Connect Biopharma Holdings Ltd
For the period ended Jun 30, 2026. Filed Aug 12, 2026.
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Jun 30, 2026 · Filed Aug 12, 2026
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ITEM 5. Other Information
(c) Trading Plans
On June 12, 2026, David Szekeres, the Company’s President, adopted a “Rule 10b5-1 trading arrangement” (as defined in Item 408(a) of Regulation S-K) intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act. The trading arrangement provides for the sale, from time to time and subject to certain price limits, of an aggregate of up to 400,000 ordinary shares, consisting of certain equity awards granted to Mr. Szekeres and certain ordinary shares purchased by Mr. Szekeres. The trading arrangement commences following the expiration of the applicable mandatory cooling-off period pursuant to Rule 10b5-1(c) under the Exchange Act and expires after approximately twelve months, subject to earlier termination in accordance with the terms of the trading arrangement.
On June 12, 2026, Lisa Peraza, CPA, the Company’s Senior Vice President, Finance and Principal Financial and Accounting Officer, adopted a “Rule 10b5-1 trading arrangement” (as defined in Item 408(a) of Regulation S-K) intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act. The trading arrangement provides for the sale, from time to time and subject to certain price limits, of an aggregate of up to 77,591 ordinary shares, consisting of certain equity awards granted to Ms. Peraza and certain ordinary shares purchased by Ms. Peraza. The trading arrangement commences following the expiration of the applicable mandatory cooling-off period pursuant to Rule 10b5-1(c) under the Exchange Act and expires after approximately twelve months, subject to earlier termination in accordance with the terms of the trading arrangement.
Except as disclosed above, during the quarter ended June 30, 2026, none of our other directors or officers (as defined in Rule 16a-1(f))adopted orterminated a (i) Rule 10b5-1 trading arrangement (as defined in Item 408(a) of Regulation S-K) or (ii) non-Rule 10b5-1 trading arrangement (as defined in Item 408(c) of Regulation S-K).
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