Artiva Biotherapeutics, Inc.
For the period ended Jun 30, 2026. Filed Aug 6, 2026.
View on SEC.govAbout this filing
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, 2026 · Filed Aug 6, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 5. Other Information
Trading Arrangements
During the quarter ended June 30, 2026, our directors and officers adopted orterminated the Rule 10b5-1 trading arrangements and/or non-Rule 10b5-1 trading arrangement (as such terms are defined pursuant to Item 408(a) of Regulation S-K) set forth in the table below:
| Type of Trading Arrangement | ||||||
| Name and Position | Action | Adoption / Termination Date | Rule 10b5-1* | Non-Rule 10b5-1** | Total Shares of Common Stock to be Sold | Expiration Date |
|---|---|---|---|---|---|---|
| Fred Aslan, M.D. (Chief Executive Officer and Director) | Adoption | May 13, 2026 | X | Indeterminable, as number of shares to be sold is dependent on total number of shares released upon vesting | December 31, 2027 | |
| Subhashis Banerjee, M.D. (Chief Medical Officer) | Adoption | May 14, 2026 | X | Indeterminable, as number of shares to be sold is dependent on total number of shares released upon vesting | November 30, 2027 | |
| Christopher Horan (Chief Technical Operations Officer) | Adoption | May 13, 2026 | X | Indeterminable, as number of shares to be sold is dependent on total number of shares released upon vesting | December 31, 2027 | |
| * Contract, instruction or written plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. | ||||||
| ** “Non-Rule 10b5-1 trading arrangement” as defined in Item 408(c) of Regulation S-K under the Exchange Act. | ||||||
Our directors and officers entered into lock-up agreements in connection with the May 2026 Offering, and they are not permitted to transfer, sell or otherwise dispose of securities under such plans during the lock-up period or pursuant to any exceptions set form in the lock-up agreements.
In addition, our officers (as defined in Rule 16a-1(f) under the Exchange Act) have entered into sell-to-cover arrangements adopted pursuant to Rule 10b5-1 authorizing the pre-arranged sale of shares to satisfy tax withholding obligations of the Company arising exclusively from the vesting of shares of restricted stock and time-vesting or performance-vesting restricted stock units and the related issuance of shares. The amount of shares to be sold to satisfy the Company’s tax withholding obligations under these arrangements is dependent on future events which cannot be known at this time, including the future trading price of Company shares. The expiration date relating to these arrangements is dependent on future events which cannot be known at this time, including the final vest date of the applicable shares of restricted stock and time-vesting or performance-vesting restricted stock units and the officer’s termination of service.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.