Nano Nuclear Energy Inc.
For the period ended Sep 30, 2025. Filed Dec 18, 2025.
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FY2025 · Filed Dec 18, 2025
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Item 9B. Other Information
(b) Insider Trading Arrangements and Policies
Adoption or Termination of Insider Trading Arrangements
In September 2025, the below listed directors or officers of our company informed us of the adoption, modification or termination of a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as those terms are defined in Regulation S-K, Item 408, as described below:
| Name & Title | Date Adopted | Character of Trading Arrangement(1) | Aggregate Number of Shares of Common Stock to be Purchased or Sold Pursuant to Trading Arrangement | Duration | Termination Date |
|---|---|---|---|---|---|
| Jay Jiang Yu | 9/23/2025 | Rule 10b5-1 Trading Arrangement (3) | Up to 2,996,400 to be sold | (2) | 9/3/2026 |
| James Walker | 9/23/2025 | Rule 10b5-1 Trading Arrangement (3) | Up to 408,688 to be sold | (2) | 9/2/2026 |
| Jaisun Garcha | 9/23/2025 | Rule 10b5-1 Trading Arrangement (3) | Up to 112,215 shares to be sold | (2) | 6/5/2026 |
| Dr. Tsun Yee Law | 9/23/2025 | Rule 10b5-1 Trading Arrangement (3) | Up to 131,143 to be sold | (2) | 10/31/2026 |
| Diane Hare | 9/23/2025 | Rule 10b5-1 Trading Arrangement (3) | Up to 41,143 to be sold | (2) | 12/31/2026 |
| Dr. Kenny Yu | 9/23/2025 | Rule 10b5-1 Trading Arrangement (3) | Up to 55,000 to be sold | (2) | 12/31/2026 |
| (1) | Except as indicated by footnote, each trading arrangement marked as a “Rule 10b5-1 Trading Arrangement” is intended to satisfy the affirmative defense of Rule 10b5-1(c), as amended (the “Rule”). |
| (2) | Except as indicated by footnote, each trading arrangement permitted or permits transactions through and including the earlier to occur of (a) the completion of all purchases or sales or (b) the date listed in the table. Each trading arrangement marked as a “Rule 10b5-1 Trading Arrangement” only permits transactions upon expiration of the applicable mandatory cooling-off period under the Rule. Except as indicated by footnote, each arrangement also provides, among other things, for termination upon the occurrence of death, dissolution, bankruptcy, insolvency, or failure to comply in material respect with any applicable laws and/or any obligations of such arrangement. |
| (3) | Complied with the then-applicable requirements of Rule 10b5-1(c) when adopted in September 2025. |
Amended and Restated Insider Trading Policy
In December 2024, our board of directors adopted an Amended and Restated Insider Trading Policy, which updated the policy adopted in April 2024. The policy was adopted in order that we can take an active role in the prevention of insider trading violations by our officers, directors, employees, consultants, attorneys, advisors and other related individuals. The Amended and Restated Insider Trading Policy is filed as an exhibit to this Report.
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