Offerings // PUMA BIOTECHNOLOGY, INC.

PBYI offering history

Every offering-related filing in PUMA BIOTECHNOLOGY, INC.’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 1,000 filings back to Oct 22, 2012.

Last executed offering

Dec 13, 2022

8-K — priced deal (shares or notes)

Last registration (announced)

Jul 25, 2022

S-3 — capacity, not a sale

Executed, last 12 months

424B pricings + 8-K 3.02 sales

Registered, last 12 months

S-1/S-3/F-series registrations

Date	Filing		What it means
Dec 13, 2022	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Aug 2, 2022	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Aug 1, 2022	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jul 25, 2022	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Mar 14, 2022	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Nov 4, 2021	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jul 13, 2021	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jul 2, 2021	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Oct 21, 2016	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Oct 20, 2016	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Oct 18, 2016	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jan 22, 2015	424B2 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Jan 20, 2015	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Jan 20, 2015	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Feb 11, 2014	424B1 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)
Feb 10, 2014	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Feb 10, 2014	S-3MEF →	REGISTERED	S-3MEF registration — capacity to sell shares, not a sale yet
Feb 10, 2014	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jan 29, 2014	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Apr 12, 2013	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Apr 11, 2013	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Feb 21, 2013	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 14, 2012	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Oct 24, 2012	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital

PBYI offering-related filings from SEC EDGAR, newest first (capped at 40). Each links to the original document.

Two honest limits. (1) A 424B takedown can price shares or notes— EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.

Is a shelf active now? →Do they need money? →Red flags →Full PBYI workspace →

PBYI offering FAQ

When did PBYI last execute an offering?

Per SEC filings, PUMA BIOTECHNOLOGY, INC.'s most recent priced offering document is a 8-K filed 2022-12-13. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did PBYI last announce or register an offering?

The most recent registration is a S-3 filed 2022-07-25. A registration is capacity to sell shares — not a sale.

Does an offering always mean dilution?

Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.