ARS Pharmaceuticals, Inc.
For the period ended Jun 30, 2025. Filed Aug 13, 2025.
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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, 2025 · Filed Aug 13, 2025
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Item 5. Other Information
Rule 10b5-1 Trading Arrangements
During the three months ended June 30, 2025, our directors and officers (as defined in Rule 16a-1(f) under the Exchange Act) adopted, modified, or terminated trading plans for the orderly disposition of the Company’s securities as set forth in the table below.
| Adoption / · Type of Trading Arrangement · Total Shares of | |||||
|---|---|---|---|---|---|
| Termination · Rule · Non-Rule · Common Stock | |||||
| Name and Position · Action · Date · 10b5-1(1) · 10b5-1(2) · to be Sold · Expiration Date | |||||
| Richard Lowenthal, on behalf of Richard E. Lowenthal Charitable Remainder UniTrust Dated January 7, 2020*Chief Executive Officer | Adoption | May 21, 2025 | X | 1,050,000 | May 14, 2027 |
| Richard Lowenthal, on behalf of Lowenthal-Tanimoto Family Trust U/A DTD 4/3/2006*Chief Executive Officer | Adoption | May 21, 2025 | X | 1,050,000 | May 14, 2027 |
| Sarina Tanimoto, on behalf of Sarina Tanimoto Charitable Remainder UniTrust Dated January 7, 2020*Chief Medical Officer | Adoption | May 21, 2025 | X | 1,050,000 | May 14, 2027 |
| Sarina Tanimoto, on behalf of Lowenthal-Tanimoto Family Trust U/A DTD 4/3/2006*Chief Medical Officer | Adoption | May 21, 2025 | X | 1,050,000 | May 14, 2027 |
| Laura ShawverDirector | Adoption | May 21, 2025 | X | 128,562 | December 31, 2025 |
| Kathleen ScottChief Financial Officer | Adoption | May 22, 2025 | X | 50,000 | May 22, 2026 |
| Alexander FitzpatrickChief Legal Officer | Termination(3) | May 29, 2025 | X | 100,000 | December 31, 2025 |
| Alexander FitzpatrickChief Legal Officer | Adoption(3) | May 29, 2025 | X | 100,000 | January 30, 2026 |
(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 modification, as described in Rule 10b5-1(c)(1)(iv) under the Exchange Act, of a written plan adopted on November 27, 2024 and amended on December 13, 2024 that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
- This plan, together with the other three plans marked with an asterisk in this table, are treated as a single “plan” because the individual constituent contracts with each broker-dealer, when taken together as a whole, meet all of the applicable conditions of Rule 10b5-1(c) under the Exchange Act and remain collectively subject to the provisions of such rule, including that a modification of any individual contract acts as modification of the whole contract.
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