AMERICAN SUPERCONDUCTOR CORP /DE/ 10-Q

ITEM 5. OTHER INFORMATION   On December 13, 2023 , Daniel P. McGahn , Chairman, President and Chief Executive Officer , adopted a Rule 10b5 - 1 trading arrangement that is intended to satisfy the affirmative defense of Rule 10b5 - 1 (c) for the sale of up to 57,724 shares of the Company’s common stock until the earlier of (i) June 28, 2024, or (ii) the date in which all shares under the trading arrangement are sold.   On December 6, 2023 , John W. Kosiba , Jr., Senior Vice President, Chief Financial Officer and Treasurer , adopted a Rule 10b5 - 1 trading arrangement that is intended to satisfy the affirmative defense of Rule 10b5 - 1 (c) for the sale of up to 61,000 shares of the Company’s common stock until the earlier of (i) June 28, 2024, or (ii) the date in which all shares under the trading arrangement are sold.   36       ITEM 6. EXHIBITS   EXHIBIT INDEX           Incorporated by Reference Exhibit Number   Exhibit Description   Form   File No.   Exhibit   Filing Date   Filed/Furnished Herewith 31.1   Chief Executive Officer—Certification pursuant to Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.                   *                           31.2   Chief Financial Officer—Certification pursuant to Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.                   *                           32.1   Chief Executive Officer—Certification pursuant to Rule13a-14(b) or Rule 15d-14(b) of the Securities Exchange Act of 1934 and 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.                   **                           32.2   Chief Financial Officer—Certification pursuant to Rule 13a-14(b) or Rule 15d-14(b) of the Securities Exchange Act of 1934 and 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.                   **                           101.INS   Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.                   *                           101.SCH   Inline XBRL Taxonomy Extension Schema Document.                    *                           101.CAL   Inline XBRL Taxonomy Calculation Linkbase Document.                    *                           101.DEF   Inline XBRL Definition Linkbase Document.                    *                           101.LAB   Inline XBRL Taxonomy Label Linkbase Document.                    *                           101.PRE   Inline XBRL Taxonomy Presentation Linkbase Document.                    *                           104    Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)                     _________________________   * Filed herewith   ** Furnished herewith   Attached as Exhibits 101 to this report are the following formatted in inline XBRL (Extensible Business Reporting Language): (i) Condensed Consolidated Balance Sheets as of December 31, 2023 and March 31, 2023 (ii) Condensed Statements of Operations for the three and nine months ended  December 31, 2023 and 2022, (iii) Condensed Consolidated Statements of Comprehensive Loss for the three and nine months ended  December 31, 2023 and 2022, (iv) Condensed Consolidated Statements of Cash Flows for the nine months ended  December 31, 2023 and 2022, and (v) Notes to Condensed Consolidated Financial Statements.   37     SIGNATURE   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.         AMERICAN SUPERCONDUCTOR CORPORATION             By: /s/ John W. Kosiba, Jr. Date: January 24, 2024   John W. Kosiba, Jr.       Senior Vice President, Chief Financial Officer and Treasurer (Principal Financial and Accounting Officer)           38