Item 5. Other Information
Item 5. Other Information.
On September 15, 2023 , George Chamoun , our Chief Executive Officer and a member of our Board of Directors , adopted a “Rule 10b5-1 trading arrangement” (as defined in Item 408 of Regulation S-K) (the “Chamoun Plan”). The Chamoun Plan contemplates the sale of up to 700,000 shares between March 19, 2024 and June 21, 2024, subject to certain volume limitations and excluding specified “No Sale” periods. The Chamoun Plan is scheduled to terminate on June 21, 2024 .
On August 30, 2023 , William Zerella , our Chief Financial Officer , adopted a Rule 10b5-1 trading arrangement (the “Zerella Plan”). The Zerella Plan contemplates the sale of up to 490,000 shares between January 9, 2024 and December 31, 2024, subject to certain volume limitations and excluding specified “No Sale” periods. The Zerella Plan is scheduled to terminate on December 31, 2024 .
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On September 15, 2023 , Craig Anderson , our Chief Corporate Development and Strategy Officer , adopted a Rule 10b5-1 trading arrangement (the “Anderson Plan”). The Anderson Plan contemplates the sale of up to 490,000 shares between December 19, 2023 and December 31, 2024, subject to certain volume limitations and excluding specified “No Sale” periods. The Anderson Plan is scheduled to terminate on December 31, 2024 .
On September 15, 2023 , Vikas Mehta , our Chief Operating Officer , adopted a Rule 10b5-1 trading arrangement (the “Mehta Plan”). The Mehta Plan contemplates the sale of up to 742,500 shares between December 15, 2023 and December 31, 2024, subject to certain volume limitations and excluding specified “No Sale” periods. The Mehta Plan is scheduled to terminate on December 31, 2024 . Other than disclosed above, no other officer or director adopted, modified or terminated a Rule 10b5-1 trading arrangement or “non-Rule 10b5-1 trading arrangement” (as defined in Item 408 of Regulation S-K) during the three months ended September 30, 2023.
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Item 6. Exhibits.
Exhibit Number
Description
Form
File No.
Exhibit
Filing Date
Filed Herewith
3.1
Amended and Restated Certificate of Incorporation of the Registrant, as currently in effect.
8-K
001-40256
3.1
March 26, 2021
3.2
Amended and Restated Bylaws of the Registrant, as currently in effect.
8-K
001-40256
3.2
March 26, 2021
31.1
Certification of Principal Executive Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
X
31.2
Certification of Principal Financial Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
X
32.1*
Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
X
32.2*
Certification of Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
X
101.INS
Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL document.
101.SCH
Inline XBRL Taxonomy Extension Schema Document
101.CAL
Inline XBRL Taxonomy Extension Calculation Linkbase Document
101.DEF
Inline XBRL Taxonomy Extension Definition Linkbase Document
101.LAB
Inline XBRL Taxonomy Extension Label Linkbase Document
101.PRE
Inline XBRL Taxonomy Extension Presentation Linkbase Document
38
104
Cover Page Interactive Data File (embedded within the Inline XBRL document)
* This certification is deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date hereof, regardless of any general incorporation language in such filing.
39
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
ACV Auctions Inc.
Date: Nov 6, 2023
By:
/s/ George Chamoun
George Chamoun
Chief Executive Officer and Director
Date: Nov 6, 2023
By:
/s/ William Zerella
William Zerella
Chief Financial Officer
40
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.