Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| PUMA BIOTECHNOLOGY, INC.PBYI · Entity 5478 | Chief Scientific Officer | February 12, 2024 | February 14, 2024 |
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 12, 2024 · Filed February 14, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 141,241 |
Reported balance
After 2024-02-12 transaction · row 1
1 source rowRow 1 · 2024-02-12 · Grant · Acquired 43,307 · Balance 141,241 F1: Represents Restricted Stock Units ("RSUs") that shall vest with respect to one-fourth (1/4th) of the RSUs on each of July 1, 2024, January 1, 2025, July 1, 2025 and January 1, 2026, subject to the Grantee's continued service with the Company through the applicable vesting date. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.36 · Expires 2034-02-11 | Direct | 59,946 |
Reported balance
After 2024-02-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2024-02-12 · Grant · Acquired 59,946 · Balance 59,946 F2: Options shall vest and become exercisable with respect to one-fourth (1/4th) of the shares subject thereto on each of July 1, 2024, January 1, 2025, July 1, 2025 and January 1, 2026, subject to the Optionee's continued service with the Company through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents Restricted Stock Units ("RSUs") that shall vest with respect to one-fourth (1/4th) of the RSUs on each of July 1, 2024, January 1, 2025, July 1, 2025 and January 1, 2026, subject to the Grantee's continued service with the Company through the applicable vesting date.
F2: Options shall vest and become exercisable with respect to one-fourth (1/4th) of the shares subject thereto on each of July 1, 2024, January 1, 2025, July 1, 2025 and January 1, 2026, subject to the Optionee's continued service with the Company through the applicable vesting date.
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 12, 2024 Filed Feb 14, 2024 23:03 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantStock Option (Right to Buy) · Derivative | 59,946 | $0.00 Strike: $6.36 | $0.00 |
DisclosureSEC source: 0001437749-24-004218 · rdgdoc.xml · derivative · entry 2 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59,946 Underlying: Common Stock · 59,946 shares Expires 2034-02-11 F2 · derivative.exercise_date: Options shall vest and become exercisable with respect to one-fourth (1/4th) of the shares subject thereto on each of July 1, 2024, January 1, 2025, July 1, 2025 and January 1, 2026, subject to the Optionee's continued service with the Company through the applicable vesting date. Read SEC document |
| February 12, 2024 Filed Feb 14, 2024 23:03 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCommon Stock | 43,307 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-24-004218 · rdgdoc.xml · nonDerivative · entry 1 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 141,241 F1 · shares: Represents Restricted Stock Units ("RSUs") that shall vest with respect to one-fourth (1/4th) of the RSUs on each of July 1, 2024, January 1, 2025, July 1, 2025 and January 1, 2026, subject to the Grantee's continued service with the Company through the applicable vesting date. Read SEC document |
| January 03, 2024 Filed Jan 6, 2024 00:03 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 7,733 | $4.49 | $34,689.46 |
DisclosureSEC source: 0001437749-24-000776 · rdgdoc.xml · nonDerivative · entry 1 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 98,214 F1 · kind: Adoption date of referenced 10b5-1(c) sell to cover program is: 12-15-2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.3601 to $4.7101, 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 purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| December 04, 2023 Filed Jan 10, 2024 21:41 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 280 | $3.76 | $1,053.02 |
DisclosureSEC source: 0001437749-24-001115 · rdgdoc.xml · nonDerivative · entry 1 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 97,934 F1 · kind: Adoption date of referenced 10b5-1(c) sell to cover program is: 12-15-2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.75 to $3.8401, 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 purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| July 03, 2023 Filed Jul 6, 2023 23:16 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 6,938 | $3.31 | $22,973.11 |
DisclosureSEC source: 0001437749-23-019528 · rdgdoc.xml · nonDerivative · entry 1 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 105,947 F1 · kind: Adoption date of referenced 10b5-1(c) sell to cover program is: 12-15-2020. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.24 to $3.50, 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 purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| June 02, 2023 Filed Jun 6, 2023 20:36 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 269 | $3.45 | $928.00 |
DisclosureSEC source: 0001437749-23-016759 · rdgdoc.xml · nonDerivative · entry 1 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 112,885 F1 · kind: Adoption date of referenced 10b5-1(c) sell to cover program is: 03-12-2021 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.4301 to $3.45, 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 purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| February 10, 2023 Filed Feb 14, 2023 22:00 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantStock Option (Right to Buy) · Derivative | 81,399 | $0.00 Strike: $4.39 | $0.00 |
DisclosureSEC source: 0001437749-23-003388 · rdgdoc.xml · derivative · entry 2 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,399 Underlying: Common Stock · 81,399 shares Expires 2033-02-09 F2 · derivative.exercise_date: Options shall vest and become exercisable with respect to one-fourth (1/4th) of the shares subject thereto on each of July 1, 2023, January 1, 2024, July 1, 2024 and January 1, 2025, subject to the Optionee's continued service with the Company through the applicable vesting date. Read SEC document |
| February 10, 2023 Filed Feb 14, 2023 22:00 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCommon Stock | 58,601 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-23-003388 · rdgdoc.xml · nonDerivative · entry 1 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,154 F1 · shares: Represents Restricted Stock Units ("RSUs") that shall vest with respect to one-fourth (1/4th) of the RSUs on each of July 1, 2023, January 1, 2024, July 1, 2024 and January 1, 2025, subject to the Grantee's continued service with the Company through the applicable vesting date. Read SEC document |
| January 03, 2023 Filed Jan 5, 2023 22:43 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 3,460 | $4.18 | $14,455.53 |
DisclosureSEC source: 0001437749-23-000552 · rdgdoc.xml · nonDerivative · entry 1 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,553 F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units in accordance with the Company's mandatory sale to cover taxes program. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.13 to $4.1922, 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 purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| December 02, 2022 Filed Dec 6, 2022 21:28 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 514 | $4.50 | $2,311.87 |
DisclosureSEC source: 0001437749-22-028557 · rdgdoc.xml · nonDerivative · entry 1 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,013 F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units in accordance with the Company's mandatory sale to cover taxes program. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.4601 to $4.53, 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 purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| July 05, 2022 Filed Jul 8, 2022 00:15 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 2,920 | $2.63 | $7,683.98 |
DisclosureSEC source: 0001437749-22-016846 · rdgdoc.xml · nonDerivative · entry 1 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,527 F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units in accordance with the Company's mandatory sale to cover taxes program. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.60 to $2.70, 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 purchased at each separate price within the ranges set forth in this footnote. Read SEC document |
| June 02, 2022 Filed Jun 6, 2022 21:08 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 587 | $1.92 | $1,129.45 |
DisclosureSEC source: 0001437749-22-014437 · rdgdoc.xml · nonDerivative · entry 1 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,447 F1 · kind: The sales reported in this Form 4 were to satisfy tax obligations in connection with the vesting of restricted stock units in accordance with the Company's mandatory sale to cover taxes program. Read SEC document |
| March 03, 2022 Filed Mar 14, 2022 22:50 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantStock Option (Right to Buy) · Derivative | 64,118 | $0.00 Strike: $2.33 | $0.00 |
DisclosureSEC source: 0001437749-22-006180 · rdgdoc.xml · derivative · entry 2 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,118 Underlying: Common Stock · 64,118 shares Expires 2032-03-02 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 one-fourth (1/4th) of the Shares subject thereto on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024. Read SEC document |
| March 03, 2022 Filed Mar 14, 2022 22:50 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantCommon Stock | 44,882 | $0.00 | $0.00 |
DisclosureSEC source: 0001437749-22-006180 · rdgdoc.xml · nonDerivative · entry 1 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,034 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 one-fourth (1/4th) of the Restricted Stock Units on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024 Read SEC document |
| December 02, 2021 Filed Dec 6, 2021 23:55 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | SaleCommon Stock | 1,131 | $2.91 | $3,294.38 |
DisclosureSEC source: 0001437749-21-027956 · rdgdoc.xml · nonDerivative · entry 1 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,152 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 17, 2021 Filed Jun 23, 2021 00:14 UTC | PUMA BIOTECHNOLOGY, INC. PBYI · Entity 5478 | GrantSTOCK OPTION (RIGHT TO BUY) · Derivative | 90,000 | $0.00 Strike: $10.21 | $0.00 |
DisclosureSEC source: 0001209191-21-042589 · doc4.xml · derivative · entry 1 Wong Alvin F · CIK 0001868855 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,000 Underlying: COMMON STOCK · 90,000 shares Expires 2031-06-16 F1 · derivative.exercise_date: Subject to the Reporting Person's continued employment with the Company through the applicable vesting date, 1/3rd of the shares underlying the option will vest on the first anniversary of June 15, 2021 (the "Option Vesting Commencement Date"), and 1/36th of the shares underlying the option will vest on each monthly anniversary of the Option Vesting Commencement Date thereafter. 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.