ARS Pharmaceuticals, Inc.
For the period ended Sep 30, 2026. Filed Nov 5, 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 5, 2026
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Item 5. Other Information
Rule 10b5-1 Trading Arrangements
During the three months ended September 30, 2026, our officers (as defined in Rule 16a-1(f) under the Exchange Act) adopted or terminated trading plans for the orderly disposition of the Company’s securities as set forth in the table below.
| Adoption / · Type of Trading Arrangement · Total Shares of | |||||
|---|---|---|---|---|---|
| Termination · Rule · Non-Rule · Common Stock | |||||
| Name and Position · Action · Date · 10b5-1(1) · 10b5-1(2) · to be Sold · Expiration Date | |||||
| Richard Lowenthal, on behalf of Richard E. Lowenthal Charitable Remainder UniTrust Dated January 7, 2020*Former Chief Executive Officer | Termination(3) | August 28, 2026 | X | 1,050,000 | May 14, 2027 |
| Richard Lowenthal, on behalf of Lowenthal-Tanimoto Family Trust U/A DTD 4/3/2006*Former Chief Executive Officer | Termination(3) | August 28, 2026 | X | 1,050,000 | May 14, 2027 |
| Sarina Tanimoto, on behalf of Sarina Tanimoto Charitable Remainder UniTrust Dated January 7, 2020*Former Chief Medical Officer | Termination(3) | August 28, 2026 | X | 1,050,000 | May 14, 2027 |
| Sarina Tanimoto, on behalf of Lowenthal-Tanimoto Family Trust U/A DTD 4/3/2006*Former Chief Medical Officer | Termination(3) | August 28, 2026 | X | 1,050,000 | May 14, 2027 |
| Eric KarasFormer Chief Commercial Officer | Termination(4) | August 18, 2026 | X | 100,000 | January 29, 2027 |
| Alexander FitzpatrickChief Legal Officer | Termination(5) | August 30, 2026 | X | 103,355 | December 31, 2026 |
| Alexander FitzpatrickChief Legal Officer | Adoption | September 4, 2026 | X | 454,652 | September 1, 2028 |
(1)
Contract, instruction or written plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
(2)
“Non-Rule 10b5-1 trading arrangement” as defined in Item 408(c) of Regulation S-K under the Exchange Act.
(3)
Represents the termination, as described in Rule 10b5-1(c) under the Exchange Act, of a trading plan adopted on May 21, 2025, that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
(4)
Represents the termination, as described in Rule 10b5-1(c) under the Exchange Act, of a trading plan adopted on December 11, 2025, that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
(5)
Represents the termination, as described in Rule 10b5-1(c) under the Exchange Act, of a trading plan adopted on December 5, 2025, that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
- This plan, together with the other three plans marked with an asterisk in this table, are treated as a single “plan” because the individual constituent contracts with each broker-dealer, when taken together as a whole, meet all of the applicable conditions of Rule 10b5-1(c) under the Exchange Act and remain collectively subject to the provisions of such rule, including that a modification of any individual contract acts as modification of the whole contract.
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