ARS Pharmaceuticals Inc
For the period ended Dec 31, 2023. Filed Mar 21, 2024.
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FY2023 · Filed Mar 21, 2024
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Item 9B. Other Information
Trading Arrangements
During the quarter ended December 31, 2023, one of our executive officers modified an existing trading plan for the orderly disposition of the Company’s securities as set forth in the table below. Such modification of the existing trading plan was treated as the termination of an existing plan and the adoption of a new plan pursuant to Rule 10b5-1(c)(iv) under the Exchange Act.
| Type of Trading Arrangement | |||||
|---|---|---|---|---|---|
| Name and Position · Action · Adoption/Termination Date · Rule 10b5-1(1) · Non-Rule 10b5-1(2) · Total Shares of Common Stock to be Sold · Expiration Date | |||||
| Brian Dorsey, Chief Operating Officer | Termination(3) | December 8, 2023 | X | 340,000 | March 31, 2025 |
| Brian Dorsey, Chief Operating Officer | Adoption(3) | December 8, 2023 | X | 340,000 | March 31, 2025 |
(1) Contract, instruction or written plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
(2) "Non-Rule 10b5-1 trading arrangement" as defined in Item 408(c) of Regulation S-K under the Exchange Act.
(3)Represents themodification, as described in Rule 10b5-1(c)(1)(iv) under the Exchange Act, of a written plan
adopted on March 31, 2023 that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
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