ARDELYX, INC. 10-Q

ITEM 5. OTHER INFORMATION Trading Plans During the three months ended September 30, 2024, 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: Name and Title of Director or Officer Action Date Trading Arrangement Total Shares Available to be Sold Expiration Date Rule 10b5-1* Non-Rule 10b5-1** Michael Raab , President and Chief Executive Officer Adoption September 4, 2024 X 500,000 January 2, 2026 *Intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) **Not intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) 74 Table of Contents ITEM 6. Exhibits Incorporated by Reference Exhibit Number Exhibit Description Form Date Number Filed Herewith 3.1 Amended and Restated Certificate of Incorporation. 8-K June 24, 2024 3.1 3.2 Certificate of Amendment to Amended and Restated Certificate of Incorporation. 8-K June 20, 2023 3.1 3.3 Amended and Restated Bylaws. 8-K June 24, 2014 3.2 10.1† Commercial Supply Agreement , dated August 7, 2024 and effective as of July 23, 2024, by and between Ardelyx, Inc. and Catalent. 8-K August 12, 2024 10.1 10.2† Commercial Supply Agreement, dated October 25, 2024, by and among Ardelyx, Inc., Hovione Farmaciência, S.A. and Hovione, LLC . X 10.3 Lease Agreement, dated October 3, 2024, by and between Ardelyx, Inc. and BMR-Pacific Research Center LP. 8-K October 9, 2024 10.1 10.4 Sixth Amendment to Lease, dated May 25, 2021, by and between Ardelyx, Inc. and 34175 Ardenwood Venture, LLC. 8-K October 9, 2024 10.2 10.5 Fourth Amendment to the Loan and Security Agreement dated October 29, 2024, by and between Ardelyx, Inc. and SLR Investment Corp. X 10.6# Offer Letter, dated July 25, 2024 by and between Alderyx, Inc. and Eric Foster. X 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 September 30, 2024 and December 31, 2023, (ii) Condensed Statements of Operations and Comprehensive Income (Loss) for the three and nine months ended September 30, 2024 and 2023, (iii) Condensed Statements of Changes in Stockholders Equity for the three and nine months ended September 30, 2024 and 2023, (iv) Condensed Statements of Cash Flows for the nine months ended September 30, 2024 and 2023, and (v) Notes to Unaudited Condensed Financial Statements. X 104 Cover Page Interactive Data File, formatted in Inline XBRL and contained in Exhibit 101. X † Portions of the exhibit, marked by brackets, have been omitted because the omitted information (i) is not material and (ii) is the type that the Company treats as private or confidential. 75 Table of Contents # Indicates management contract or compensatory plan. *The certification attached as Exhibit 32.1 that accompanies this Quarterly Report on Form 10-Q, is deemed furnished and not filed with the Securities and Exchange Commission is not to be incorporated by reference into any filing of Ardelyx, Inc. under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Quarterly Report on Form 10-Q, irrespective of any general incorporation language contained in such filing. 76 Table of Contents 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: October 31, 2024 By: /s/ Robert Felsch Robert Felsch Senior Vice President and Chief Accounting Officer (Principal Accounting Officer) 77