SEC FORM 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Wong Alvin F

(Last)

(First)

(Middle)

C/O PUMA BIOTECHNOLOGY, INC.

10880 WILSHIRE BOULEVARD, SUITE 2150

(Street)

LOS ANGELES

90024

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
06/15/2021

3. Issuer Name and Ticker or Trading Symbol
PUMA BIOTECHNOLOGY, INC. [ PBYI ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Scientific Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
COMMON STOCK	7,181	D
COMMON STOCK	963⁽¹⁾	D
COMMON STOCK	701⁽²⁾	D
COMMON STOCK	2,888⁽³⁾	D
COMMON STOCK	6,550⁽⁴⁾	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
STOCK OPTION (RIGHT TO BUY)	⁽⁵⁾	03/18/2023	COMMON STOCK	14,000	$28.63	D
STOCK OPTION (RIGHT TO BUY)	⁽⁵⁾	03/14/2024	COMMON STOCK	10,500	$112.8	D
STOCK OPTION (RIGHT TO BUY)	⁽⁵⁾	03/23/2025	COMMON STOCK	10,500	$217.38	D
STOCK OPTION (RIGHT TO BUY)	⁽⁵⁾	11/30/2025	COMMON STOCK	7,035	$73.57	D
STOCK OPTION (RIGHT TO BUY)	⁽⁵⁾	12/01/2026	COMMON STOCK	10,500	$39.5	D

Explanation of Responses:

1. Represents restricted stock units which, subject to the Reporting Person's continued service with the Company through the vesting date, shall vest in full on December 1, 2021.

2. Represents restricted stock units which, subject to the Reporting Person's continued service with the Company through the applicable vesting date, shall vest with respect to one-half (1/2) of the restricted stock units on each of December 1, 2021 and June 1, 2022.

3. Represents restricted stock units which, subject to the Reporting Person's continued service with the Company through the applicable vesting date, shall vest with respect to one-third (1/3) of the restricted stock units on each of December 1, 2021, June 1, 2022 and December 1, 2022.

4. Represents restricted stock units which, subject to the Reporting Person's continued service with the Company through the applicable vesting date, shall vest with respect to (i) one-third (1/3) of the restricted stock units on December 1, 2021 and (ii) one-sixth (1/6) of the restricted stock units on each of June 1, 2022, December 1, 2022, June 1, 2023 and December 1, 2023.

5. The option is currently exercisable.

Remarks:

	/s/ Alvin F. Wong	06/22/2021
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.