Item 5. Other Information
Item 5. OTHER INFORMATION
(c) Our Section 16 officers and directors, as defined in Rule 16a-1(f) of the Securities and Exchange Act of 1934 (the “Exchange Act”), may from time to time enter into plans for the purchase or sale of our common stock that are intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) of the Exchange Act. During the quarter ended June 30, 2024, the following directors adopted “Rule 10b5-1 trading arrangements ” (as defined in Item 408 of Regulation S-K of the Exchange Act):
Brian Healy , a Member of the Board of Directors , adopted a written trading plan on May 15, 2024 . The trading plan’s maximum duration is until January 30, 2025 . The first trade will not occur until August 14, 2024. The trading plan is intended to permit Mr. Healy to purchase up to $75,000 worth of shares of common stock of the Company, subject to certain conditions.
Christine Ortiz , a Member of the Board of Directors , adopted a written trading plan on May 10, 2024 . The trading plan’s maximum duration is until March 7, 2025 . The first trade will not occur until August 14, 2024. The trading plan is intended to permit Dr. Ortiz to sell up to 20,760 shares of common stock of the Company, subject to certain conditions.
Each of these trading plans was adopted during an open trading window.
36
Table of Contents
No other Section 16 officers or directors, as defined in Rule 16a-1(f), adopted, modified, or terminated a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading arrangement,” as defined in Item 408 of Regulation S-K, during the three months ended June 30, 2024.
Item 6. EXHIBITS
Exhibit No. Document
10.1+*
L etter Agreement, amending Employment Agreement date d August 21, 2023, by an d between Mueller Water Products, Inc. and Paul McAndrew.
31.1* Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 .
31.2* Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 .
32.1* Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 .
32.2* Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
101* The following financial information from the Quarterly Report on Form 10-Q for the quarter ended March 31, 2024, formatted in XBRL (Extensible Business Reporting Language), (i) the Unaudited Condensed Consolidated Balance Sheets , (ii) the Unaudited Condensed Consolidated Statements of Operations , (iii) the Unaudited Condensed Consolidated Statements of Comprehensive Income , (iv) the Unaudited Condensed Consolidated Statements of Stockholders' Equity , (v) the Unaudited Condensed Consolidated Statements of Cash Flows , and (vi) the Notes to Unaudited Condensed Consolidated Financial Statements .
104* Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101).
+ Management compensatory plan, contract or arrangement
* Filed or furnished with this quarterly report
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.
MUELLER WATER PRODUCTS, INC.
Date: August 6, 2024 By: /s/ Suzanne G. Smith
Suzanne G. Smith
Chief Accounting Officer
37
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.