1 unchanged sentence
Adoption or Termination of Trading Arrangements by Directors and Executive Officers
−Removed: During the fiscal quarter ended June 30, 2023, none of our directors or officers (as defined in Rule 16a-1(f) of the 1934 Act) informed us of the adoption or termination of any "Rule 10b5-1 trading arrangement" or "non-Rule 10b5-1 trading arrangement," as those terms are defined in Item 408 of Regulation S-K, except as described in the table below.
−Removed: Name and Title Date Adopted Character of Trading Arrangement (1)
−Removed: Aggregate Number of Shares of Common Stock to be Purchased or Sold Pursuant to Trading Arrangement Duration (2)
−Removed: Date Terminated
−Removed: Glen Herrick , EVP Chief Financial Officer
−Removed: May 16, 2023 Rule 10b5-1 Trading Arrangement (3)
−Removed: Up to 20,000 shares to be sold
−Removed: November 1, 2023 to January 30, 2024 Not applicable
−Removed: (1 ) Except as indicated by footnote, the trading arrangement marked as "Rule 10b5-1 Trading Arrangement" in the above table (the "Trading Arrangement") is intended to satisfy the affirmative defense of Rule 10b5-1(c), as amended (the "Rule").
−Removed: (2) The Trading Arrangement permits transactions through:
−Removed: (a) the termination or suspension of the Trading Arrangement, or (b) the earliest to occur of (i) the date set forth in the above table, (ii) completion of all sales under the Trading Arrangement, (iii) receipt of notice of Mr.
−Removed: Herrick’s death, or (iv) receipt of notice of the commencement of any proceedings in respect of or triggered by Mr.
−Removed: Herrick’s bankruptcy or insolvency.
−Removed: The Trading Arrangement only permits transactions after expiration of the applicable mandatory cooling-off period under the Rule.
−Removed: (3) Compiled with the then-applicable requirements of Rule 10b5-1(c) when adopted in May 2023.
+Added: During the fiscal quarter ended December 31, 2023, none of our directors or officers (as defined in Rule 16a-1(f) of the 1934 Act) informed us of the adoption or termination of any "Rule 10b5-1 trading arrangement" or "non-Rule 10b5-1 trading arrangement," as those terms are defined in Item 408 of Regulation S-K.
Number Description
+Added: Offer Letter between the Company and Gregory Sigrist, dated as of October 2, 2023, filed on October 5, 2023 as an exhibit to the Registrant's Current Report on Form 8-K, is incorporated herein by reference.
Section 302 certification of Chief Executive Officer.
2 unchanged sentences
Section 906 certification of Chief Financial Officer.
−Removed: 101 The following financial information from the Company's Quarterly Report on Form 10-Q for the quarter ended June 30, 2023 formatted in Inline Extensible Business Reporting Language (iXBRL) includes:
+Added: 101 The following financial information from the Company's Quarterly Report on Form 10-Q for the quarter ended December 31, 2023 formatted in Inline Extensible Business Reporting Language (iXBRL) includes:
(i) Cover Page, (ii) Condensed Consolidated Statements of Financial Condition, (iii) Condensed Consolidated Statements of Operations, (iv) Condensed Consolidated Statements of Comprehensive Income, (v) Condensed Consolidated Statements of Changes in Stockholders' Equity, (vi) Condensed Consolidated Statements of Cash Flows, and (vii) Notes to Condensed Consolidated Financial Statements, tagged in summary and in detail.
104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101).
+Added: * Management contract or compensatory plan or agreement.
PATHWARD FINANCIAL, INC.
1 unchanged sentence
PATHWARD FINANCIAL, INC.
−Removed: August 8, 2023
+Added: February 8, 2024
Chief Executive Officer and Director
−Removed: August 8, 2023
+Added: February 8, 2024
+Added: /s/ Gregory A.
Executive Vice President and Chief Financial Officer
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.