Liquidia Corp
For the period ended Sep 30, 2026. Filed Nov 10, 2026.
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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.
Sep 30, 2026 · Filed Nov 10, 2026
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Item 5. Other Information
Rule 10b5-1 Trading Plans
During the three months ended September 30, 2026, 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 | |
| Joanna Horobin | | Director | | August 14, 2026 | | December 31, 2027 | | 90,872 | |
| Roger A. Jeffs, Ph.D. | | Chief Executive Officer and Director | | August 14, 2026 | | December 31, 2027 | | 1,011,828 | (3) |
| Michael Kaseta | | Chief Operating Officer and Chief Financial Officer | | August 19, 2026 | | December 31, 2027 | | 268,909 | (3) |
| Russell Schundler | | General Counsel | | August 18, 2026 | | December 31, 2026 | | 393,521 | (3) |
| Scott Moomaw | | Chief Commercial Officer | | August 17, 2026 | | December 31, 2027 | | 249,493 | |
| Dana Boyle | | Chief Accounting Officer | | August 20, 2026 | | December 18, 2027 | | 67,212 | (3) |
| (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 Rule 10b5-1 trading arrangement was terminated during October 2026, prior to its effective date. |
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