X4 Pharmaceuticals Inc
For the period ended Jun 30, 2024. Filed Aug 8, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Jun 30, 2024 · Filed Aug 8, 2024
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Item 5. OTHER INFORMATION
Rule 10b5-1 Trading Plans
During the three months ended June 30, 2024, the Company’s six section 16 officers adopted written plan for the purchase or sale of Company securities intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). These plans were adopted on June 28, 2024, and are subject to a 90-day “cool off” period before any trades may be conducted under such plans.
| Name | Titles | Action Taken | Type of Trading | Nature of Trading | Expiration Date | Aggregate Number of Securities |
|---|---|---|---|---|---|---|
| Christophe Arbet-Engels | Chief Medical Officer | Adoption (June 28, 2024) | Rule 10b5-1 trading arrangement | Sale | 8/1/2025 | (i) 572,917 shares of common stock subject to employee stock options and (ii) Indeterminable (2). |
| Mark Baldry | Chief Commercial Officer | Adoption (June 28, 2024) | Rule 10b5-1 trading arrangement | Sale | 10/1/2025 | Indeterminable (1) |
| Mary DiBiase | Chief Operating Officer | Adoption (June 28, 2024) | Rule 10b5-1 trading arrangement | Sale | 10/1/2025 | Indeterminable (1) |
| Adam Mostafa | Chief Financial Officer | Adoption (June 28, 2024) | Rule 10b5-1 trading arrangement | Sale | 10/1/2025 | Indeterminable (2) |
| Paula Ragan | President and Chief Executive Officer | Adoption (June 28, 2024) | Rule 10b5-1 trading arrangement | Sale | 10/1/2025 | (i) 313,794 shares of common stock subject to long, restricted and control stock and (ii) Indeterminable (1) |
| Arthur Taveras | Chief Scientific Officer | Adoption (June 28, 2024) | Rule 10b5-1 trading arrangement | Sale | 10/1/2025 | Indeterminable (1) |
(1) The number of shares that will be sold in accordance with this trading arrangement is indeterminable at the time of the filing of this Quarterly Report on Form 10-Q for the period ended June 30, 2024. Upon vesting of PRSUs, a sell-to-cover trade may occur or the Company may withhold shares in order to satisfy any applicable tax withholding obligations on behalf of the employee. The number of shares sold in the sell-to-cover will vary based on the market price of the Company’s common stock at the time of settlement.
(2) The number of shares that will be sold in accordance with this trading arrangement is indeterminable at the time of the filing of this Quarterly Report on Form 10-Q for the period ended June 30, 2024. Upon vesting of PRSUs, a sell-to-cover trade may occur or the Company may withhold shares in order to satisfy any applicable tax withholding obligations on behalf of the employee. The number of shares sold in the sell-to-cover will vary based on the market price of the Company’s common stock at the time of settlement. Any remaining shares held by the seller after the sell-to-cover may be sold pursuant to the terms of this trading arrangement.
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