Form D · Biotechnology
PUMA BIOTECHNOLOGY, INC.
Los Angeles, CA · CIK 0001401667
Offering snapshot reported Dec 1, 2011 · SEC filing
- Reported sold
- $5M Offering amount: $5M
- Investors reported
- 139 Form D · investor count
- Minimum accepted
- $15K Reported outside-investor minimum
- First sale
- Nov 18, 2011 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Dec 1, 2011 | Initial | $4,999,751 | No comparison | 139 | SEC filing |
| Oct 12, 2011 | Amendment | $70,000,249 | $0vs Oct 4, 2011 | 28 | SEC filing |
| Oct 4, 2011 | Initial | $70,000,249 | No comparison | 15 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $234K
- Finders' fees
- $0
- Form D file number
- 021-169466
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| LEERINK SWANN LLC | 39011 | |
| NATIONAL SECURITIES CORPORATION | 7569 |
Source: Form D, filed Dec 1, 2011. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Alan H. Auerbach | Director, Executive |
| Charles R. Eyler | Executive |
| Thomas R. Malley | Director |
| Richard Phillips, M.D. | Executive |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
10940 Wilshire Blvd. Suite 600
Los Angeles, CA, 90024
Los Angeles, CA, 90024