Humacyte Inc
For the period ended Jun 30, 2024. Filed Aug 13, 2024.
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Jun 30, 2024 · Filed Aug 13, 2024
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Item 5. Other Information
Director and Officer Trading Arrangements
On May 14, 2024, Yang (Cindy) Cao, the Company’s Chief Regulatory Officer, adopted a trading arrangement for the sale of the Company’s Common Stock that is intended to satisfy the affirmative defense conditions provided by Rule 10b5-1(c) under the Exchange Act. (the “Cao 10b5-1 Plan”). The Cao 10b5-1 Plan provides for a first possible trade date of August 12, 2024 and terminates automatically on the earlier of the execution of all trades contemplated by the Cao 10b5-1 Plan, or May 12, 2025. The Cao 10b5-1 Plan provides for the sale of up to 18,503 shares of Common Stock pursuant to its terms.
On June 14, 2024, Laura Niklason, the Company’s President and Chief Executive Officer, adopted a trading arrangement for the sale of the Company’s Common Stock that is intended to satisfy the affirmative defense conditions provided by Rule 10b5-1(c) under the Exchange Act. (the “Niklason 10b5-1 Plan”). The Niklason 10b5-1 Plan provides for a first possible trade date of September 12, 2024 and terminates automatically on the earlier of the execution of all trades contemplated by the Niklason 10b5-1 Plan, or October 13, 2025. The Niklason 10b5-1 Plan provides for the sale of up to 200,000 shares of Common Stock pursuant to its terms.
On June 14, 2024, Heather Prichard, the Company’s Chief Operating Officer, adopted a trading arrangement for the sale of the Company’s Common Stock that is intended to satisfy the affirmative defense conditions provided by Rule 10b5-1(c) under the Exchange Act. (the “Prichard 10b5-1 Plan”). The Prichard 10b5-1 Plan provides for a first possible trade date of September 12, 2024 and terminates automatically on the earlier of the execution of all trades contemplated by the Prichard 10b5-1 Plan, or June 13, 2025. The Prichard 10b5-1 Plan provides for the sale of up to 184,177 shares of Common Stock pursuant to its terms.
Other than as disclosed above, during the three months ended June 30, 2024, no director or officer (as defined in Rule 16a-1(f) under the Exchange Act) of the Company adopted orterminated any “Rule 10b5-1 trading arrangement” or any “non Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K.
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