Mineralys Therapeutics Inc
For the period ended Dec 31, 2023. Filed Mar 21, 2024.
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FY2023 · Filed Mar 21, 2024
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Item 9B. Other Information
During the three months ended December 31, 2023, two of our officers (as defined in Rule 16a-1(f) of the Exchange Act)adopted orterminated a contract, instruction, or written plan for the purchase or sale of our securities that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) of the Exchange Act or any non-Rule 10b5-1 trading arrangement (as defined in the SEC’s rules). The material terms of these Rule 10b5-1 trading arrangements are described below:
| Name and Title | Action Taken | Type of Trading Arrangement | Nature of Trading Arrangement | Duration of Trading Arrangement | Number of Securities |
|---|---|---|---|---|---|
| David Rodman, M.D., Chief Medical Officer | Adoption 11/14/2023 | Trading plan intended to satisfy the affirmative defense conditions of Exchange Act Rule 10b5-1(c) | Sale of the Company’s common stock pursuant to the terms of the plan | 2/8/24 - 12/31/2024 | (1) |
| Adam Levy, Chief Financial Officer | Adoption 11/14/2023 | Trading plan intended to satisfy the affirmative defense conditions of Exchange Act Rule 10b5-1(c) | Sale of the Company’s common stock pursuant to the terms of the plan | 6/11/2024 - 1/30/2026 | (2) |
(1)The executive’s Rule 10b5-1 trading arrangement provides for the sale of up to (i)10,034 shares of common stock and (ii)45,436 shares of common stock subject to a stock option award granted to Dr. Rodman that vests ratably over time.
(2)The executive’s Rule 10b5-1 trading arrangement provides for the sale of up to 172,117 shares of common stock subject to a restricted stock award granted to Mr. Levy that vests ratably over time.
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