Item 5. Other Information
ITEM 5. OTHER INFORMATION
Trading Plans
During the period from February 27, 2023, to March 31, 2023, our Section 16 officers and directors adopted or terminated contracts, instructions or written plans for the purchase or sale of our securities as noted below:
Action Date Trading Arrangement Total Shares to be Sold Expiration Date
Rule 10b5-1* Non-Rule 10b5-1**
Robert Blanks, Chief Regulatory and Quality Assurance Officer Adoption March 24, 2023 X 45,748 December 15, 2023
Elizabeth Grammer, Esq. Chief Legal and Administrative Officer Adoption March 24, 2023 X 100,000 December 15, 2023
Laura Williams, M.D., M.P.H., Chief Medical Officer Adoption March 24, 2023 X 128,876 December 15, 2023
*Intended to satisfy the affirmative defense of Rule 10b5-1(c)
** Not intended to satisfy the affirmative defense of Rule 10b5-1(c)
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ITEM 6. Exhibits
Incorporated by Reference
Exhibit
Number Exhibit Description Form Date Number Filed
Herewith
10.1 Open Market Sale Agreement S M , dated January 18, 2023, by and between Ardelyx, Inc. and Jefferies LLC.
S-3 1/19/2023 1.2
10.2 Second Amendment to Loan and Security Agreement dated February 9, 2023, by and between Ardelyx, Inc. and SLR Investment Corp.
10-K 3/2/2023 10.24(c)
10.3 First Amendment to the Manufacturing Services Agreement dated February 27, 2023, between Ardelyx, Inc. and Patheon Pharmaceuticals Inc.
10-K 3/2/2023 10.27(b)††
31.1 Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
X
31.2 Certification of Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
X
32.1 Certification of Chief Executive Officer and Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
X
101 The following financial statements, formatted in Inline Extensible Business Reporting Language (XBRL): (i) Condensed Balance Sheets as of March 31, 2023 and December 31, 2022, (ii) Condensed Statements of Operations and Comprehensive Loss for the three months ended March 31, 2023 and 2022, (iii) Condensed Statements of Cash Flows for the three months ended March 31, 2023 and 2022, and (iv) Notes to Unaudited Condensed Financial Statements.
X
104 Cover Page Interactive Data File, formatted in Inline XBRL and contained in Exhibit 101. X
†† Certain portions of this exhibit have been redacted pursuant to Item 601(b)(10) of Regulation S-K. A copy of the omitted portions will be furnished supplementally to the Securities and Exchange Commission upon request.
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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.
Ardelyx, Inc.
Date: May 3, 2023 By: /s/ Robert Felsch
Robert Felsch
Senior Vice President and Chief Accounting Officer
(Principal Accounting Officer)
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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.