SOUNDHOUND AI, INC.
For the period ended Sep 30, 2026. Filed Nov 9, 2026.
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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, 2026 · Filed Nov 9, 2026
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Item 5. Other Information
Insider Trading Arrangements
During the fiscal quarter ended September 30, 2026, 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 24, 2026 (with the first trade under the new plan not to be made prior to December 1, 2026). The trading plan will be effective until February 28, 2027 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 and up to 1,171,059 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 20, 2026 (with the first trade under the new plan not to be made prior to January 1, 2027). The trading plan will be effective until March 31, 2027 and provides for the sale of up to 750,000 shares of Mr. Hom's 1,812,588 shares of Class B common stock and up to 377,527 shares of Class A common stock issuable upon vesting and settlement of certain RSUs, provided that certain conditions are met.
Majid Emami, Chief Science Officer and Senior Vice President, adopted a new trading plan on August 31, 2026 (with the first trade under the new plan not to be made prior to January 1, 2027). The trading plan will be effective until June 30, 2027 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 and up to 439,253 shares of Class A common stock issuable upon vesting and settlement of certain RSUs and PSUs, provided that certain conditions are met.
Michael Zagorsek, Chief Operating Officer, adopted a new trading plan on September 22, 2026 (with the first trade under the new plan not to be made prior to January 1, 2027). The trading plan will be effective until March 31, 2027 and provides for the sale of up to 1,188,139 shares of Class A common stock issuable upon vesting and exercise of certain stock options, provided that certain conditions are met.
Diana Sroka, Director, adopted a new trading plan on May 28, 2026 (with the first trade under the new plan not to be made prior to August 27, 2026). The trading plan will be effective until June 30, 2027 and provides for the sale of 7,553 shares of Class A common stock, 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, 2026 by our directors and Section 16 officers. Each of the Rule 10b5-1 trading arrangements is 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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