 2017 |
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 February 16, 2017 · Filed February 21, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| STOCK OPTION (RIGHT TO BUY)SEC Table II · derivative / convertible security · Conversion / exercise price $37.35 · Expires 2027-02-15 | Direct | 15,750 |
Reported balance
After 2017-02-16 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-02-16 · Grant · Acquired 15,750 · Balance 15,750 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
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 |
|---|---|---|---|---|---|---|
| February 16, 2017 Filed Feb 21, 2017 21:47 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 15,750 | $0.00 Strike: $37.35 | $0.00 |
DisclosureSEC 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. Read SEC document |
| February 01, 2017 Filed Feb 2, 2017 22:43 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 2,008 | $31.85 | $63,954.80 |
DisclosureSEC 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. Read SEC document |
| February 01, 2017 Filed Feb 2, 2017 22:43 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 1,000 | $31.80 | $31,800.00 |
DisclosureSEC 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. Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 22:52 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 2,293 | $33.24 | $76,208.08 |
DisclosureSEC 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 Feb 2, 2017 22:41 UTC Amendment | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 2,239 | $33.24 | $74,413.39 |
DisclosureSEC 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. Read SEC document |
| October 14, 2016 Filed Oct 15, 2016 01:16 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCOMMON STOCK | 31,500 | $0.00 | $0.00 |
DisclosureSEC 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. 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.