PUMA BIOTECHNOLOGY, INC. SEC Filing

A company insider filed a Form 144 notice to sell 18,012 shares of common stock through Fidelity Brokerage Services on or about 01/07/2026, with an indicated aggregate market value of $105,892.55.

Rhea-AI Filing Summary

A company insider filed a Form 144 notice to sell 18,012 shares of common stock through Fidelity Brokerage Services on or about 01/07/2026, with an indicated aggregate market value of $105,892.55. The notice cites that there were 50,391,107 shares of this class outstanding, giving context for the size of the planned sale.

The shares to be sold come from restricted stock vesting on 01/02/2026, received from the issuer as compensation, with the same date shown as the payment date. In the past three months, the insider, identified as Alan Auerbach, previously sold 16,938 common shares on 01/06/2026 for $98,978.90.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does this Form 144 filing for PBYI indicate?

It indicates that an insider has filed a notice of intent to sell 18,012 shares of common stock under Rule 144, with an estimated market value of $105,892.55.

How many PBYI shares are planned to be sold in this Rule 144 notice?

The notice covers a planned sale of 18,012 shares of common stock, with trading expected around 01/07/2026 on NASDAQ.

How large is this planned PBYI sale compared to shares outstanding?

The Form 144 reports that 50,391,107 shares of the same class were outstanding, providing a baseline to compare the 18,012-share planned sale.

Who is the insider selling PBYI shares in this filing?

The seller listed is Alan Auerbach, who is shown as the person for whose account the securities are to be sold and as the seller in the recent transaction history.

What prior PBYI share sales by this insider are disclosed?

The filing shows that Alan Auerbach sold 16,938 common shares on 01/06/2026, generating $98,978.90 in gross proceeds.

How were the PBYI shares in this Form 144 acquired?

The 18,012 shares were acquired on 01/02/2026 via restricted stock vesting from the issuer, with the consideration described as compensation.

Which broker is handling the planned PBYI share sale?

The planned sale is listed through Fidelity Brokerage Services LLC, located at 900 Salem Street, Smithfield, RI 02917, with trading on NASDAQ.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 01/07/2026 - 04:28 PM EST Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001358285
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	PUMA BIOTECHNOLOGY, INC.
SEC File Number	001-35703
Address of Issuer	10880 WILSHIRE BLVD. SUITE 2150 LOS ANGELES CALIFORNIA 90024
Phone	(424) 248-6500
Name of Person for Whose Account the Securities are To Be Sold	AUERBACH ALAN H
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer
Relationship to Issuer	Director

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Fidelity Brokerage Services LLC 900 Salem Street Smithfield RI 02917	18012	105892.55	50391107	01/07/2026	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	01/02/2026	Restricted Stock Vesting	Issuer			18012	01/02/2026	Compensation

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Alan Auerbach 10880 Wilshire Boulevard Suite 2150 Los Angeles CA 90024	Common	01/06/2026	16938	98978.90

144: Remarks and Signature

Remarks	Sale includes an amount necessary to cover a tax obligation resulting from the settlement of a vested equity award distribution.
Date of Notice	01/07/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Adam Gehring, as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Alan Auerbach
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)