1 unchanged sentence
Trading Plans
−Removed: 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:
−Removed: Trading Arrangement Total Shares of Common
−Removed: Name and Title
−Removed: Rule 10b5 - 1*
−Removed: Non-Rule 10b5 - 1**
−Removed: Stock to be Sold
−Removed: Expiration Date
−Removed: Allison Dorval , Board Member
−Removed: March 12, 2025
−Removed: Up to 23,220 shares
−Removed: June 18, 2026
−Removed: Alessandra Cesano , Board Member
−Removed: March 11, 2025
−Removed: Up to 39,150 shares
−Removed: December 18, 2025
−Removed: Jay Moyes , Board Member
−Removed: March 12, 2025
−Removed: Up to 44,000 shares
−Removed: June 16, 2026
−Removed: Adrian Senderowicz , Board Member
−Removed: March 12, 2025
−Removed: Up to 54,000 shares
−Removed: June 26, 2026
−Removed: Brian Stuglik , Board Member
−Removed: March 12, 2025
−Removed: Up to 16,200 shares
−Removed: June 26, 2026
−Removed: * Intended to satisfy the affirmative defense of Rule 10b5 - 1 (c)
−Removed: ** Not intended to satisfy the affirmative defense of Rule 10b5 - 1 (c)
+Added: During the three months ended June 30, 2025, 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.
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)
−Removed: 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: 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
−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, 2025
+Added: Fifth 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 June 24, 2025, and incorporated herein by reference)
+Added: Fifth Amendment to Office Lease, dated as of October 27, 2017, by and between the Company and DE PARK AVENUE 10880, LLC
+Added: Sixth Amendment to Office Lease, dated as of July 23, 2025, by and between the Company and DE PARK AVENUE 10880, LLC
+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, 2025
+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, 2025
Certification of Principal Executive Officer pursuant to 18 U.S.C.
13 unchanged sentences
PUMA BIOTECHNOLOGY, INC.
+Added: August 7, 2025
President and Chief Executive Officer
(Principal Executive Officer)
+Added: August 7, 2025
/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.