Harmony Biosciences Holdings Inc
For the period ended Sep 30, 2024. Filed Oct 29, 2024.
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Sep 30, 2024 · Filed Oct 29, 2024
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Item 5. Other Information
Rule 10b5-1 Trading Arrangements
On August 26, 2024, Sandip Kapadia, Chief Financial Officer and Chief Administrative Officer of the Company, adopted a Rule 10b5-1 trading arrangement that is intended to satisfy the affirmative defense of Rule 10b5-1(c) for the sale of (i) up to 55,000 shares of the Company’s common stock related to the exercise of options, and (ii) an indeterminable number of shares of the Company’s common stock that will depend on the number of shares sold to cover tax withholding obligations in connection with the vesting of 18,812 restricted stock units previously granted, beginning on December 31, 2024 and continuing until June 30, 2025.
On August 27, 2024, Jeffrey Dierks, Chief Commercial Officer of the Company, adopted a Rule 10b5-1 trading arrangement that is intended to satisfy the affirmative defense of Rule 10b5-1(c) for the sale of (i) up to 28,015 shares of the Company’s common stock related to the exercise of options, and (ii) an indeterminable number of shares of the Company’s common stock that will depend on the number of shares sold to cover tax withholding obligations in connection with the vesting of 2,687 restricted stock units previously granted, beginning on January 2, 2025 and continuing until June 30, 2025.
On September 13, 2024, Jeffrey Dayno, President, Chief Executive Officer, and Director of the Company, adopted a Rule 10b5-1 trading arrangement that is intended to satisfy the affirmative defense of Rule 10b5-1(c) for the sale of (i) up to 59,293 shares of the Company’s common stock related to the exercise of options, (ii) an indeterminable number of shares of the Company’s common stock that will depend on the number of shares sold to cover tax withholding obligations in connection with the vesting of 10,500 restricted stock units previously granted, beginning no earlier than December 13, 2024 and continuing until December 15, 2025.
During the three months ended September 30, 2024, no director or officer of the Company terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K.
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