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Insiders 1st of many sales since this run up.
Nothing wrong with taking profits!
Expect a lot more of this in the next week or two
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: December 31, 2014
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Viswanath Sri
(Last) (First) (Middle)
C/O GROUPON, INC.
600 WEST CHICAGO AVENUE, SUITE 620
(Street)
CHICAGO IL 60654
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Groupon, Inc. [ GRPN ] 5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP Engineering and Operations
3. Date of Earliest Transaction (Month/Day/Year)
10/31/2014
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Class A Common Stock 10/31/2014 M 62,500 A $7.31 127,417 D
Class A Common Stock 10/31/2014 F(1) 23,619 D $7.31 103,798 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Restricted Stock Units (2) 10/31/2014 M 62,500 07/13/2013(3) (3) Class A Common Stock 62,500 $0.0000 625,000 D
Restricted Stock Units (2) 12/31/2014(4) (4) Class A Common Stock 270,000 270,000 D
Explanation of Responses:
1. Shares withheld by the issuer to satisfy the mandatory tax withholding requirement upon vesting of restricted stock units. This is not an open market sale of securities.
2. Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock.
3. 62,500 of the restricted stock units reported on this line vested on July 13, 2013, and the remaining restricted stock units vest quarterly in 15 equal installments, beginning on October 31, 2013, subject to Mr. Viswanath's continued employment with the Company through each vesting date.
4. 120,000 of the restricted stock units reported on this line will vest on December 31, 2014, 17,500 of the restricted stock units will vest quarterly beginning on March 31, 2015, during calendar year 2015, 7,500 of the restricted stock units will vest quarterly beginning on March 31, 2016, during calendar year 2016, and 12,500 of the restricted stock units will vest quarterly beginning on March 31, 2017, during calendar year 2017, in each case subject to Mr. Viswanath's continued employment with the Company through each vesting date.
/s/ Daniel L. Horwood, by Power of Attorney 11/04/2014
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
If $PBYI breaks under $200 there may be something wrong that we don't know about.
If it breaks under $190...........it could be toast!
Hey management...Status report por favor! What up?
If the report comes in badly it should either stay the same or go down just a tad.
If the report comes in favorably PLPL can rally big time. At least 10c to 25c.
Money should be on a good report
$plpl has untilll Wednesday to file. They wont be late.. No pink sheet! Relax
Shorts see what's coming:
VVVVVVVV
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Article on Seeking Alpha.
ByPoonam A. Arora:
Investment Conclusion. This week, Puma Biotechnology (NYSE:PBYI) reported data from its ExteNET study on Neratinib in the adjuvant setting as 2nd year treatment following a full year of Herceptin therapy for HER2+ breast cancer. The data indicated 33% and 37% improvement over placebo for the overall and subgroup populations. However, the read out was missing DFS figures required to reach any conclusions on the strength of the results. In addition, in the HERA study that evaluated Herceptin as 2nd year treatment following a 1st full year of the drug, the DFS at 3 years follow up approached 89%. Therefore, Neratinib would have to handily beat that statistic for payors to reimburse the drug after a full year of Herceptin, particularly because the HERA study showed no benefit of 2nd year treatment with Herceptin following 1 year with the drug.
Entrepreneurs eye marijuana markets
Article from USA TODAY:
Entrepreneurs eye marijuana markets
http://usat.ly/1vFPTjX
Plandai Biotechnology : Expects Pfizer Viagra Patent Ruling Will Aid in Developing All-Natural Substitute to Treat Erectile Dysfunction
09/29/2014 | 09:00am US/Eastern
Recommend:
0
NEW YORK, NY--(Marketwired - Sep 29, 2014) - Plandaí Biotechnology (OTCQB: PLPL) has already begun cultivating and cloning the epimedium plants it recently acquired as part of its preliminary plans to develop and test what it anticipates will be an all-natural substitute for the widely popular erectile dysfunction (ED) drugs Viagra®, Cialis® and Levitra®.
But why epimedium? Well, the company is working with a strain of the plant that has high levels of icariin, epimedium's primary active constituent which studies have shown may treat ED. Now, figure in the company's unique and proprietary extraction process, and Plandaí is confident it can develop a genetically pure, high icariin content Phytofare™ extract for ED.
Epimedium, also known as horny goat weed among other names, gained notoriety as an option for ED, which affects many millions of men worldwide, after it was used in a patent infringement case to rescind parts of the US Viagra patent (Patent 6,469,012) based on historic use in Chinese medicine.
Pfizer, Inc., the maker of Viagra, claims that its drug was the first medical example of a PDE5 inhibitor which treated ED, and therefore claimed patent protection from all similar PDE5 inhibitors. Sildenafil, the active ingredient in Viagra, is the PDE5 inhibitor Pfizer claimed was the first example of the inhibitor to treat ED, but Patent examiners used epimedium and its PDE5 inhibitor, icariin, as an example of prior use and rescinded those portions of the patent.
For those interested in the science, PDE5 inhibitors block an enzyme that affects the smooth muscles in certain tissues, such as those responsible for causing erections. Blocking the enzyme increases the blood flow to those tissues.
Like its Phytofare™ Catechin Complex, a green tea extract, Plandaí expects that its process will enhance epimedium's absorption and retention in the bloodstream offering those suffering from ED with an all-natural, and potentially safer substitute for the drugs sold by big pharma.
The company's expectation, assuming the ED product would be effective and safe after conducting research, development and testing, would be to market and sell the extract as an active ingredient to pharmaceutical and nutraceutical manufacturers. Plandaí announced that it expects to commence testing on the possible ED product by mid-2015 after enough genetically pure mature plants for testing are available.
FROM MSN MONEY:
PUMA BIOTECHNOLOGY INC: STOCK RATING SUMMARY
3
StockScouter
PUMA BIOTECHNOLOGY INC, a mid-cap unknown style company in the health care sector, is expected to underperform the market over the next six months with very high risk.
10 is the best possible rating.
QUICK SUMMARY
Not so good! Actually starting to look bad at this point
Today's following article on Seeking Alpha (and other websights) websight suggests that PUMA will dump like an anvil in the an ocean!
Puma Biotechnology: Legacy Wyeth Study Provides The Back Story On Neratinib - Adjuvant Approval Appears Unlikely
Sep. 24, 2014 7:45 AM ET | 8 comments | About: Puma Biotechnology, Inc. (PBYI) Subscribers to SA PRO had an early look at this article. Learn more about PRO »
Disclosure: The author has no positions in any stocks mentioned, and no plans to initiate any positions within the next 72 hours. (More...)
Summary
Based in part on data from a legacy Phase II study run by Wyeth in Herceptin pre-treated and naive patients, Neratinib unlikely to see approval in adjuvant HER2+ breast cancer.
~80% and 100% of Herceptin failures, including adjuvant stage patients, had progressed on Neratinib at 48 weeks and 96 weeks, raising doubts on Neratinib's efficacy over the long term.
FDA unlikely to approve Neratinib on 2 years follow-up data. NDA filing will more than likely require 5-8 years of follow-up.
In a 5-8 years follow-up of Neratinib in adjuvant disease, difference in disease-free survival between patients on Neratinib and patients on placebo unlikely to be statistically significant.
Updating Price Target to $49.22/share to account for greater uncertainty associated with adjuvant Neratinib and to incorporate multiple expansion due to rally in biotech stocks. Reiterate Sell Rating.
Full article on following link:
http://seekingalpha.com/article/2517175-puma-biotechnology-legacy-wyeth-study-provides-the-back-story-on-neratinib-adjuvant-approval-appears-unlikely
I saw this on the net (http://www.ganjanews.org) and don't quite really understand the meaning of it.
Plandai Biotechnology Inc (OTCMKTS:PLPL) offered an replace to shareholders that covers subjects together with the completion and optimization of the corporate’s state-of-the-artwork manufacturing facility in South Africa and the schedule for graduation of economic manufacturing on the facility. Plandai Biotechnology Inc (
Any help out there?
Buy if it goes over 35. Stop out under 30...
Risk .05 for .50+
It's an if ....so why not?
Yes.
Very good news
This should be looked at very positively as the former prospect of millions of dollars "easy (pre approved) loans" or sales of shares has ceased along with it's corresponding dilution threat.
That along with the statement of having enough cash around for their current needs should boost the stocks price based on these factors alone.
Take a look:
8-K 1 plpl8k.htm FORM 8-K
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 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): September 4, 2014
PLANDAÍ BIOTECHNOLOGY, INC.
(Exact Name of Registrant as Specified in its Charter)
Nevada
(State or other jurisdiction of incorporation or organization)
Commission File Number 000-5120620-1389815
(I.R.S. Employer
Identification Number)
2226 Eastlake Avenue East #156, Seattle, WA 98102
(Address of Principal Executive Offices and Zip Code)
(858) 461-0423
Issuer's telephone number)
(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))
Section 1 - Registrant’s Business and Operations
Item 1.02 Termination of a Material Definitive Agreement.
On September 3, 2014 the Stock Purchase Agreement between Plandaí Biotechnology and Lincoln Park Capital Fund, LLC (“Lincoln Park”) was terminated. We previously reported our entry into the Lincoln Park contract on Form 8-K filed on February 10, 2014. There were no material relationships between us, or any of our affiliates, and Lincoln Park other than with respect to the contract.
Our contract with Lincoln Park provided us with the right to request Lincoln Park’s periodic limited purchases of our common stock. In light of our recent announcement regarding bioavailability results, our management is presently reviewing other financing options that would have a lesser dilutive effect on shareholders; however, there are no immediate needs or plans to obtain alternative financing. We believe our current cash position is sufficient to finalize the development of our production facility in South Africa, and begin production and marketing of our products, resulting in our expectation of more attractive financing opportunities in the future should the need arise.
Our contract with Lincoln Park provided in part that Lincoln Park would agree to purchase shares of our common stock, conditioned upon a registration of the subject shares being declared effective by the Securities and Exchange Commission. A total of $300,000 in stock purchases took place under the contract; however, the Company did not file the registration statement as conditioned in the contract.
Pursuant to Section 11(b) of the contract, there are no early termination penalties attributable the Agreement.
SIGNATURES
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.
Dated September 9, 2014
PLANDAI BIOTECHNOLOGY, INC.
By: /s/ Roger Duffield
Roger Duffield
Chief Executive Officer (Principal Executive Officer & Principal Accounting Officer)
Dear management,
Quit the crap and do your jobs. Be honest regardless of how shitty your performance. IN other words quit the lying and either get your jobs done and quickly before this company you are working at which has great potential crashes and burns due to your own mismanagement and lack of any decent promotion.
Upper management,
Fire and replace those who are less than honest and the under performers immediately and replace them with the who get the job done. If you do every one but shorty wins(actually they already have won their battle)and in the end you would win the war.
Get your asses in gear now as the public stockholders you represent will most likely end up suing you for a fortune by continuing what you are doing (stroking) which is insane and the end is predictable if left as is.
Honesty, direct communication and some real performance would be a wonderful start. Do you want your personal stock to go to zero? Do something positive or it certainly will!
Mr. Shively,
You should be ashamed of yourself for not stepping up.
Does your good reputation mean nothing to you?
Do something progressive and positive or this downward cycle will melt down to nada- zero-zilch!
You have what it takes to make this thing BIG!! What in g-d's name are you waiting for? Do it!!
At least it's current information which is what is needed. Just the tidbit stopped the down slide
which has been mostly due to the silence of management.
A daily or bi weekly blurb would be a groove.
Speaking if current information....how's the weather?:
According to company spokesperson Louise Willemse, contractors are expected to finish all installation work at the company’s production facility on the Senteeko Tea Estate in South Africa between August 8 and Aug 15, 2014. The installation work includes all electrical, steam lines, equipment installation, and boiler system.
Engineers from the Indian contractor are scheduled to arrive on-site during the week of August 17 to complete the optimization and to initiate start-up of the facility. This process is anticipated to be complete during the first half of September 2014.
Commercial production of the Phytofare(TM) Catechin extract is then expected to commence with the first green tea crop of the season,
"""""which is entirely weather dependent"""""""
but is anticipated to begin sometime in late September 2014 and continue through May of 2015
Correction:
That would be obviously.....rather than arguably.
Looks like Dr. Richard B. Phillips (Arguably PBYI's most brilliant man) is getting out while the getting is good. At current levels he appears to own about $95 Million worth of stock.
The man is brilliant! Hat's off to you Richard!
8-K 1 d783886d8k.htm 8-K
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): August 27, 2014
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))
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On August 27, 2014, Dr. Richard B. Phillips, Senior Vice President, Regulatory Affairs, Quality Assurance and Pharmacovigilance, notified Puma Biotechnology, Inc. (“Puma” or the “Company”) that he will be retiring for health reasons effective during the fourth quarter of 2014 (and no later than November 7, 2014).
Effective upon Dr. Phillips’ departure, his regulatory responsibilities will be assumed by Erin Jones, the Company’s current Vice President, Global Regulatory Affairs. Prior to joining Puma, Mr. Jones worked at Genentech, where he held a variety of positions including North America Oncology Team Leader, HER Franchise Group Leader and Head of Regulatory Intelligence. In his roles at Genentech, Mr. Jones oversaw the HER mechanism franchise, where he led and oversaw the late-stage development and BLA submission for TDM1 (Kadcyla™) and Perjeta™ in HER2-positive metastatic breast cancer, and obtained approvals for trastuzumab (HERCEPTIN™) in HER2 positive adjuvant breast cancer. These regulatory leadership activities also included direct negotiation with regulatory health authorities worldwide as well as leading FDA ODAC interactions.
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: September 3, 2014 By:
/s/ Alan H. Auerbach
Alan H. Auerbach
Chief Executive Officer and President
For those who have been waiting to short this stock this looks like the time to do so. Risk /reward is definitely favorable and patience has paid off.
Good luck to all. This could be a big one!
At the time if this post pbyi is trading at: $270.08
I know the penny stock game and have done pretty well in it. This however is the worst I've seen as far as dishonest communication goes. There's no reason for it and I stand by getting rid of the worthless incompetent staff to have a chance of success for this company.
Totally disgusted with both management and the stock price which reflect one another. Fire them all and the stock will rise along with any new management who are honest with their communication regardless of what the truth behind it may be unlike the apparent lying and stroking that's been going on to the public and stockholders for a very long time now.
Is anybody out there?
Company spokesperson Louise Willemse appears to be full of it as the week is over and once again .......nothing. Oh , except sellers/
C'mon big cheese:
Fire all who are not doing their jobs and replace them.
Potential is worthless without action. Rock or roll?
WE all prefer you to rock already! Geeze ya just don't get it do you?
Regards, and Frustrated with incompetence
Looks like trouble in Puma City.
It may be a long way down
Don't spend the $ yet. This may be too little too late. But if not.......go buy a Tesla.
You are unfortunately correct.
But no changes = same results.
Pray while management preys.(note the difference)
Anything can happen! even a reversal!!
When management cuts their salaries and PERFORMANCE ONLY dictates their take home pay, or when someone or most of them are fired for poor management then replaced....this stock will soar!
This could even be a good move for those who are let go or cut their pay as they may make more with a stock price increase than they are currently pulling in.
That's too bad as unless a change up top this thing is doomed even if they produce. Then they'd just scam another raise or dilution and shareholders would continue to lose. They need to be replaced or take a huge pay cut or there's not much hope. Look at the last 3 months chart. Is this acceptable to anyone? IT SEEMS TO BE AS THEY ARE CONTINUING TO RECEIVE THEIR INFLATED SALARIES FOR A JOB POORLY DONE
I didn't say scam...just terrible management...look at the chart for ANY period.I think the company has GREAT potential but not with current managment the way they reward themselves and just talk but do NOTHING.
If they were replaced and or were compensated with profits only it would be a blessing and this could then do as it's potential dictates.
Questionable management is being too kind. Worst I've ever seen. And I've been a supporter and a hold out. They are losing all of us Silly me.
That sad day is here. AS of this writing this is the worst run company I've ever invested in. My hope is to forget about what little there is left and some day I'll awake and a miracle happened and I break even.
I've seen zero follow through with ANY potential stock price goosing since forever ago.
C'mon make this doubting Thomas a fool.
I mean this:
http://ih.advfn.com/p.php?pid=nmona&article=62507805
What's your take?
It's getting hard to stay bullish even though I believe the company has a chance on doing well in time.
This looks like a clinic on what not to do and that timing means nothing. I hope all vote vote this latest shenanigan down or come up with a valid reason for it and soon!.
What the hell is this?
http://ih.advfn.com/p.php?pid=nmona&article=62507805
The anonymous author of the Seeking Alpha article is so far over the line, he or she has lost all credibility. It's obvious the author only has an agenda to manipulate the stock price for his personal short position. Way obvious. The disguise as a professional analyst is what makes it so blatant. Author must have been sqeezed hard on the last run up.
The shorts will have to buy it all back.....again! ... and the greedy ones will get hurt....again.
So be it.....the buys all make sense at this point and will come all at once.
Hey NormalGuy200,
I may be going out on a limb on this one but I'm gonna guess that you're having both a bad week and another bad day too.
Nice positive article actually. It recommends to BUY. It's OK though. You are having a very bad week huh?
Well Normalguy200, I'll ask again....how short are you?
Not proper detearing