1 unchanged sentence
Trading Plans
−Removed: During the fiscal quarter ended March 31, 2024, our directors and officers (as defined in Rule 16a - 1 (f) under the Exchange Act) who adopted or terminated contracts, instructions, written plans or arrangements for the purchase or sale of our securities are set forth in the table below:
−Removed: Trading Arrangement
−Removed: Name and Title
−Removed: Rule 10b5 - 1*
−Removed: Non-Rule 10b5 - 1**
−Removed: Total Shares of Common Stock to be Sold
−Removed: Expiration Date
−Removed: Allison Dorval ,
−Removed: March 6, 2 024
−Removed: Up to 11,000 shares
−Removed: June 30, 2024
+Added: During the three months ended June 30, 2024, no director or officer (as defined in Rule 16a - 1 (f) under the Exchange Act) of the Company adopted or terminated a “Rule 10b5 - 1 trading arrangement” or “non-Rule 10b5 - 1 trading arrangement,” as each term is defined in Item 408 (a) of Regulation S-K.
Exhibits required by Item 601 of Regulation S-K.
1 unchanged sentence
Fourth Amended and Restated Bylaws of the Company (filed as Exhibit 3.1 to the Company ’ s Current Report on Form 8-K filed with the SEC on August 18, 2023, and incorporated herein by reference)
−Removed: Seventh Amendment to Note Purchase Agreement and Third Amendment to Disclosure Letter, dated April 12, 2024, by and between the Company and Athyrium Opportunities IV CO-Invest 1 LP, as Administrative Agent
−Removed: Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 with respect to the registrant ’ s Quarterly Report on Form 10-Q for the quarter ended March 31, 2024
−Removed: Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, with respect to the registrant ’ s Quarterly Report on Form 10-Q for the quarter ended March 31, 2024
+Added: Seventh Amendment to Note Purchase Agreement and Third Amendment to Disclosure Letter, dated April 12, 2024, by and between the Company and Athyrium Opportunities IV CO-Invest 1 LP, as Administrative Agent (filed as Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q filed with the SEC on May 2, 2024, and incorporated herein by reference)
+Added: Sixth Amendment to Puma Biotechnology, Inc.
+Added: 2011 Incentive Award Plan (filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K filed with the SEC on June 24, 2024, and incorporated herein by reference)
+Added: Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 with respect to the registrant ’ s Quarterly Report on Form 10-Q for the quarter ended June 30, 2024
+Added: Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002, with respect to the registrant ’ s Quarterly Report on Form 10-Q for the quarter ended June 30, 2024
Certification of Principal Executive Officer pursuant to 18 U.S.C.
11 unchanged sentences
Furnished herewith
+Added: Management contract or compensatory agreement
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
PUMA BIOTECHNOLOGY, INC.
+Added: August 1, 2024
President and Chief Executive Officer
(Principal Executive Officer)
+Added: August 1, 2024
/s/ Maximo F.
3 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.