Aveanna Healthcare Holdings, Inc.
For the period ended Jan 3, 2026. Filed Mar 19, 2026.
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FY2026 · Filed Mar 19, 2026
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Item 9B. Other Information
During the three-month period ended January 3, 2026, none of our officers or directors adopted orterminated any contract, instruction or written plan for the purchase or sale of our securities that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act or any “non-Rule 10b5-1 trading arrangement”, as defined in Item 408 of Regulation S-K, except as follows:
On December 10, 2026, December 15, 2026, December 18, 2026 and December 19, 2026, the officers of the Company listed in the chart below adopted Rule 10b5-1 trading arrangements intended to provide solely for“eligible sell-to-cover transactions” (as described in Rule 10b5-1(c)(1) under the Exchange Act) to satisfy the applicable tax withholding obligations in connection with the vesting of certain restricted stock unit awards.The number of shares to be sold pursuant to each officer's Rule 10b5-1 trading arrangement is dependent on the applicable tax obligations incurred in connection with the vesting of each officer's restricted stock unit awards and, therefore, is indeterminable at this time, but in no event exceed the aggregate number of shares of our common stock listed below.
| Name | Title | Adoption Date (1) | Expiration Date | Aggregate # of securities to be sold (2) |
|---|---|---|---|---|
| Patrick A. Cunningham | Chief Compliance Officer | December 15, 2025 | (3) | 87,137 |
| Patrick A. Cunningham | Chief Compliance Officer | December 15, 2025 | (3) | 48,913 |
| Deborah Stewart | Chief Accounting Officer | December 10, 2025 | (3) | 101,141 |
| Deborah Stewart | Chief Accounting Officer | December 10, 2025 | (3) | 52,989 |
| Matthew Buckhalter | Chief Financial Officer | December 11, 2025 | (3) | 299,793 |
| Matthew Buckhalter | Chief Financial Officer | December 11, 2025 | (3) | 157,065 |
| Jeff Shaner | Chief Executive Officer | December 11, 2025 | (3) | 1,036,307 |
| Jeff Shaner | Chief Executive Officer | December 11, 2025 | (3) | 542,935 |
| Ed Reisz | Chief Administrative Officer | December 19, 2025 | (3) | 248,963 |
| Ed Reisz | Chief Administrative Officer | December 19, 2025 | (3) | 171,196 |
| Jerry Perchik | General Counsel and Chief Legal Officer | December 18, 2025 | (3) | 326,763 |
| Jerry Perchik | General Counsel and Chief Legal Officer | December 18, 2025 | (3) | 171,196 |
(1)Each trading arrangement permits transactions through the date of completion of all sales necessary to withhold minimum tax obligations required by applicable law.
(2)The volume and timing of sales is determined based upon sell-to-cover events occurring upon the vesting of certain outstanding equity awards.
(3) The expiration date is the date on which the tax withholding obligation arising from the vesting of all covered PSUs and RSUs and the related issuance of shares of our common stock has been satisfied.
Each of the 10b5-1 plans in the above table included a representation from the officer to the Company, in accordance with the Company's securities trading policy, that such individual was not in possession of any material nonpublic information regarding the Company or the securities subject to the plan on the date of adoption.
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