Item 5. Other Information
ITEM 5. OTHER INFORMATION
Insider Trading Plans
On May 28, 2024 , our director Steffen Thomas , adopted
a trading arrangement (the “Thomas 10b5-1 Trading Plan”) for the sale of shares of Common Stock that is intended to satisfy
the affirmative defense conditions of Exchange Act Rule 10b5-1. The Thomas 10b5-1 Trading Plan has a term of two years and provides for
the sale of up to 245,500 shares of Common Stock at prices of $19 - $49.
39
Other than with respect to the Thomas 10b5-1 Trading
Plan, none of our directors or Section 16 officers informed us of the adoption , modification or termination of a “Rule 10b5-1 trading
arrangement” or “non-Rule 10b5-1 trading arrangement” (in each case, as defined in Item 408(a) of Regulation S-K) during
the three-month period ended June 30, 2024.
ITEM 6. EXHIBITS
Exhibit
Number
Description
(3)
Articles of Incorporation and Bylaws
3.1
Articles of Incorporation (incorporated by reference to Exhibit 3.1 to our Annual Report on Form 10-K for the year ended September 30, 2021, filed on November 24, 2021)
3.2
Bylaws (incorporated by reference to our Current Report on Form 8-K filed on April 14, 2023)
(31)
Rule 13a-14(a)/15(d)-14(a)Certifications
31.1*
Certification of Christopher Missling, PhD.
31.2*
Certification of Sandra Boenisch
(32)
Section 1350 Certifications
32.1**
Certification of Christopher Missling, PhD and Sandra Boenisch.
(101)
XBRL
101.INS*
XBRL INSTANCE DOCUMENT
101.SCH*
XBRL TAXONOMY EXTENSION SCHEMA
101.CAL*
XBRL TAXONOMY EXTENSION CALCULATION LINKBASE
101.DEF*
XBRL TAXONOMY EXTENSION DEFINITION LINKBASE
101.LAB*
XBRL TAXONOMY EXTENSION LABEL LINKBASE
101.PRE*
XBRL TAXONOMY EXTENSION PRESENTATION LINKBASE
* Filed herewith.
** Furnished herewith.
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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.
ANAVEX LIFE SCIENCES CORP.
/s/Christopher Missling, PhD
Christopher Missling, PhD
Chief Executive Officer
(Principal Executive Officer)
Date: August 6, 2024
/s/Sandra Boenisch
Sandra Boenisch, CPA, CGA
Principal Financial Officer
(Principal Financial and Accounting Officer)
Date: August 6, 2024
41
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.