Other Information .
−Removed: On June 13, 2023 , Craig D.
−Removed: Smith , President and CEO of PPM America Inc., and an executive officer of Jackson Financial, terminated a Rule 10b5-1 trading arrangement he adopted on March 13, 2023 (the “Plan”).
−Removed: The Plan provided for the sale of up to 23,894 shares of the Company’s common stock and was scheduled to expire upon the earlier of March 1, 2024 or the sale of all shares subject to the Plan.
+Added: During the three months ended September 30, 2023, no directors or officers of Jackson Financial adopted or terminated any contract, instruction or written plan for the purchase or sale of Jackson Financial’s securities intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) (a “Rule 10b5-1 trading arrangement”) or any “non-Rule 10b5-1 trading arrangement” as defined under the securities laws.
+Added: We do not intend to respond in the future to this item if there are no such trading arrangements or plans adopted or terminated.
The following documents are filed as exhibits hereto:
Number Description
−Removed: Form of 2023 Notice of Award of Restricted Share Units and 2023 Director Restricted Share Unit Agreement (annual equity retainer) between Jackson Financial Inc.
−Removed: and each of Lily Fu Claffee, Gregory T.
−Removed: Durant, Steven A.
−Removed: Kandarian, Derek G.
−Removed: Kirkland, Drew Lawton, Martin J.
−Removed: Lippert, Russell G.
−Removed: Noles, and Esta E.
−Removed: Form of 2023 Notice of Award of Restricted Share Units and 2023 Director Restricted Share Units Agreement (annual equity in lieu of cash retainer) between Jackson Financial Inc.
−Removed: and each of Lily Fu Claffee, Martin J.
−Removed: Lippert and Esta E.
+Added: Notice of Award of Restricted Share Units and 2023 Restricted Share Unit Award Agreement (Mid-Cycle) between Jackson Financial Inc.
+Added: and Christopher Raub.
+Added: Notice of Award of Performance Units and 2023 Performance Unit Award Agreement (Mid-Cycle) between Jackson Financial Inc.
+Added: and Christopher Raub.
31.1* Certification of the Chief Executive Officer pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
15 unchanged sentences
JACKSON FINANCIAL INC.
−Removed: August 8, 2023
+Added: November 8, 2023
/s/ Marcia Wadsten
4 unchanged sentences
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.