Leonardo DRS Inc
For the period ended Sep 30, 2024. Filed Oct 30, 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.
Sep 30, 2024 · Filed Oct 30, 2024
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ITEM 5. Other Information
(c) Furnish the information required by Item 408(a) of Regulation S-K (17 CFR 229.408(a)).
Securities Trading Plans of Directors and Executive Officers
During the three months ended September 30, 2024, none of our directors or officers (as defined in Rule 16a-1(f) of the Exchange Act)adopted, modified orterminated a "Rule 10b5-1 trading arrangement" or a "non-Rule 10b5-1 trading arrangement" as such terms are defined under Item 408 of Regulation S-K, except as follows(1):
| Name and title | Date of adoption of 10b5-1 Plan(2) | Scheduled expiration date of 10b5-1 Plan(3) | Aggregate number of shares of common stock to be purchased or sold(4)(5) |
|---|---|---|---|
| William J. Lynn III, Chief Executive Officer | 8/27/2024 | 8/29/2025 | Up to 180,000 shares |
| John Baylouny, Executive Vice President, Chief Operating Officer | 8/13/2024 | 4/30/2025 | Up to 40,715 shares |
| Michael D. Dippold, Executive Vice President, Chief Financial Officer | 8/13/2024 | 6/30/2025 | Up to 76,863 shares |
| Mark A. Dorfman, Executive Vice President, General Counsel & Secretary | 8/21/2024 | 6/30/2025 | Up to 67,268 shares |
| Sally Wallace, Executive Vice President Operations | 8/29/2024 | 4/30/2025 | Up to 8,393 shares |
| Pamela Morrow, Senior Vice President Controller | 8/29/2024 | 6/30/2025 | Up to 31,093 shares |
(1)Each trading arrangement listed is a “Rule 10b5-1 Trading Arrangement” and is intended to satisfy the affirmative defense of Rule 10b5-1(c), as amended.
(2)Transactions under each Rule 10b5-1 Plan commence no earlier than 90 days after adoption, or such later date as required by Rule 10b5-1.
(3)Each Rule 10b5-1 Plan may expire on the earlier of the scheduled expiration date or such earlier date as all shares under the plan are sold.
(4)Each Rule 10b5-1 Plan provides for shares to be sold on multiple predetermined dates.
(5)The actual number of shares under each Rule 10b5-1 Plan may be different than the aggregate number of shares listed based on tax withholdings and performance and vesting conditions of performance-based stock units and restricted stock units (as applicable).
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