Neumora Therapeutics Inc
For the period ended Jun 30, 2024. Filed Aug 6, 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.
Jun 30, 2024 · Filed Aug 6, 2024
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Trading Arrangements
The following table describes, for the three months ended June 30, 2024, each trading arrangement for the purchase or sale of Company securities adopted, modified or terminated by our directors and officers that is either (1) a contract, instruction or written plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c), or a Rule 10b5-1 trading arrangement, or (2) a “non-Rule 10b5-1 trading arrangement” (as defined in Item 408(c) of Regulation S-K):
| Trading Arrangement | ||||||
|---|---|---|---|---|---|---|
| Name(Title) | Action | Date | Rule 10b5-1* | Non-Rule 10b5-1** | Total Shares to be Sold | Expiration Date |
| Matthew Fust(Director) | Adopt | May 10, 2024 | X | 61,788 | August 14, 2025 | |
| Joshua Pinto(Chief Financial Officer) | Adopt | April 18, 2024 | X | — | (2) | February 18, 2026 |
| Adopt | April 18, 2024 | X | 200,000 | July 17, 2025 | ||
| Amend(1) | May 22, 2024 | X | 200,000 | February 12, 2025 | ||
| Paul L. Berns(Executive Chairman) | Adopt | April 20, 2024 | X | — | (2) | February 18, 2026 |
| Robert Lenz(Head of Research and Development) | Adopt | June 12, 2024 | X | — | (2) | December 29, 2028 |
| Adopt | June 12, 2024 | X | 100,735 | September 12, 2025 | ||
| Daljit (Bill) Singh Aurora(Chief Strategy Officer) | Adopt | April 22, 2024 | X | 57,350 | June 30, 2025 | |
| Adopt | April 22, 2024 | X | — | (2) | February 18, 2026 | |
*Intended to satisfy the affirmative defense of Rule 10b5-1(c)
**Not intended to satisfy the affirmative defense of Rule 10b5-1(c)
(1) Changed the timing and price limits of sales under the trading arrangement originally adopted on April 18, 2024.
(2) This 10b5-1 trading arrangement is intended to qualify as an “eligible sell-to-cover transaction” (as described in Rule 10b5-1(c)(1)(ii)(D)(3) under the Exchange Act). This sell-to-cover arrangement applies to restricted stock units (“RSUs”). This arrangement provides for the automatic sale of shares of common stock that would otherwise be issuable on each vesting date of a covered RSU in an amount necessary to satisfy the applicable withholding obligation, with the proceeds of the sale delivered to us in satisfaction of the applicable withholding obligation. The number of shares of common stock that will be sold under this arrangement is not currently determinable as the number will vary based on the extent to which vesting conditions are satisfied, the market price of our common stock at the time of settlement and the potential future grant of additional RSUs subject to this arrangement.
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