false 0001401667 0001401667 2023-06-13 2023-06-13
 
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): June 13, 2023
 
PUMA BIOTECHNOLOGY, INC.
(Exact Name of Registrant as Specified in its Charter)
         
Delaware
  
001-35703
  
77-0683487
(State or other jurisdiction
of incorporation)
  
(Commission
File Number)
  
(IRS Employer
Identification No.)
 
10880 Wilshire Boulevard, Suite 2150
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:
 
Title of each class
  
Trading
symbol
  
Name of each exchange
on which registered
Common Stock, par value $0.0001 per share
  
PBYI
  
The Nasdaq Stock Market LLC
(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. ☐
 
 
 
 
Item 5.07. Submission of Matters to a Vote of Security Holders.
 
 
(a)
Puma Biotechnology, Inc., a Delaware corporation (the “Company”), held the 2023 Annual Meeting of Stockholders (the “2023 Annual Meeting”) of the Company on June 13, 2023 at the Company’s principal executive offices, 10880 Wilshire Blvd., Suite 2150, Los Angeles, California.
 
 
(b)
The following proposals were voted upon at the 2023 Annual Meeting, and the final voting results with respect to each such proposal are set forth below:
 
Proposal 1:
The Company’s stockholders elected the eight nominated directors identified below, each to serve and to hold office for a one-year term until the close of the Company’s next annual meeting of stockholders in 2024 and until their successors have been duly elected and qualified or until their earlier resignation or removal.
 
Nominee
For
Withheld
Broker
Non-Votes
Alan H. Auerbach
30,178,897
631,556
8,447,026
Alessandra Cesano
30,203,447
607,006
8,447,026
Allison Dorval
30,159,595
650,858
8,447,026
Michael P. Miller
30,024,166
786,287
8,447,026
Jay M. Moyes
30,138,689
671,764
8,447,026
Adrian M. Senderowicz
30,024,571
785,882
8,447,026
Brian Stuglik
27,223,850
3,586,603
8,447,026
Troy E. Wilson
26,825,653
3,984,800
8,447,026
 
Proposal 2:
The Company’s stockholders ratified the selection of KPMG LLP as the Company’s independent registered accounting firm for the fiscal year ending December 31, 2023.
 
For
Against
Abstain
Broker
Non-Votes
39,051,453
113,960
92,066
0
 
Proposal 3:
The Company’s stockholders voted to approve, on an advisory basis, the compensation of the Company’s named executive officers.
 
For
Against
Abstain
Broker
Non-Votes
28,584,098
2,112,789
113,566
8,447,026
 
 
 
 
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.
Date: June 15, 2023                           
By:
/s/ Alan H. Auerbach
Alan H. Auerbach
Chief Executive Officer and President
 
 
Puma Biotechnology (NASDAQ:PBYI)
Historical Stock Chart
From Jun 2024 to Jul 2024 Click Here for more Puma Biotechnology Charts.
Puma Biotechnology (NASDAQ:PBYI)
Historical Stock Chart
From Jul 2023 to Jul 2024 Click Here for more Puma Biotechnology Charts.