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SCHEDULE 13D/A Filed 2026-10-06 Event 2026-10-04 SEC 0001104659-26-114167 →

AUERBACH ALAN H → Puma Biotechnology, Inc. PBYI

Stake: 16.00% Shares: 8,648,958 CUSIP: 74587V107 Class: Common Stock, par value $0.0001 per share

Item 4 — Purpose of Transaction

The information set forth or incorporated in Item 3 above is incorporated herein by reference. From time to time, Mr. Auerbach may acquire beneficial ownership of additional shares of Common Stock or other securities of the Issuer by purchase, as compensation from the Issuer, or otherwise, including, but not limited to, awards of restricted Common Shares, options to purchase Common Shares, and restricted stock units for Common Shares, or dispose of some or all of the shares of Common Stock beneficially owned by Mr. Auerbach in the open market or in privately negotiated transactions (which may be with the Issuer or with third parties) on such terms and at such times as Mr. Auerbach may deem advisable. Mr. Auerbach is the President, Chief Executive Officer and a director of the Issuer. In such capacity, Mr. Auerbach may have influence over the corporate activities of the Issuer and may engage in communications with the Issuer's other directors, members of management and stockholders and third parties regarding the corporate governance, business, operations, strategy or future plans (including proposed corporate transactions of a significant nature) of the Issuer, including any plans or proposals which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D. Except as described in this Schedule 13D, Mr. Auerbach does not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.

Cross-References

Insider Activity (last 365d)
0 transactions
0 buys · 0 sales · 0 awards/exercises
Issuer Cluster
3 13D/G filings on this issuer
2 other filings besides this one
Filer Track Record
3 filings by this filer
2 other filings in the data moat
Short Interest · settle 2026-09-30
DTC 14.02
4,264,923 shares short · -1.3% vs prior

Other 13D/G Filings on Puma Biotechnology, Inc.

FiledFormFilerStakeShares
2022-03-15 SC AUERBACH ALAN H — — view →
2019-02-14 SC AUERBACH ALAN H — — view →

Other Filings by AUERBACH ALAN H

FiledFormIssuerStakeShares
2022-03-15 SC PUMA BIOTECHNOLOGY, INC. PBYI — — view →
2019-02-14 SC PUMA BIOTECHNOLOGY, INC. PBYI — — view →

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