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Sezzle Inc

For the period ended Sep 30, 2024. Filed Nov 8, 2024.

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About 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.

Sep 30, 2024 · Filed Nov 8, 2024

SEZL$150.84+0.9%Stored close · as of Nov 9, 2026

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Item 5. Other Information

Rule 10b5-1(c) and/or non-Rule 10b5-1 Trading Arrangements

During the quarter ended September 30, 2024, none of the officers (as defined in Exchange Act Rule 16a-1(f)) or directors of the Company adopted orterminated a “Rule 10b5-1 trading arrangement,” (as defined in Item 408(a) of Regulation S-K) intended to satisfy the affirmative defense conditions of Exchange Act Rule 10b5-1(c) or any non-Rule 10b5-1 trading arrangement, except as follows:

On September 3, 2024, Paul Paradis, the Company’s President, terminated a Rule 10b5-1 trading arrangement (the “Paradis Plan”) that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). On September 13, 2024, Paradis’ spouse entered into a Rule 10b5-1 trading arrangement (the “Spousal Plan”) that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). The Spousal Plan provides for the potential sale of up to 74,432 shares of the Company’s common stock, between an estimated start date of January 2, 2025, until termination of the Paradis Plan on September 12, 2025, or earlier if all transactions under the Spousal Plan are completed.

On September 20, 2024, Karen Hartje, the Company’s Chief Financial Officer, adopted a Rule 10b5-1 trading arrangement (the “Hartje Plan”) that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). The Hartje Plan provides for the potential sale of up to 82,796 shares of the Company’s common stock, between an estimated start date of December 23, 2024, until termination of the Hartje Plan on December 22, 2025, or earlier if all transactions under the Hartje Plan are completed.

However, our officers (as defined in Exchange Act Rule 16a-1(f)) and directors may adopt 10b5-1 Plans or non-Rule 10b5-1 trading arrangements in the future.

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The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.