Vaxcyte Inc
For the period ended Jun 30, 2024. Filed Aug 6, 2024.
View on SEC.govAbout this filing
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 6, 2024
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 5. Other Information
Trading Arrangements
The adoption, modification or termination of contracts, instructions or written plans for the purchase or sale of our securities by our Section 16 officers or directors for the three months ended June 30, 2024, each of which was entered into during an open trading window and is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act (“10b5-1 Plan”), were as follows:
Grant Pickering, our Chief Executive Officer and a member of our Board, adopted a 10b5-1 Plan on April 12, 2024, with an effective date of October 1, 2024. Mr. Pickering’s 10b5-1 Plan provides for the potential sale of up to 45,000 shares of our common stock held by Mr. Pickering and the potential exercise and sale of up to 195,000 shares of our common stock held by Mr. Pickering. Mr. Pickering’s 10b5-1 Plan also provides for the potential sale of up to 35,490 shares of our common stock held by trusts in which the beneficiaries are children of Mr. Pickering. Mr. Pickering's 10b5-1 Plan expires on October 1, 2025, or upon the earlier completion of all authorized transactions thereunder.
Andrew Guggenhime, our President and Chief Financial Officer, adopted a 10b5-1 Plan on May 17, 2024, with an effective date of October 18, 2024. Mr. Guggenhime’s 10b5-1 Plan provides for the potential exercise and sale of up to 146,000 shares of our common stock, and expires on October 17, 2025, or upon the earlier completion of all authorized transactions thereunder.
Mikhail Eydelman, our General Counsel, Chief Compliance Officer and Corporate Secretary, adopted a 10b5-1 Plan on June 11, 2024, with an effective date of October 1, 2024. Mr. Eydelman’s 10b5-1 Plan provides for the potential exercise and sale of up to 65,500 shares of our common stock, and expires on September 30, 2025, or upon the earlier completion of all authorized transactions thereunder.
Teri Loxam, amember of our Board, adopted a 10b5-1 Plan on June 18, 2024, with an effective date of September 16, 2024. Ms. Loxam’s 10b5-1 Plan provides for the potential exercise and sale of up to 12,500 shares of our common stock, and expires on September 15, 2025, or upon the earlier completion of all authorized transactions thereunder.
Halley Gilbert, amember of our Board, terminated her 10b5-1 Plan on June 16, 2024. Ms. Gilbert’s 10b5-1 Plan was originally adopted on March 1, 2024 for the potential exercise and sale of up to 51,950 shares of our common stock until May 31, 2025, or upon the earlier completion of all authorized transactions thereunder.
During the three months ended June 30, 2024, none of the Company’s other directors or Section 16 officers adopted, modified or terminated any Rule 10b5-1 trading arrangement or non-Rule 10b5-1 trading arrangement (as such terms are defined in Item 408 of Regulation S-K).
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.