ARS Pharmaceuticals, Inc.
For the period ended Dec 31, 2024. Filed Mar 20, 2025.
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FY2024 · Filed Mar 20, 2025
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Item 9B. Other Information
Trading Arrangements
During the quarter ended December 31, 2024, our executive officers adopted, modified or terminated trading plans for the orderly disposition of the Company’s securities as set forth in the table below.
| 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 | |||||
| Eric Karas, Chief Commercial Officer | Adoption | November 22, 2024 | X | 60,000 | January 30, 2026 |
| Alexander Fitzpatrick, Chief Legal Officer | Termination(3) | November 26, 2024 | X | 120,000 | December 31, 2024 |
| Alexander Fitzpatrick, Chief Legal Officer | Adoption | November 27, 2024 | X | 100,000 | December 31, 2025 |
| Alexander Fitzpatrick, Chief Legal Officer | Termination(4) | December 13, 2024 | X | 100,000 | December 31, 2025 |
| Alexander Fitzpatrick, Chief Legal Officer | Adoption(4) | December 13, 2024 | X | 100,000 | December 31, 2025 |
| Brian Dorsey, Chief Operating Officer | Adoption | December 13, 2024 | X | 300,000 | December 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 the termination of a trading plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) adopted on March 31, 2023 and amended on September 29, 2023.
(4)Represents the modification, as described in Rule 10b5-1(c)(1)(iv) under the Exchange Act, of a written plan adopted on November 27, 2024 that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
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