Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PUMA BIOTECHNOLOGY, INC.PBYI · Entity 5478 | Chief Commercial Officer | July 22, 2019 | July 24, 2019 |
| Vaxart, Inc.VXRT · Entity 6654 | Director · President, Chief Exec Officer | March 24, 2026 | March 26, 2026 |
| Zosano Pharma CorpZSAN · Entity 12518 | Director · Chief Executive Officer | June 06, 2022 | June 07, 2022 |
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 July 22, 2019 · Filed July 24, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 19,557 |
Reported balance
After 2019-07-22 transaction · row 1
1 source rowRow 1 · 2019-07-22 · Sale · Disposed 1,852 · Balance 19,557 F1: 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: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.04 to $10.07, 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.04 to $10.07, 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.
Vaxart, Inc.
Report date March 24, 2026 · Filed March 26, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,485,606 |
Reported balance
After 2026-03-24 transaction · row 1
1 source rowRow 1 · 2026-03-24 · Tax withholding · Disposed 126,028 · Balance 2,485,606 F1: Represents shares that have been withheld by the Issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of RSUs vested as of March 24, 2026. |
| Common StockSEC Table I · non-derivative | IndirectBy the Lo Family Trust | 100,000 |
Reported balance
Holding disclosure · report date 2026-03-24 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 100,000 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares that have been withheld by the Issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of RSUs vested as of March 24, 2026.
Zosano Pharma Corp
Report date June 06, 2022 · Filed June 07, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 13,163 |
Reported balance
After 2022-06-06 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-06-06 · Sale · Disposed 442 · Balance 13,163 F1: The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of shares subject to restricted stock units of the Issuer. F2: Reflects a 1-for-35 reverse stock split of the Issuer's common stock, effected on April 11, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of shares subject to restricted stock units of the Issuer.
F2: Reflects a 1-for-35 reverse stock split of the Issuer's common stock, effected on April 11, 2022.
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 |
|---|---|---|---|---|---|---|
| March 24, 2026 Filed Mar 26, 2026 20:52 UTC | Vaxart, Inc. VXRT · Entity 6654 | Tax withholdingCommon Stock | 126,028 | $0.69 | $87,463.43 |
DisclosureSEC source: 0001437749-26-009967 · rdgdoc.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Director · President, Chief Exec Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,485,606 F1 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of RSUs vested as of March 24, 2026. Read SEC document |
| March 18, 2026 Filed Mar 20, 2026 19:15 UTC | Vaxart, Inc. VXRT · Entity 6654 | Tax withholdingCommon Stock | 22,425 | $0.63 | $14,230.91 |
DisclosureSEC source: 0001437749-26-009206 · rdgdoc.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Director · President, Chief Exec Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,611,634 F1 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of RSUs vested as of March 18, 2026. Read SEC document |
| March 16, 2026 Filed Mar 19, 2026 01:44 UTC | Vaxart, Inc. VXRT · Entity 6654 | GrantStock Option (right to buy) · Derivative | 1,543,000 | $0.00 Strike: $0.68 | $0.00 |
DisclosureSEC source: 0001437749-26-008925 · rdgdoc.xml · derivative · entry 3 Lo Steven · CIK 0001501959 · Director · President, Chief Exec Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,543,000 Underlying: Common Stock · 1,543,000 shares Expires 2036-03-16 F2 · derivative.exercise_date: The shares subject to this stock option shall vest as to 25% of the shares underlying the grant on March 16, 2027, the first anniversary of the date that vesting commenced, and thereafter in 36 equal monthly installments such that the stock option shall be fully vested on March 16, 2030. Read SEC document |
| March 16, 2026 Filed Mar 19, 2026 01:44 UTC | Vaxart, Inc. VXRT · Entity 6654 | GrantCommon Stock | 846,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-26-008925 · rdgdoc.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Director · President, Chief Exec Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,634,059 F1 · shares: Grant of shares upon vesting of restricted stock units. 25% of the shares underlying the award shall vest on each anniversary of the vesting commencement date of March 16, 2026, so that the restricted stock units would be fully vested on the fourth anniversary of the vesting commencement date. Read SEC document |
| December 04, 2025 Filed Dec 9, 2025 02:43 UTC | Vaxart, Inc. VXRT · Entity 6654 | Tax withholdingCommon Stock | 54,153 | $0.37 | $20,036.61 |
DisclosureSEC source: 0001437749-25-037206 · rdgdoc.xml · nonDerivative · entry 2 Lo Steven · CIK 0001501959 · Director · President, Chief Exec Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,787,559 F3 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of RSUs vested as of December 4, 2025. Read SEC document |
| December 04, 2025 Filed Dec 9, 2025 02:43 UTC | Vaxart, Inc. VXRT · Entity 6654 | GrantCommon Stock | 151,351 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-037206 · rdgdoc.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Director · President, Chief Exec Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,841,712 F1 · shares: Grant of shares upon vesting of restricted stock units, which fully vested on December 4, 2025. F2 · balance_after: This amount includes 57,723 shares acquired under the Vaxart, Inc. 2022 Employee Stock Purchase Plan. Read SEC document |
| May 19, 2025 Filed May 19, 2025 22:49 UTC | Vaxart, Inc. VXRT · Entity 6654 | PurchaseCommon Stock | 100,000 | $0.49 | $49,000.00 |
DisclosureSEC source: 0001437749-25-017678 · rdgdoc.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Director · President, Chief Exec Officer 10b5-1 filing: No plan indicated Ownership: Indirect · By The Lo Family Trust Disclosed balance after: 100,000 F1 · ownership.nature: Represents 100,000 shares held by The Lo Family Trust, of which Mr. Lo is a trustee and a beneficiary. Read SEC document |
| March 24, 2025 Filed Mar 27, 2025 01:54 UTC | Vaxart, Inc. VXRT · Entity 6654 | GrantStock Option (right to buy) · Derivative | 2,108,000 | $0.00 Strike: $0.51 | $0.00 |
DisclosureSEC source: 0001437749-25-009452 · rdgdoc.xml · derivative · entry 2 Lo Steven · CIK 0001501959 · Director · President, Chief Exec Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,108,000 Underlying: Common Stock · 2,108,000 shares Expires 2035-03-24 F2 · derivative.exercise_date: The shares subject to this stock option shall vest as to 25% of the shares underlying the grant on March 24, 2026, the first anniversary of the date that vesting commenced, and thereafter in 36 equal monthly installments such that the stock option shall be fully vested on March 24, 2029. Read SEC document |
| March 24, 2025 Filed Mar 27, 2025 01:54 UTC | Vaxart, Inc. VXRT · Entity 6654 | GrantCommon Stock | 1,405,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-25-009452 · rdgdoc.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Director · President, Chief Exec Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,632,638 F1 · shares: Grant of shares upon vesting of restricted stock units. 25% of the shares underlying the award shall vest on each anniversary of the vesting commencement date of March 24, 2025, so that the restricted stock units would be fully vested on the fourth anniversary of the vesting commencement date. Read SEC document |
| March 18, 2025 Filed Mar 21, 2025 01:28 UTC | Vaxart, Inc. VXRT · Entity 6654 | Tax withholdingCommon Stock | 22,362 | $0.57 | $12,750.81 |
DisclosureSEC source: 0001437749-25-008651 · rdgdoc.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Director · President, Chief Exec Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 227,638 F1 · shares: Represents shares that have been withheld by the Issuer to satisfy its income tax withholding and remittance obligations in connection with the net settlement of RSUs vested as of March 18, 2025. Read SEC document |
| March 18, 2024 Filed Mar 21, 2024 00:03 UTC | Vaxart, Inc. VXRT · Entity 6654 | GrantStock Option (right to buy) · Derivative | 1,000,000 | $0.00 Strike: $1.16 | $0.00 |
DisclosureSEC source: 0001437749-24-008748 · rdgdoc.xml · derivative · entry 2 Lo Steven · CIK 0001501959 · Director · President, Chief Exec Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,000,000 Underlying: Common Stock · 1,000,000 shares Expires 2034-03-17 F2 · derivative.exercise_date: The shares subject to this stock option shall vest as to 25% of the shares underlying the grant on March 18, 2025, the first anniversary of the date that vesting commenced, and thereafter in 36 equal monthly installments such that the stock option shall be fully vested on March 18, 2028. Read SEC document |
| March 18, 2024 Filed Mar 21, 2024 00:03 UTC | Vaxart, Inc. VXRT · Entity 6654 | GrantCommon Stock | 250,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-24-008748 · rdgdoc.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Director · President, Chief Exec Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 250,000 F1 · shares: Grant of shares upon vesting of restricted stock units. Twenty five percent of the shares underlying the award shall vest on each anniversary of the vesting commencement date of March 18, 2024, so that the restricted stock units would be fully vested on the fourth anniversary of the vesting commencement date. Read SEC document |
| June 06, 2022 Filed Jun 7, 2022 23:37 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | SaleCommon Stock | 442 | $0.71 | $313.82 |
DisclosureSEC source: 0000899243-22-021396 · doc4.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,163 F1 · kind: The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of shares subject to restricted stock units of the Issuer. F2 · balance_after: Reflects a 1-for-35 reverse stock split of the Issuer's common stock, effected on April 11, 2022. Read SEC document |
| March 31, 2022 Filed Apr 2, 2022 01:07 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | SaleCommon Stock | 23,633 | $0.21 | $4,965.29 |
DisclosureSEC source: 0001567619-22-007909 · doc1.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 460,709 F1 · kind: The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of shares subject to restricted stock units of the Issuer. Read SEC document |
| October 15, 2021 Filed Oct 20, 2021 01:34 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantStock Option (Right to Buy) · Derivative | 237,500 | $0.00 Strike: $0.63 | $0.00 |
DisclosureSEC source: 0001567619-21-018472 · doc1.xml · derivative · entry 2 Lo Steven · CIK 0001501959 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,500 Underlying: Common Stock · 237,500 shares Expires 2031-10-14 F3 · derivative.exercise_date: The shares subject to the stock option vest and become exercisable in accordance with a performance vesting schedule. Read SEC document |
| October 15, 2021 Filed Oct 20, 2021 01:34 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantCommon Stock | 118,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-018472 · doc1.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 484,342 F1 · shares: Represents Restricted Stock Units ("RSUs"). The Reporting Person is entitled to receive one (1) share of common stock for each one (1) RSU upon the completion of performance vesting. F2 · balance_after: Includes 118,750 RSUs which are subject to performance vesting. Read SEC document |
| June 04, 2021 Filed Jun 7, 2021 22:44 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | SaleCommon Stock | 13,158 | $0.81 | $10,592.19 |
DisclosureSEC source: 0001567619-21-011790 · doc1.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 365,592 F1 · kind: The shares were sold solely to satisfy tax or other government withholding obligations in connection with the vesting of shares subject to Restricted Stock Units of the Issuer. Read SEC document |
| March 30, 2021 Filed Apr 2, 2021 01:33 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantStock Option (Right to Buy) · Derivative | 465,000 | $0.00 Strike: $1.20 | $0.00 |
DisclosureSEC source: 0001567619-21-007415 · doc1.xml · derivative · entry 2 Lo Steven · CIK 0001501959 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 465,000 Underlying: Common Stock · 465,000 shares Expires 2031-03-29 F2 · derivative.exercise_date: The shares underlying the stock option vest in equal monthly installments over a four-year period, beginning on March 30, 2021, so that all shares shall have vested on March 30, 2025. Read SEC document |
| March 30, 2021 Filed Apr 2, 2021 01:33 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantCommon Stock | 232,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001567619-21-007415 · doc1.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 378,750 F1 · shares: Represents restricted stock units which vest in substantially equal annual installments on each of the first four anniversaries of March 30, 2021, subject to the Reporting Person's continued service to the Issuer on each applicable vesting date. Read SEC document |
| March 18, 2021 Filed Mar 19, 2021 22:13 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantStock Option (Right to Buy) · Derivative | 450,000 | $0.00 Strike: $1.37 | $0.00 |
DisclosureSEC source: 0001567619-21-006704 · doc1.xml · derivative · entry 1 Lo Steven · CIK 0001501959 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 450,000 Underlying: Common Stock · 450,000 shares Expires 2031-03-17 F1 · derivative.exercise_date: The?shares?underlying?the?option?vest?in 30 equal installments on each monthly anniversary?of?the?date?of?grant. Read SEC document |
| June 25, 2020 Filed Jun 30, 2020 01:55 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantCommon Stock | 146,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-20-015097 · form4.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,250 F1 · shares: Represents restricted stock units which vest in substantially equal annual installments on each of the first four anniversaries of June 3, 2020, subject to the Reporting Person's continued service to the Issuer on each applicable vesting date. Read SEC document |
| June 03, 2020 Filed Jun 5, 2020 21:11 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantStock Option (Right to Buy) · Derivative | 292,500 | $0.00 Strike: $1.01 | $0.00 |
DisclosureSEC source: 0001567619-20-011814 · doc1.xml · derivative · entry 1 Lo Steven · CIK 0001501959 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 292,500 Underlying: Common Stock · 292,500 shares Expires 2030-06-02 F1 · derivative.exercise_date: The shares underlying the stock option vest in equal monthly installments over a four-year period, beginning on June 3, 2020, so that all shares shall have vested on June 3, 2024. Read SEC document |
| October 21, 2019 Filed Oct 23, 2019 20:28 UTC | Zosano Pharma Corp ZSAN · Entity 12518 | GrantStock Option (Right to Buy) · Derivative | 450,000 | $0.00 Strike: $1.94 | $0.00 |
DisclosureSEC source: 0001567619-19-019924 · doc1.xml · derivative · entry 1 Lo Steven · CIK 0001501959 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 450,000 Underlying: Common Stock · 450,000 shares Expires 2029-10-20 F1 · derivative.exercise_date: 25% of the total number of shares underlying the stock option vest on October 21, 2020, and the remaining underlying shares vest in equal monthly installments over the following three-year period. Read SEC document |
| July 22, 2019 Filed Jul 24, 2019 20:38 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 1,852 | $10.04 | $18,599.64 |
DisclosureSEC source: 0001209191-19-043050 · doc4.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,557 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 $10.04 to $10.07, 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 06, 2019 Filed Feb 8, 2019 22:39 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 36,300 | $0.00 Strike: $27.76 | $0.00 |
DisclosureSEC 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 |
| January 22, 2019 Filed Jan 24, 2019 21:54 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 2,114 | $24.91 | $52,663.55 |
DisclosureSEC 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 |
| July 20, 2018 Filed Jul 24, 2018 21:10 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 1,839 | $51.85 | $95,360.06 |
DisclosureSEC 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 |
| February 11, 2018 Filed Feb 13, 2018 23:02 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 33,000 | $0.00 Strike: $60.85 | $0.00 |
DisclosureSEC 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. Read SEC document |
| January 22, 2018 Filed Jan 24, 2018 21:38 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 1,858 | $92.85 | $172,515.30 |
DisclosureSEC 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. Read SEC document |
| July 20, 2017 Filed Jul 24, 2017 21:16 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 1,990 | $94.90 | $188,852.99 |
DisclosureSEC source: 0001209191-17-046092 · doc4.xml · nonDerivative · entry 1 Lo Steven · CIK 0001501959 · Chief Commercial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,220 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. Read SEC document |
| February 16, 2017 Filed Feb 21, 2017 21:43 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 31,500 | $0.00 Strike: $37.35 | $0.00 |
DisclosureSEC 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). Read SEC document |
| January 20, 2017 Filed Jan 24, 2017 22:56 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCOMMON STOCK | 2,290 | $33.24 | $76,108.38 |
DisclosureSEC 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. Read SEC document |
| October 14, 2016 Filed Oct 15, 2016 01:19 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCOMMON STOCK | 31,500 | $0.00 | $0.00 |
DisclosureSEC 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. 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.