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SOUNDHOUND AI INC

For the period ended Sep 30, 2024. Filed Nov 12, 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 30, 2024 · Filed Nov 12, 2024

SOUN$3.87-4.4%Stored close · as of Nov 10, 2026

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Item 5. Other Information

Insider Trading Arrangements

During the fiscal quarter ended September 30, 2024, the following Section 16 officers and directors adopted, modified orterminated a “Rule 10b5-1 trading arrangement” (as defined in Item 408 of Regulation S-K of the Exchange Act):

Dr. Keyvan Mohajer, Chief Executive Officer and Director, adopted a new trading plan on August 30, 2024 (with the first trade under the new plan not to be made prior to December 1, 2024). The trading plan will be effective until February 28, 2025 and provides for the sale of up to 2,400,000 shares of Dr. Mohajer's 14,139,064 shares of Class B common stock, up to 461,026 shares of Class A common stock issuable upon exercise of outstanding options, and up to 461,026 shares of Class A common stock issuable upon vesting and settlement of certain RSUs and PSUs, provided that certain conditions are met.

Majid Emami, Chief Science Officer and Senior Vice President, adopted a new trading plan on August 28, 2024 (with the first trade under the new plan not to be made prior to December 1, 2024). The trading plan will be effective until May 31, 2025 and provides for the sale of up to 2,400,000 shares of Mr. Emami's 16,583,756 shares of Class B common stock, up to 666,748 shares of Class A common stock issuable upon exercise of outstanding options, and up to 254,067 shares of Class A common stock issuable upon vesting and settlement of certain RSUs and PSUs, provided that certain conditions are met.

James M. Hom, Chief Product Officer and Director, adopted a new trading plan on August 26, 2024 (with the first trade under the new plan not to be made prior to December 16, 2024). The trading plan will be effective until March 31, 2025 and provides for the sale of up to 400,000 shares of Mr. Hom’s 2,012,588 shares of Class B common stock and up to 191,857 shares of Class A common stock issuable upon vesting and settlement of certain RSUs and PSUs, provided that certain conditions are met.

Diana Sroka, Director, adopted a modified trading plan on August 12, 2024 (with the first trade under the new plan not to be made prior to December 23, 2024). The trading plan will be effective until December 31, 2025 and provides for the sale of up to 9,604 shares of Ms. Sroka's Class A common stock issuable upon vesting and settlement of certain RSUs, provided that certain conditions are met.

There were no “non-Rule 10b5-1 trading arrangements” (as defined in Item 408 of Regulation S-K of the Exchange Act)adopted, modified orterminated during the fiscal quarter ended September 30, 2024 by our directors and Section 16 officers. Each of the Rule 10b5-1 trading arrangements are in accordance with our Insider Trading Policy and actual sale transactions made pursuant to such trading arrangements will be disclosed publicly in Section 16 filings with the SEC in accordance with applicable securities laws, rules and regulations.

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