Amprius Technologies Inc
For the period ended Dec 31, 2023. Filed Mar 28, 2024.
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FY2023 · Filed Mar 28, 2024
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Item 9B. Other Information
Rule 10b5-1 Trading Plans
On December 14, 2023, Dr. Constantin Ionel Stefan, our Chief Technology Officer, entered into a stock trading plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) (a “Rule 10b5-1 Plan”), which has an end date of February 20, 2025. Dr. Stefan’s Rule 10b5-1 Plan provides for the potential sale of up to 617,949 shares of our common stock.
On September 15, 2023, Dr. Kang Sun, our Chief Executive Officer, entered into a Rule 10b5-1 Plan, which has an end date of December 19, 2024. Dr. Sun’s Rule 10b5-1 Plan provides for the potential exercise of stock options and the associated sale of up to 1,078,475 shares of our common stock.
On May 12, 2023, Jonathan Bornstein, our President of Amprius Lab, entered into a Rule 10b5-1 Plan, which has an end date of December 19, 2024. Mr. Bornstein’s Rule 10b5-1 Plan provides for the potential exercise of stock options and the associated sale of up to 2,183,851 shares of our common stock.
During our last fiscal quarter, no other director or officer, as defined in Rule 16a-1(f), adopted orterminated a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading arrangement,” each as defined in Regulation S-K Item 408.
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