PUMA BIOTECHNOLOGY, INC. 10-Q

Item 5. OTHER INFORMATION Trading Plans During the fiscal quarter ended March 31, 2025, 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: Trading Arrangement Total Shares of Common Name and Title Action Date Rule 10b5 - 1* Non-Rule 10b5 - 1** Stock to be Sold Expiration Date Allison Dorval , Board Member Adopt March 12, 2025 X Up to 23,220 shares June 18, 2026 Alessandra Cesano , Board Member Adopt March 11, 2025 X Up to 39,150 shares December 18, 2025 Jay Moyes , Board Member Adopt March 12, 2025 X Up to 44,000 shares June 16, 2026 Adrian Senderowicz , Board Member Adopt March 12, 2025 X Up to 54,000 shares June 26, 2026 Brian Stuglik , Board Member Adopt March 12, 2025 X Up to 16,200 shares June 26, 2026 * Intended to satisfy the affirmative defense of Rule 10b5 - 1 (c) ** Not intended to satisfy the affirmative defense of Rule 10b5 - 1 (c) 36 Table of Contents Item 6. EXHIBITS (a) Exhibits required by Item 601 of Regulation S-K. Exhibit Number Description 3.1 Second Amended and Restated Certificate of Incorporation of the Company, as filed with the Secretary of State of the State of Delaware on June 14, 2016 (filed as Exhibit 3.1 to the Company ’ s Current Report on Form 8-K filed with the SEC on June 15, 2016, and incorporated herein by reference) 3.2 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) 31.1+ 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, 2025 31.2+ 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, 2025 32.1++ Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 32.2++ Certification of Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 101.INS+ Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. 101.SCH+ Inline XBRL Taxonomy Extension Schema Document 101.CAL+ Inline XBRL Taxonomy Extension Calculation Linkbase Document 101.DEF+ Inline XBRL Taxonomy Extension Definition Linkbase Document 101.LAB+ Inline XBRL Taxonomy Extension Label Linkbase Document 101.PRE+ Inline XBRL Taxonomy Extension Linkbase Document 104+ Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) + Filed herewith ++ Furnished herewith 37 Table of Contents SIGNATURES 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. Date: May 8, 2025 By: /s/ Alan H. Auerbach Alan H. Auerbach President and Chief Executive Officer (Principal Executive Officer) Date: May 8, 2025 By: /s/ Maximo F. Nougues Maximo Nougues Chief Financial Officer (Principal Financial and Accounting Officer) 38