PUMA BIOTECHNOLOGY, INC. 10-Q

Item 5. OTHER INFORMATION Trading Plans During the three months ended June 30, 2026 , our directors (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 June 16, 2026 X Up to 10,193 shares July 9, 2027 Alessandra Cesano , Board Member Adopt June 15, 2026 X Up to 62,150 shares December 31, 2026 Troy Wilson , Board Member Adopt June 15, 2026 X Up to 18,500 shares June 17, 2027 Adrian Senderowicz , Board Member Adopt June 16, 2026 X Up to 27,000 shares June 25, 2027 48 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 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) 10.1 Ninth Amendment to Note Purchase Agreement and Fifth Amendment to Disclosure Letter, dated April 16, 2026 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 7, 2026, 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 June 30, 2026 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 June 30, 2026 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 49 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: August 6, 2026 By: /s/ Alan H. Auerbach Alan H. Auerbach President and Chief Executive Officer (Principal Executive Officer) Date: August 6, 2026 By: /s/ Maximo F. Nougues Maximo Nougues Chief Financial Officer (Principal Financial and Accounting Officer) 50