LIGAND PHARMACEUTICALS INC
For the period ended Sep 30, 2026. Filed Oct 30, 2026.
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Sep 30, 2026 · Filed Oct 30, 2026
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ITEM 5. Other Information
Rule 10b5-1 Trading Arrangements
From time to time, our officers (as defined in Rule 16a-1(f) of the Exchange Act) and directors may enter into Rule 10b5-1 or non-Rule 10b5-1 trading arrangements (as each such term is defined in Item 408 of Regulation S-K).
The following officers and directors adopted Rule 10b5-1 trading arrangements in the quarters ended June 30, 2026 and September 30, 2026:
On September 23, 2026, Andrew Reardon, Chief Legal Officer, adopted a Rule 10b5-1 trading arrangement intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Securities Exchange Act of 1934. The trading arrangement is designed to remain in effect until March 15, 2027 and covers the sale of up to 10,000 shares of the Company’s common stock, together with such number of shares of the Company’s common stock issued upon settlement of certain stock awards held by Mr. Reardon, net of shares sold or withheld to satisfy applicable tax obligations.
On August 12, 2026, John Kozarich, Chairman of the Board of Directors, adopted a Rule 10b5-1 trading arrangement intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Securities Exchange Act of 1934. The trading arrangement is designed to remain in effect until September 30, 2027 and covers the sale of up to 12,000 shares of the Company’s common stock.
On June 4, 2026, Andrew Reardon, Chief Legal Officer, adopted a Rule 10b5-1 trading arrangement intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Securities Exchange Act of 1934. The trading arrangement is designed to remain in effect until December 2, 2026 and covers the sale of up to 15,000 shares of the Company’s common stock.
On May 13, 2026, Octavio Espinoza, Chief Financial Officer, adopted a Rule 10b5-1 trading arrangement intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Securities Exchange Act of 1934. The arrangement is designed to remain in effect until May 31, 2027 and covers the sale of up to 31,641 shares of the Company’s common stock, together with such number of shares of the Company’s common stock issued upon settlement of certain stock awards held by Mr. Espinoza, net of shares sold or withheld to satisfy applicable tax obligations.
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