Liquidia Corp
For the period ended Dec 31, 2025. Filed Mar 5, 2026.
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FY2025 · Filed Mar 5, 2026
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Item 9B. Other Information
Rule 10b5-1 Trading Plans
During the fourth quarter of 2025, the following Rule 10b5-1 trading arrangements (as defined in Item 408(a)(1)(i) of Regulation S-K) and non-Rule 10b5-1 trading arrangements (as defined in Item 408(c) of Regulation S-K) intended to satisfy the affirmative defense of Rule 10b5-1(c) of the Exchange Act were adopted, modified, or terminated by our directors and/or executive officers (as defined in Section 16 of the Exchange Act):
Adopted
| | | | | | | | | |
|---|---|---|---|---|---|---|---|---|
| Name | | Title | | Date of Adoption of Rule 10b5-1Trading Arrangement(1)(2) | | Scheduled Expiration Date of Rule 10b5-1 Trading Arrangement | | Aggregate Number of Securitiesto Be Sold |
| Roger Jeffs(3) | | Chief Executive Officer | | November 5, 2025 | | February 26, 2027 | | 500,000 |
| Michael Kaseta | | Chief Operating Officer and Chief Financial Officer | | November 5, 2025 | | April 30, 2026 | | 300,000 |
| Scott Moomaw | | Chief Commercial Officer | | November 7, 2025 | | July 1, 2026 | | 100,000 |
| (1) | Date of adoption of Rule 10b5-1 trading arrangements is in accordance with both the Company’s insider trading policy and applicable SEC rules and regulations. |
| (2) | The first trade pursuant to the Rule 10b5-1 trading arrangement will be, in accordance with both the Company’s insider trading policy and applicable SEC rules and regulations, on a date after the date of adoption of the Rule 10b5-1 trading arrangement. |
| (3) | The securities are held by Serendipity BioPharma LLC (“Serendipity”). Dr. Jeffs is a manager of Serendipity and has sole voting and dispositive power over the common stock held by Serendipity. |
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Terminated
| | | | | | | | | |
|---|---|---|---|---|---|---|---|---|
| Name | | Title | | Date of Termination of Rule 10b5-1Trading Arrangement(1)(2) | | Scheduled Expiration Date of Rule 10b5-1 Trading Arrangement | | Aggregate Number of Securitiesto Be Sold |
| Scott Moomaw | | Chief Commercial Officer | | November 6, 2025(2) | | July 1, 2026 | | 105,000(3) |
| Rajeev Saggar | | Chief Medical Officer | | December 9, 2025(4) | | September 30, 2026 | | 15,000(5) |
| (1) | Date of termination of Rule 10b5-1 trading arrangements is in accordance with both the Company’s insider trading policy and applicable SEC rules and regulations. |
| (2) | The date of adoption of this Rule 10b5-1 trading arrangement was May 29, 2025. The first trade pursuant to the Rule 10b5-1 trading arrangement was, in accordance with both the Company’s insider trading policy and applicable SEC rules and regulations, on a date after the date of adoption of the Rule 10b5-1 trading arrangement. |
| (3) | Prior to its termination, 70,000 shares of common stock were sold pursuant to this Rule 10b5-1 trading arrangement. |
| (4) | The date of adoption of this Rule 10b5-1 trading arrangement was May 29, 2025. The first trade pursuant to the Rule 10b5-1 trading arrangement was, in accordance with both the Company’s insider trading policy and applicable SEC rules and regulations, on a date after the date of adoption of the Rule 10b5-1 trading arrangement. |
| (5) | Prior to its termination, 20,000 shares of common stock were sold pursuant to this Rule 10b5-1 trading arrangement. |
During the fourth quarter of 2025, the Company did not adopt, modify, or terminate a Rule 10b5-1 trading arrangement (as defined in Item 408(a)(1)(i) of Regulation S-K) for the purchase or sale of securities of the Company, whether or not intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) of the Exchange Act.
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