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4D Molecular Therapeutics Inc

For the period ended Mar 31, 2024. Filed May 9, 2024.

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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.

Mar 31, 2024 · Filed May 9, 2024

FDMT$12.25+8.9%Stored close · as of Nov 6, 2026

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Item 5. Other Information

During the fiscal quarter ended March 31, 2024, the following officers and directors, as defined in Rule 16a-1(f) adopted and terminated “Rule 10b5-1 trading arrangements,” as defined in Regulation S-K Item 408, as follows:

On January 4, 2024, Fariborz Kamal, our President and Chief Operating Officer, adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of up to 15,000 shares of our common stock. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until December 31, 2024, or earlier if all transactions under the trading arrangement are completed.

On March 19, 2024, Robert Kim, our Chief Medical Officer, terminated a Rule 10b5-1 trading arrangement providing for the sale from time to time of up to 25,595 shares of our common stock. The trading arrangement was intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement was until March 31, 2024, or earlier if all transactions under the trading arrangement were completed.

On March 19, 2024, Robert Kim, our Chief Medical Officer also adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of up to 16,000 shares of our common stock. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until June 30, 2026, or earlier if all transactions under the trading arrangement are completed.

On March 21, 2024, David Kirn, our Chief Executive Officer, terminated a Rule 10b5-1 trading arrangement providing for the sale from time to time of up to 200,000 shares of our common stock. The trading arrangement was intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement was until November 29, 2024, or earlier if all transactions under the trading arrangement were completed.

On March 21, 2024, David Kirn, our Chief Executive Officer also adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of up to 305,083 shares of our common stock. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until May 15, 2025, or earlier if all transactions under the trading arrangement are completed.

On March 22, 2024, Jacob Chacko, amember of our board of directors, adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of up to 32,500 sharesof our common stock. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of thetrading arrangement is until June 30, 2025, or earlier if all transactions under the trading arrangement are completed.

None of our other directors or officers (as defined in Section 16 of the Securities Exchange Act of 1934, as amended)adopted orterminated any contract, instruction or written plan for the purchase or sale of our securities that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or any “non-Rule 10b5-1 trading arrangement,” as defined in Item 408(a) of Regulation S-K.

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The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.