TransMedics Group Inc
For the period ended Sep 30, 2024. Filed Oct 29, 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.
Sep 30, 2024 · Filed Oct 29, 2024
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Item 5. Other Information
During our fiscal quarter ended September 30, 2024, certain of our directors and officers (as defined in Rule 16a-1(f) under the Exchange Act) entered into contracts, instructions or written plans for the purchase or sale of our securities that are intended to satisfy the conditions specified in Rule 10b5-1(c) under the Exchange Act for an affirmative defense against liability for trading in securities on the basis of material nonpublic information. We refer to these contracts, instructions, and written plans as “Rule 10b5-1 trading plans” and each one as a “Rule 10b5-1 trading plan.” We describe the material terms of these Rule 10b5-1 trading plans in the table below.
Rule 10b5-1 Trading Plans
| Maximum | |||||||
|---|---|---|---|---|---|---|---|
| Number | |||||||
| of Securities to | |||||||
| Scheduled · be Purchased or | |||||||
| Action · Commencement · Termination · Sold Pursuant to · Covers | |||||||
| and Date · of Trading · of Trading · Security · the Rule 10b5-1 · Purchase | |||||||
| Director/Officer · of Action · Period · Period (1) · Covered · Trading Plan (2) · Or Sale | |||||||
| Stephen Gordon, Chief Financial Officer | Adoption16-Sep-24 | 15-Dec-24 | 31-Dec-25 | Common Stock | 58,401 | (3) | Sale |
| James R. Tobin2012 Trust | Adoption8-Aug-24 | 7-Nov-24 | 7-Nov-25 | Common Stock | 40,000 | Sale | |
(1)Each plan is subject to earlier termination under certain circumstances specified in the plan, including upon the sale or purchase (as applicable) of all shares subject to the plan and upon either party to a plan giving notice of termination within the time prescribed under the plan.
(2)Subject to adjustments for stock splits, stock combinations, stock dividends and other similar changes to our common stock.
(3)Pursuant to the plan, Mr. Gordon may sell up to 8,401 additional shares of common stock underlying RSUs that may vest on February 20, 2025 and February 23, 2025, subject to Mr. Gordon's continued service to the Company as of such date.
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