Grocery Outlet Holding Corp
For the period ended Mar 30, 2024. Filed May 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.
Mar 30, 2024 · Filed May 8, 2024
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Item 5. Other Information
Rule 10b5-1 Trading Plans - Directors and Section 16 Officers
The following table describes contracts, instructions or written plans for the sale or purchase of our securities adopted orterminated by our directors and Officers (as such term is defined under Section 16 of the Exchange Act) during the 13 weeks ended March 30, 2024, which is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) of the Exchange Act, referred to as Rule 10b5-1 trading plan:
| Name and Position | Date of Adoption of Rule 10b5-1 Trading Plan | Date of Termination of Rule 10b5-1 Trading Plan | Scheduled Expiration of Rule 10b5-1 Trading Plan (1) | Aggregate Number of Securities to be Purchased or Sold |
|---|---|---|---|---|
| Eric J. Lindberg, Jr.Chairman of the Board of Directors | 8/15/2023 | 2/29/2024 | 8/23/2024 | Up to 680,000 shares of our common stock upon the exercise of stock options (2) |
| Steven K. WilsonEVP, Chief Purchasing Officer | 8/28/2023 | 3/18/2024 | 8/16/2024 | Up to 144,666 shares of our common stock (which included 32,017 shares upon the exercise of stock options) (2) |
| Robert J. Sheedy, Jr.President and Chief Executive Officer; Director | 3/4/2024 | Not applicable | 11/25/2024 (3) | Up to 10,389 shares of our common stock upon the exercise of stock options (3) |
(1)A trading plan may also expire on such earlier date as all transactions under the trading plan are completed.
(2)The stock options included in Mr. Lindberg and Mr. Wilson's 10b5-1 plans had expiration dates of October 21, 2024 and November 25, 2024, respectively.
(3)The stock options included in Mr. Sheedy's 10b5-1 plan have an expiration date of November 25, 2024. Due to the expiration of the stock options on such date, that is the effective termination date of the plan.
During the 13 weeks ended March 30, 2024, none of our directors and Officers (i)adopted a contract, instruction or written plan for the purchase or sale of our securities in any "non-Rule 10b5-1 trading arrangement" or (ii)terminated a contract, instruction or written plan for the purchase or sale of our securities in any "non-Rule 10b5-1 trading arrangement."
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