As of November 6, 2026, one holder's latest Schedule 13D or 13G filing report owning 5% or more of Puma Biotechnology, Inc. The largest reported stake is Alan H. Auerbach's, at 16%. 2 filings are on record since March 27, 2026 (Schedule 13D/A, October 6, 2026).
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Puma Biotechnology, Inc. has 2 Schedule 13D or 13G filings on record since 2026-03-27. 1 holder's latest filing reports 5% or more of common stock, par value $0.0001 per share. Each figure below is the holder's own, as filed, with the filing linked.
Holders
| Holder | Percent | Shares | Latest | Event date |
|---|---|---|---|---|
| 16% | 8,648,958 | SCHEDULE 13D/A, 2026-10-06 | 2026-10-04 | |
| The Vanguard Group | 0% | 0 | SCHEDULE 13G/A, 2026-03-27 | 2026-03-13 |
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Companies that share a holder
- The Vanguard Group also filed stake reports on 2384 other companies: BellRing Brands, Inc. (Sep 2026), CAL-MAINE FOODS INC (Sep 2026), FTAI Aviation Ltd. (Sep 2026)
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Voting and dispositive power, as filed
| Reporting person | Sole voting | Shared voting | Sole dispositive | Shared dispositive | Filing |
|---|---|---|---|---|---|
| Alan H. Auerbach | 8,648,958 | 0 | 8,648,958 | 0 | SCHEDULE 13D/A, 2026-10-06 |
The latest filing identifies Puma Biotechnology, Inc. by CUSIP 74587V107 and gives its principal executive office as 10880 Wilshire Boulevard, Suite 1700, Los Angeles, CA 90024 (SCHEDULE 13D/A, 2026-10-06).
Source of funds (Item 3)
Item 3 is hereby supplemented by the following: On October 4, 2026, the warrant previously issued to Alan H. Auerbach on October 4, 2011, as amended on June 15, 2021, to purchase 2,116,250 shares of Common Stock at $16.00 per share expired unexercised pursuant to its terms.Alan H. Auerbach, SCHEDULE 13D/A, 2026-10-06
Purpose of Transaction (Item 4)
Alan H. Auerbach
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) …The first part of Item 4 of the SCHEDULE 13D/A filed 2026-10-06; the filing has the rest
Timeline
| Filed | Holder | Percent | Filing |
|---|---|---|---|
| 2026-03-27 | The Vanguard Group | 0% | SCHEDULE 13G/A |
| 2026-10-06 | Alan H. Auerbach | 16% | SCHEDULE 13D/A |
Questions about who owns Puma Biotechnology, Inc.
Who owns Puma Biotechnology, Inc.?
On this page, one holder's latest ownership filing reports 5% or more of Puma Biotechnology, Inc.: Alan H. Auerbach (16%, Schedule 13D/A, filed 2026-10-06).
When did Alan H. Auerbach buy into Puma Biotechnology, Inc.?
The filings give report dates, not purchase dates. The earliest filing from Alan H. Auerbach on this page is the Schedule 13D/A, filed 2026-10-06, reporting 16%. That earliest filing is itself an amendment, which updates an earlier report.
Is this an audit or a full list?
Neither. The ownership list on this page covers only Schedule 13D and 13G filings, which holders make once they own 5% or more of a class of shares (an amendment can report a stake that has since fallen below 5%); 2 such filings are shown here. It is not an audit and not a full cap table: holders who never reached 5% are not listed, and a stake can change after its latest filing.
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Where this comes from
Anyone who comes to own more than 5% of a class of a listed company's voting shares has to tell the SEC. A holder who may seek to change or influence the company files Schedule 13D, and has to say in Item 4, "Purpose of Transaction", what it intends to do. A holder with no such intent, such as many index and passive funds, may file the shorter Schedule 13G. Both are amended when the stake changes, including when it falls below 5%.
Every row here is one of those filings, linked to the filing itself. Percentages and share counts are exactly as the holder filed them, for the holder the filing names; an amendment showing a lower figure is shown as filed. Item 4 text is quoted word for word. Where a 13D's Item 4 contains a sentence stating a definite intent to influence the company, that sentence is marked and quoted; the page does not describe the holder or its motives beyond the words it filed. Nothing here is investment advice.