Other Information
−Removed: (c) During the quarter ended June 30, 2024, the following individuals adopted Rule 10b5 - 1 trading arrangements, which are intended to satisfy the affirmative defense of Rule 10b5 - 1 (c) under the Exchange Act:
−Removed: our President and Chief Executive Officer Mark Emalfarb ( adopted on June 4, 2024 ); our director Jack Kaye ( adopted on June 6, 2024 ); our Vice President of Research and Business Development Ronen Tchelet ( adopted on June 7, 2024 ); and our Chief Financial Officer Ping Wang Rawson ( adopted on June 12, 2024 ).
−Removed: Each trading arrangement includes the potential sale of up to a specified number of shares of our common stock owned by the applicable individual (for Mr.
−Removed: Emalfarb, 1 million; for Mr.
−Removed: Kaye, 292,367; for Mr.
−Removed: Tchelet, 250,000; and for Ms.
−Removed: Rawson, 282,485 ), and expires on a specified date (for Mr.
−Removed: Emalfarb, December 31, 2026; for Mr.
−Removed: Kaye, June 2, 2026; for Mr.
−Removed: Tchelet, June 10, 2025; and for Ms.
−Removed: Rawson, June 12, 2026), unless earlier terminated in accordance with the provisions of the arrangement.
−Removed: Except as described above, for the quarter ended June 30, 2024, none of our directors or officers (as defined in Section 16 of the Exchange Act) adopted or terminated a “Rule 10b5 - 1 trading arrangement” or a “non-Rule 10b5 - 1 trading arrangement” (each as defined in Item 408 (a) and (c), respectively, of Regulation S-K).
+Added: (c) On September 4, 2024 , our Chief Operating Officer Joseph Hazelton adopted a Rule 10b5 - 1 trading arrangement, which is intended to satisfy the affirmative defense of Rule 10b5 - 1 (c) under the Exchange Act.
+Added: Such trading arrangement includes the potential sale of up to 81,270 shares of our common stock and expires on June 10, 2025, unless earlier terminated in accordance with the provisions of the arrangement.
+Added: Except as described above, during the quarter ended September 30, 2024 , none of our directors or officers (as defined in Section 16 of the Exchange Act) adopted or termi nated a “Rule 10b5 - 1 trading arrangement” or a “non-Rule 10b5 - 1 trading arrangement” (each as defined in Item 408 (a) and (c), respectively, of Regulation S-K).
The following Exhibits are filed as part of this report pursuant to Item 601 of Regulation S-K:
6 unchanged sentences
March 29, 2023
−Removed: License and Development Agreement between Dyadic International (USA), Inc.
−Removed: and Proliant Biologicals, LLC d/b/a Proliant Health and Biologicals, dated June 27, 2024 (1)
+Added: Amendment to Form of Senior Secured Convertible Promissory Note due March 8, 2027
+Added: October 8, 2024
+Added: Employment Agreement dated November 8, 2024, between Dyadic International, Inc.
+Added: and Ping Rawson (1)
+Added: November 12, 2024
Certification of Principal Executive Officer of Dyadic Pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
10 unchanged sentences
Cover Page Interactive Data File (embedded within the Inline XBRL and contained in Exhibit 101)
−Removed: (1) Portions of this exhibit have been omitted pursuant to Item 601(b)(10) of Regulation S-K.
+Added: (1) Identifies a management contract or compensatory plan or arrangement.
(2) Furnished herewith.
1 unchanged sentence
DYADIC INTERNATIONAL, INC.
−Removed: August 13, 2024
+Added: November 12, 2024
President and Chief Executive Officer
(Principal Executive Officer)
−Removed: August 13, 2024
+Added: November 12, 2024
Chief Financial Officer
1 unchanged sentence
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.