Essential Utilities Inc
For the period ended Dec 31, 2023. Filed Feb 29, 2024.
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FY2023 · Filed Feb 29, 2024
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Item 9B. Other Information
| Item 9B. | Other Information |
|---|
During the quarter ended December 31, 2023, none of the Company’s directors or executive officers adopted, modified orterminated any contract, instruction or written plan for the purchase or sale of Company securities that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or any “non-Rule 10b5-1 trading arrangement”, except for as follows:
| Name & Title | Character of Trading Arrangement | Date of Adoption/ Termination | Aggregate Number of Shares of Common Stock to be Purchased/Sold Pursuant to Trading Arrangement | Duration of Plan (1) |
|---|---|---|---|---|
| Christopher Luning, Executive Vice President & General Counsel | Rule 10b5-1(c) Trading Arrangement | Terminated - October 3, 2023 | Up to 16,770 shares to be sold | 1/3/2023 - 7/1/2024 |
| Matthew Rhodes, Executive Vice President, Strategy and Corporate Development | Rule 10b5-1(c) Trading Arrangement | Terminated - December 1, 2023 | Up to 7,982 shares to be sold | 1/3/2023 - 6/3/2024 |
| Christopher Luning, Executive Vice President & General Counsel | Rule 10b5-1(c) Trading Arrangement | Adopted - November 28, 2023 | Up to 30,000 shares to be sold | 3/5/2024 - 3/31/2025 |
| Matthew Rhodes, Executive Vice President, Strategy and Corporate Development | Rule 10b5-1(c) Trading Arrangement | Adopted - December 12, 2023 | Up to 7,982 shares to be sold | 3/8/2024 - 6/3/2024 |
| Robert Rubin, Senior Vice President, Controller and Chief Accounting Officer | Rule 10b5-1(c) Trading Arrangement | Adopted - November 20, 2023 | Up to 19,831 shares to be sold | 3/5/2024 - 10/31/2024 |
| Daniel Schuller, Executive Vice President and Chief Financial Officer | Rule 10b5-1(c) Trading Arrangement | Adopted - December 18, 2023 | Up to 7,327 shares to be sold | 3/15/2024 - 12/31/2024 |
| (1) Each trading arrangement marked as a “Rule 10b5-1(c) Trading Arrangement” only permits transactions after the indicated duration start date and, in any case, upon expiration of the applicable mandatory cooling-off period under the Rule, and until the earlier of the indicated duration end date or completion of all sales contemplated in the Rule 10b5-1(c) Trading Arrangement. | ||||
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