1 unchanged sentence
Trading Plans
−Removed: 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.
+Added: During the three months ended September 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.
1 unchanged sentence
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)
−Removed: Fifth Amendment to Office Lease, dated as of October 27, 2017, by and between the Company and DE PARK AVENUE 10880, LLC
−Removed: Sixth Amendment to Office Lease, dated as of July 23, 2025, by and between the Company and DE PARK AVENUE 10880, LLC
−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 June 30, 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 June 30, 2025
+Added: Eighth Amendment to Note Purchase Agreement and Fourth Amendment to Disclosure Letter, dated October 6, 2025, by and between the Company and Athyrium Opportunities IV Co-Invest 1 LP, as Administrative Agent
+Added: Sixth Amendment to Office Lease, dated July 23, 2025, by and between the Company and DE PARK AVENUE 10880, LLC (filed as Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q filed with the SEC on August 7, 2025, 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 September 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 September 30, 2025
Certification of Principal Executive Officer pursuant to 18 U.S.C.
13 unchanged sentences
PUMA BIOTECHNOLOGY, INC.
−Removed: August 7, 2025
+Added: November 6, 2025
President and Chief Executive Officer
(Principal Executive Officer)
−Removed: August 7, 2025
+Added: November 6, 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.