AEye, Inc. 10-Q

Item 5. Other Information Rule 10b5 - 1 Trading Plans . During the three months ended June 30, 2024 , Luis C. Dussan , a member of the Company's board of directors , in his capacity as the trustee of both the Luis Dussan Trust A U/A/D 5/18/2022 and the Jennifer Dussan Trust A U/A/D 5/18/2022, adopted identical trading plans for each trust intended to be a "Rule 10b5 - 1 trading arrangement," as that term is defined in Item 408 (a) of Regulation S-K. Each plan was adopted on or about June 13, 2024 and provides the potential sale of up to 36,000 of the Company's common shares, for a cumulative total of 72,000 common shares. The trading plans will cease upon the earlier of September 30, 2025 or the completion of all transactions subject to the trading plans. During the three months ended June 30, 2024 , no other director or officer of the Company adopted or terminated a "Rule 10b5 - 1 trading arrangement" or "non-Rule 10b5 - 1 trading arrangement" as each term is defined in Item 408 (a) of Regulation S-K. Item 6. Exhibits Exhibit Number Description Form File Number Exhibit/Appendix Reference Filing Date Filed Herewith 3.1 Second Amended and Restated Certificate of Incorporation of AEye, Inc. 8-K 001-39699 3.1 08/23/2021 3.2 Certificate of Amendment of the Second Amended and Restated Certificate of Incorporation of AEye, Inc. 10-Q 001-39699 3.2 05/11/2023 3.3 Amended and Restated Bylaws of AEye, Inc. 8-K 001-39699 3.2 08/23/2021 31.1 Certification of Principal Executive Officer pursuant to Rules 13a-14(a) and 15(d)-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 X 31.2 Certification of Principal Financial Officer pursuant to Rules 13a-14(a) and 15(d)-14(a) under the Securities Exchange Act of 1934, as adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 X 32.1* Certification of Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 X 101.INS Inline XBRL Instance Document X 101.SCH Inline XBRL Taxonomy Extension Schema Document X 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document X 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document X 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document X 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document X 104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) X * The certifications attached as Exhibit 32.1 that accompanies this Quarterly Report on Form 10-Q are deemed furnished and not filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of AEye, 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. 70 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. Dated: August 7, 2024 AEye, Inc. By: /s/ Matthew Fisch Matthew Fisch Chief Executive Officer and Chairman of the Board (Principal Executive Officer) By: /s/ Conor Tierney Conor Tierney Chief Financial Officer and Treasurer (Principal Financial Officer) 71