---
schema_version: "secwatch.filing_event.v1"
accession: "0001437749-22-028937"
form_type: "8-K"
ticker: "PBYI"
cik: "0001401667"
company_name: "PUMA BIOTECHNOLOGY, INC."
filed_at: "2022-12-13T23:59:59+00:00"
generated_at: "2026-06-21T05:16:49.056060+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.3
calibrated_materiality_score: 0.3
confidence: "high"
source: SEC EDGAR
---

# Puma Biotechnology sells $2.5M of common stock to CEO Alan Auerbach in private placement

## Summary
- Sold 568,181 shares of common stock to CEO Alan Auerbach at $4.40/share, gross proceeds ~$2.5M.
- Purchase price equaled December 9, 2022 closing price; private placement closed December 12, 2022.
- Shares issued under Section 4(a)(2) exemption, not registered under Securities Act.
- Proceeds for general corporate purposes; no specific use disclosed.

## SEC filing metadata
- accession: 0001437749-22-028937
- form_type: 8-K
- ticker: PBYI
- cik: 0001401667
- company_name: PUMA BIOTECHNOLOGY, INC.
- filed_at: 2022-12-13T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.3
- calibrated_materiality_score: 0.3
- confidence: high
- sec_items: 1.01, 3.02, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1401667/000143774922028937/0001437749-22-028937-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1401667/000143774922028937/pbyi20221212_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001437749-22-028937
- JSON: https://secwatch.observer/filing/0001437749-22-028937.json
- Plain text: https://secwatch.observer/filing/0001437749-22-028937.txt

## Key facts
- Material Agreements
  PUMA BIOTECHNOLOGY, INC. entered into Securities Purchase Agreement with Alan H. Auerbach valued at approximately $2.5 million (effective 2022-12-09).
  - Action: entry
  - Agreement: equity purchase
  - Counterparty: Alan H. Auerbach
  - Value: approximately $2.5 million
  - Effective: 2022-12-09
  source text: On December 9, 2022, Puma Biotechnology, Inc. (the “Company”) entered into a Securities Purchase Agreement (the “Purchase Agreement”) with Alan H. Auerbach, the Company’s President, Chief Executive Officer and Chairman of the Board (the “Purchaser”).
  evidence_url: https://www.sec.gov/Archives/edgar/data/1401667/000143774922028937/0001437749-22-028937-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.