DEXCOM INC
For the period ended Dec 31, 2023. Filed Feb 8, 2024.
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FY2023 · Filed Feb 8, 2024
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ITEM 9B. Other Information
Trading Plans
During the three months ended December 31, 2023, the following Section 16 officers and directors adopted or terminated a “Rule 10b5-1 trading arrangement” (as defined in Item 408 of Regulation S-K of the Exchange Act):
| Name | Title | Action | Action Date | Aggregate Number of Shares to be Sold(1) | Expiration Date(2) |
|---|---|---|---|---|---|
| Matthew Dolan | Executive Vice President, Strategy, Corporate Development and Dexcom Labs | Adoption | 12/15/2023 | 15,326 | 12/15/2024 |
| Paul Flynn | Executive Vice President, Global Revenue | Adoption | 12/15/2023 | 31,253 | 12/15/2024 |
| Girish Naganathan | Executive Vice President, Chief Technology Officer | Adoption | 11/20/2023 | 5,137 | 11/20/2024 |
| Steven R. Pacelli | Executive Vice President and Managing Director, Dexcom Ventures | Adoption | 11/27/2023 | 15,000 | 1/23/2025 |
| Barry J. Regan | Executive Vice President, Global Operations | Adoption | 12/4/2023 | 28,430 | 12/4/2024 |
| Kevin R. Sayer | Chairperson, President and Chief Executive Officer | Adoption | 12/12/2023 | 100,965 | 12/12/2024 |
| Sadie M. Stern | Executive Vice President, Chief Human Resources Officer | Adoption(3) | 12/12/2023 | 12,825 | 3/11/2025 |
| Sadie M. Stern | Executive Vice President, Chief Human Resources Officer | Termination(3) | 12/12/2023 | 4,708 | 3/8/2024 |
| Jereme M. Sylvain | Executive Vice President, Chief Financial Officer | Adoption | 11/21/2023 | 6,863 | 11/21/2024 |
| (1) The actual number of shares sold may depend on the net shares vested as a result of tax withholding obligations, the vesting of certain performance-based stock units, the number of shares purchased under employee stock purchase plans, one or more limit orders, as applicable, and therefore, may not be determinable at this time. | |||||
| (2) Except as indicated by footnote, each trading arrangement permitted or permits transactions through and including the date listed in the table. | |||||
| (3) Represents the modification, as described in Rule 10b5-1(c)(1)(iv) under the Exchange Act, of a written plan adopted on December 12, 2023 that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c), as then in effect, under the Exchange Act. | |||||
Each of the Rule 10b5-1 trading arrangements that were adopted in the above table are in accordance with our insider trading policy and actual sale transactions made pursuant to such trading arrangements will be disclosed publicly in Section 16 filings with the SEC in accordance with applicable securities laws, rules and regulations.
No Section 16 officers or directors adopted, modified, orterminated a “non-Rule 10b5-1 trading arrangement” (as defined in Item 408 of Regulation S-K of the Exchange Act) during the three months ended December 31, 2023.
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