filings.toolsItem 5. OTHER INFORMATION
2K characters. Original on sec.gov ·
Item 5. OTHER INFORMATION
Rule 10b5-1 Trading Plans
The following table discloses the adoption of Rule 10b5-1 trading plans for the sale of shares of our common stock by our directors and officers (as defined in Rule 16a-1(f) under the Securities Exchange Act of 1934, as amended) during the three months ended June 30, 2023, each of which is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act.
| Name | Title | Plan Adoption and/or Termination | Plan Adoption Date | Plan Expiration Date (1) | Purchase or Sale | Aggregate Number of IBKR shares to be Sold | ||||||
| Thomas A. Frank | Executive Vice President and Chief Information Officer | Adoption | June 9, 2023 | May 17, 2024 | Sale | 1,000,000 | ||||||
| Paul J. Brody | Chief Financial Officer, Treasurer, Secretary and Director | Adoption | June 9, 2023 | May 17, 2024 | Sale | 500,000 |
(1)Or upon the earlier completion of all authorized transactions under the plan.
Other than as disclosed above, no other director or officer adopted, modified or terminated a contract, instruction or written plan for the purchase or sale of our securities intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or a “non-Rule 10b5-1 trading arrangement”, as defined in Item 408(c) of Regulation S-K.
Previous: Item 1A. RISK FACTORS · Next: Item 6. Exhibits