A Dark Vector Cognition product

Item 5. Other Information

2K characters. Original on sec.gov · Markdown

Item 5. Other Information

Rule 10b5-1 Plan Elections

During the three months ended September 30, 2021, Patrick Goris, Senior Vice President and Chief Financial Officer, and Kyle Crockett, Vice President, Controller, entered into Rule 10b5-1 stock trading plans (the "Plans"). The Plans were adopted in accordance with Rule 10b5-1 under the Exchange Act and the guidelines specified by the Company’s insider trading policy.

In accordance with Rule 10b5-1 and the Company’s insider trading policy, directors, officers and certain employees who are not then in possession of material non-public information about the Company are permitted to enter into written plans that pre-establish the amounts, prices and dates of future purchases or sales of Company stock, including shares issued upon the exercise or vesting of equity awards. Under the Company’s insider trading policy, the first trade made pursuant to a Rule 10b5-1 trading plan may take place no earlier than four months after adoption of the trading plan.

Neither Mr. Goris nor Mr. Crockett has discretion over transactions under their respective Plans. The use of these trading plans permits asset diversification as well as financial and tax planning.

Transactions under the Plans will be disclosed publicly through Form 144 and Form 4 filings with the SEC to the extent required by law. Except as required by law, the Company does not undertake to report other Rule 10b5-1 trading plans that may be adopted by the Company, any officer, director or other shareowner in the future or to report any modifications or terminations of the Plans or any other publicly disclosed trading plans.

Previous: Item 1A. Risk Factors · Next: Item 6. Exhibits