Grocery Outlet Holding Corp
For the period ended Sep 28, 2024. Filed Nov 6, 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 28, 2024 · Filed Nov 6, 2024
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Item 5. Other Information
Rule 10b5-1 Trading Plans and Arrangements - Directors and Section 16 Officers
The following table describes contracts, instructions or written plans for the sale or purchase of our securities, which are intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) of the Exchange Act, referred to as Rule 10b5-1 trading plans, that were terminated by our directors or Officers (as such term is defined under Section 16 of the Exchange Act) during the 13 weeks ended September 28, 2024. No such plans were adopted during the 13 weeks ended September 28, 2024.
| 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 | Aggregate Number of Securities to be Purchased or Sold |
|---|---|---|---|---|
| Robert J. Sheedy, Jr.President and Chief Executive Officer; Director (1) | 3/4/2024 | 8/21/2024 | 11/25/2024 | Up to 10,389 shares of our common stock upon the exercise of stock options (2) |
(1)As disclosed in Note 11 to the condensed consolidated financial statements, on October 29, 2024, Mr. Sheedy stepped down from his positions as President and Chief Executive Officer, and resigned as a director.
(2)The stock options included in Mr. Sheedy's 10b5-1 plan have an expiration date of November 25, 2024.
Non-Rule 10b5-1 Trading Arrangements
During the 13 weeks ended September 28, 2024, no "non-Rule 10b5-1 trading arrangements" (as defined in Item 408(c) of SEC Regulation S-K) were adopted, modified orterminated by our directors or Officers.
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