Artiva Biotherapeutics Inc
For the period ended Sep 30, 2024. Filed Nov 12, 2024.
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Sep 30, 2024 · Filed Nov 12, 2024
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Item 5. Other Information
Trading Arrangements
During the last fiscal quarter, our directors and officers (as defined in Rule 16a-1(f) under the Exchange Act) adopted or terminated the contracts, instructions or written plans for the purchase or sale of the Company’s securities set forth in the table below:
| Type of Trading Arrangement | |||||
|---|---|---|---|---|---|
| Name and Position · Action · Adoption/ TerminationDate · Rule 10b5-1* · Non-Rule 10b5-1** · Total Shares of Common Stock to be Sold · Expiration Date | |||||
| Fred Aslan, M.D. (President, Chief Executive Officer and Director) | Adoption | July 23, 2024 | X | 471,558 | December 31, 2026 |
| Neha Krishnamohan (Chief Financial Officer and Executive Vice President of Corporate Development) | Adoption | July 23, 2024 | X | 12,768 | June 2, 2027 |
| Christopher Horan (Chief Technical Operations Officer) | Adoption | July 23, 2024 | X | 44,200 | April 15, 2026 |
| Thorsten Graef, M.D., Ph.D. (Chief Medical Officer) | Adoption | July 23, 2024 | X | 67,021 | April 15, 2026 |
| Jennifer Bush (Chief Operating Officer, Chief Legal Officer, Corporate Secretary and Compliance Officer) | Adoption | July 23, 2024 | X | 28,000 | May 31, 2026 |
| Heather Raymon, Ph.D. (Senior Vice President of Research and Early Development) | Adoption | July 23, 2024 | X | 25,434 | April 15, 2026 |
| * Contract, instruction or written plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. | |||||
| ** “Non-Rule 10b5-1 trading arrangement” as defined in Item 408(c) of Regulation S-K under the Exchange Act. | |||||
Our directors and officers entered into lock-up agreements in connection with the IPO and they are not permitted to transfer, sell or otherwise dispose of securities under such plans during the lock-up period or pursuant to any exceptions set form in the lock-up agreements.
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