A Dark Vector Cognition product

Item 5. Other Information

2K characters. Original on sec.gov · Markdown

Item 5. Other Information

10b 5-1 Trading Plans

Our officers (as defined in Rule 16a-1(f) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”)) (“Section 16 Officers”) and directors from time to time enter into contracts, instructions or written plans for the purchase or sale of our securities that are intended to satisfy the conditions specified in Rule 10b5-1(c) under the Exchange Act for an affirmative defense against liability for trading in securities on the basis of material nonpublic information. We refer to these contracts, instructions, and written plans as “Rule 10b5-1 trading plans” and each one as a “Rule 10b5-1 trading plan.” During our fiscal quarter ended June 30, 2024, the following Section 16 Officers or directors adopted, modified or terminated Rule 10b5-1 trading plans:

Sanjay Mehta, Chief Financial Officer and Treasurer

Sanjay Mehta, our Vice President, Chief Financial Officer and Treasurer, entered into a new Rule 10b5-1 trading plan on May 20, 2024. The Rule 10b5-1 trading plan provides that Mr. Mehta, acting through a broker, may sell up to an aggregate of 28,049 shares. Subject to price limits, the first trade under Mr. Mehta's Rule 10b5-1 trading plan is scheduled for August 20, 2024. Mr. Mehta's plan is scheduled to terminate on May 19, 2025, subject to earlier termination upon the sale of all shares subject to the plan, upon termination by Mr. Mehta or the broker, or as otherwise provided in the plan.

Gregory Smith, President and Chief Executive Officer

Gregory Smith, our President and Chief Executive Officer, entered into a new Rule 10b5-1 trading plan on June 7, 2024. The Rule 10b5-1 trading plan provides that Mr. Smith, acting through a broker, may sell up to an aggregate of 15,400 shares. Subject to price limits, the first trade under Mr. Smith’s Rule 10b5-1 trading plan is scheduled for September 6, 2024. Mr. Smith’s plan is scheduled to terminate on January 31, 2025, subject to earlier termination upon the sale of all shares subject to the plan, upon termination by Mr. Smith or the broker, or as otherwise provided in the plan.

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