<SEC-DOCUMENT>0001437749-22-006207.txt : 20220314
<SEC-HEADER>0001437749-22-006207.hdr.sgml : 20220314
<ACCEPTANCE-DATETIME>20220314195852
ACCESSION NUMBER:		0001437749-22-006207
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20220303
FILED AS OF DATE:		20220314
DATE AS OF CHANGE:		20220314

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			AUERBACH ALAN H
		CENTRAL INDEX KEY:			0001358285

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-35703
		FILM NUMBER:		22738427

	MAIL ADDRESS:	
		STREET 1:		10940 WILSHIRE BLVD. SUITE 600
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90024

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			PUMA BIOTECHNOLOGY, INC.
		CENTRAL INDEX KEY:			0001401667
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				770683487
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	BUSINESS ADDRESS:	
		STREET 1:		10880 WILSHIRE BLVD.
		STREET 2:		SUITE 2150
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90024
		BUSINESS PHONE:		(424) 248-6500

	MAIL ADDRESS:	
		STREET 1:		10880 WILSHIRE BLVD.
		STREET 2:		SUITE 2150
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90024

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	INNOVATIVE ACQUISITIONS CORP
		DATE OF NAME CHANGE:	20070601
</SEC-HEADER>
<DOCUMENT>
<TYPE>4
<SEQUENCE>1
<FILENAME>rdgdoc.xml
<DESCRIPTION>FORM 4
<TEXT>
<XML>
<?xml version="1.0"?>
<ownershipDocument>

    <schemaVersion>X0306</schemaVersion>

    <documentType>4</documentType>

    <periodOfReport>2022-03-03</periodOfReport>

    <issuer>
        <issuerCik>0001401667</issuerCik>
        <issuerName>PUMA BIOTECHNOLOGY, INC.</issuerName>
        <issuerTradingSymbol>PBYI</issuerTradingSymbol>
    </issuer>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001358285</rptOwnerCik>
            <rptOwnerName>AUERBACH ALAN H</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>C/O PUMA BIOTECHNOLOGY, INC.</rptOwnerStreet1>
            <rptOwnerStreet2>10880 WILSHIRE BLVD., SUITE 2150</rptOwnerStreet2>
            <rptOwnerCity>LOS ANGELES</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>90024</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>1</isDirector>
            <isOfficer>1</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <officerTitle>President and CEO</officerTitle>
        </reportingOwnerRelationship>
    </reportingOwner>

    <nonDerivativeTable>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <transactionDate>
                <value>2022-03-03</value>
            </transactionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>A</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionAmounts>
                <transactionShares>
                    <value>168824</value>
                    <footnoteId id="F1"/>
                </transactionShares>
                <transactionPricePerShare>
                    <value>0</value>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>4555639</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                </directOrIndirectOwnership>
            </ownershipNature>
        </nonDerivativeTransaction>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <transactionDate>
                <value>2022-03-10</value>
            </transactionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>A</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionAmounts>
                <transactionShares>
                    <value>1792114</value>
                </transactionShares>
                <transactionPricePerShare>
                    <value>2.79</value>
                    <footnoteId id="F2"/>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>6347753</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                </directOrIndirectOwnership>
            </ownershipNature>
        </nonDerivativeTransaction>
    </nonDerivativeTable>

    <derivativeTable>
        <derivativeTransaction>
            <securityTitle>
                <value>Stock Option (Right to Buy)</value>
            </securityTitle>
            <conversionOrExercisePrice>
                <value>2.33</value>
            </conversionOrExercisePrice>
            <transactionDate>
                <value>2022-03-03</value>
            </transactionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>A</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionAmounts>
                <transactionShares>
                    <value>241176</value>
                </transactionShares>
                <transactionPricePerShare>
                    <value>0</value>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <exerciseDate>
                <footnoteId id="F3"/>
            </exerciseDate>
            <expirationDate>
                <value>2032-03-02</value>
            </expirationDate>
            <underlyingSecurity>
                <underlyingSecurityTitle>
                    <value>Common Stock</value>
                </underlyingSecurityTitle>
                <underlyingSecurityShares>
                    <value>241176</value>
                </underlyingSecurityShares>
            </underlyingSecurity>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>241176</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                </directOrIndirectOwnership>
            </ownershipNature>
        </derivativeTransaction>
    </derivativeTable>

    <footnotes>
        <footnote id="F1">Subject to the Grantee's continued status as an Employee, the Restricted Stock Units shall vest with respect to one-fourth (1/4th) of the Restricted Stock Units on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024, subject to acceleration in certain events.</footnote>
        <footnote id="F2">On March 8, 2022, the Issuer entered into a Securities Purchase Agreement with certain purchasers, including the Reporting Person. Shares were purchased at $2.79 per share and issued at closing on March 10, 2022.</footnote>
        <footnote id="F3">Subject to the Optionee's continued status as an Employee, the Option shall vest and become exercisable with respect to one-fourth (1/4th) of the Shares (as defined in the Plan) subject thereto on each of July 1, 2022, January 1, 2023, July 1, 2023 and January 1, 2024, subject to acceleration in certain events.</footnote>
    </footnotes>

    <ownerSignature>
        <signatureName>/s/ Alan H. Auerbach</signatureName>
        <signatureDate>2022-03-14</signatureDate>
    </ownerSignature>
</ownershipDocument>
</XML>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
