Liquidia Corp
For the period ended Dec 31, 2023. Filed Mar 13, 2024.
View on SEC.govAbout this filing
A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Mar 13, 2024
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 9B. Other Information
During the fourth quarter of 2023, 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 or terminated by our directors and/or executive officers (as defined in Section 16 of the Exchange Act):
| | | | | | | | | |
|---|---|---|---|---|---|---|---|---|
| Name | | Title | | Date of Adoptionof Rule 10b5-1Trading Arrangement(1) | | Scheduled Expiration Date of Rule 10b5-1 Trading Arrangement | | Aggregate Number of Securitiesto Be Sold |
| Roger A. Jeffs, Ph.D. | | Chief Executive Officer and Director | | 12/15/2023(2) | | Until final settlement of any covered RSU or PSU | | Indeterminable(3) |
| Michael Kaseta | | Chief Operating Officer and Chief Financial Officer | | 12/15/2023(2) | | Until final settlement of any covered RSU or PSU | | Indeterminable(3) |
| Russell Schundler | | General Counsel and Secretary | | 12/15/2023(2) | | Until final settlement of any covered RSU or PSU | | Indeterminable(3) |
| Rajeev Saggar, M.D. | | Chief Medical Officer | | 12/15/2023(2) | | Until final settlement of any covered RSU or PSU | | Indeterminable(3) |
| Scott Moomaw | | Chief Commercial Officer | | 12/15/2023(2) | | Until final settlement of any covered RSU or PSU | | Indeterminable(3) |
| Jason Adair | | Chief Business Officer | | 12/15/2023(2) | | Until final settlement of any covered RSU or PSU | | Indeterminable(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 number of shares of common stock subject to covered restricted stock units (“RSUs”) or performance stock units (“PSUs”) that will be sold to satisfy applicable tax withholding obligations upon vesting is unknown as the number will vary based on the extent to which vesting conditions are satisfied, the market price of our common stock at the time of settlement and the potential future grant of additional RSUs or PSUs subject to this arrangement. This trading arrangement, which applies to RSUs or PSUs whether vesting is based on the passage of time and/or the achievement of performance goals, provides for the automatic sale of shares that would otherwise be issuable on each settlement date of a covered RSU or PSU in an amount sufficient to satisfy the applicable withholding obligation, with the proceeds of the sale delivered to us in satisfaction of the applicable withholding obligation. |
During the fourth quarter of 2023, the Company did not adopt or terminate a Rule 10b5-1 trading arrangement (as defined in Item 408(a)(1)(i) of Regulation S-K).
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.