# EDGAR Filing Document

**Accession Number:** 0001401667
**File Stem:** 0001437749-23-000699
**Filing Date:** 2023-1
**Character Count:** 8133
**Document Hash:** 25c880722dc0fdc2f05cf712755aa26f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-23-000699.hdr.sgml**: 20230109

**ACCESSION NUMBER**: 0001437749-23-000699

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 101

**CONFORMED PERIOD OF REPORT**: 20230109

**ITEM INFORMATION**: Regulation FD Disclosure

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230109

**DATE AS OF CHANGE**: 20230109

**FILER**: 

**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

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-35703
- **FILM NUMBER:** 23516858

**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

pbyi20230105_8k.htm

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, DC 20549**

**FORM **8-K**

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d)**

**of the Securities Exchange Act of 1934**

**Date of Report (Date of earliest event reported): **January 9, 2023**

## PUMA BIOTECHNOLOGY, INC.
**(Exact Name of Registrant as Specified in its Charter)**

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| | | |
|:---|:---|:---|
| **Delaware** | **001-35703** | **77-0683487** |
| **(State or other jurisdiction**<br> **of incorporation)** | **(Commission**<br> **File Number)** | **(IRS Employer**<br> **Identification No.)** |

---

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| |
|:---|
| **10880 Wilshire Boulevard, Suite 2150**<br> **Los Angeles, **California 90024** |
| **(Address of principal executive offices) (Zip Code)** |

---

**(**424**) **248-6500**

**(Registrant**'**s telephone number, including area code)**

**N/A**

**(Former name or former address, if changed since last report)**

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading**<br> **symbol** | **Name of each exchange**<br> **on which registered** |
| **Common Stock, par value $0.0001 per share** | **PBYI** | **The **Nasdaq** Stock Market LLC**<br> **(Nasdaq Global Select Market)** |

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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| | |
|:---|:---|
| **Item 7.01**  | **Regulation FD Disclosure.** |

---

Beginning on January 9, 2023, Alan H. Auerbach, the Chairman, President, Chief Executive Officer and Secretary of Puma Biotechnology, Inc. (the "Company"), intends to make presentations at investor conferences and in other forums, and these presentations may include the information contained in Exhibit 99.1 attached to this Current Report on Form 8-K. A copy of the presentation slides containing such information that may be disclosed by the Company is attached as Exhibit 99.1 to this report, and the information set forth therein is incorporated herein by reference and constitutes a part of this report.

The information included under Item 7.01 in this Current Report on Form 8-K, including Exhibit 99.1, shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities of that Section, nor shall it be deemed to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended or the Exchange Act, except as expressly set forth by specific reference in such filing.

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| | |
|:---|:---|
| **Item 9.01**  | **Financial Statements and Exhibits.** |

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(d) Exhibits.

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| | |
|:---|:---|
| 99.1 | [Presentation of Puma Biotechnology, Inc., dated January 2023.](ex_461383.htm) |
| 104 | Cover Page Interactive Data File (formatted as inline XBRL). |

---

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**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

---

| | | |
|:---|:---|:---|
|  | PUMA BIOTECHNOLOGY, INC. | PUMA BIOTECHNOLOGY, INC. |
| Date: January 9, 2023 | By: | /s/ Alan H. Auerbach |
|  |  | Alan H. Auerbach |
|  |  | Chief Executive Officer and President |

---

## Exhibit 99.1

**Exhibit 99.1**

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