ORACLE CORP 10-Q

Item 5. Other Information Rule 10b5-1 Trading Plans Our Section 16 officers and directors (as defined in Rule 16a-1 under the Exchange Act) may from time to time enter into plans for the purchase or sale of Oracle stock that are intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under the Exchange Act. During the quarter ended August 31, 2023, the following Section 16 officer adopted, modified or terminated “Rule 10b5-1 trading arrangements” (as defined in Item 408 under Regulation S-K of the Exchange Act): • Safra Catz , our Chief Executive Officer and Director , adopted a new trading plan on August 1, 2023 . The plan’s maximum duration is until October 4, 2024, and first trades will not occur until January 2, 2024, at the earliest. The trading plan is intended to permit Ms. Catz to exercise and sell two tranches of stock options set to expire in 2024: (i) 2,250,000 st ock options expiring on July 24, 2024; and (ii) 500,000 stock options expiring on October 5, 2024. The Rule 10b5-1 trading arrangement described above was adopted and precleared in accordance with Oracle’s Insider Trading Policy and actual sale transactions made pursuant to such trading arrangements will be disclosed publicly in future Section 16 filings with the SEC. 38 Table of Contents Item 6. Exhibits Exhibit No. Incorporated by Reference Exhibit Description Form File No. Exhibit Filing Date Filed By 31.01‡ Rule 13a-14(a)/15d-14(a) Certification of Principal Executive and Financial Officer 32.01† Section 1350 Certification of Principal Executive and Financial Officer 101‡ Interactive Data Files Pursuant to Rule 405 of Regulation S-T, formatted in Inline XBRL: (i) Condensed Consolidated Balance Sheets as of August 31, 2023 and May 31, 2023, (ii) Condensed Consolidated Statements of Operations for the three months ended August 31, 2023 and 2022, (iii) Condensed Consolidated Statements of Comprehensive Income for the three months ended August 31, 2023 and 2022, (iv) Condensed Consolidated Statements of Stockholders’ Equity (Deficit) for the three months ended August 31, 2023 and 2022, (v) Condensed Consolidated Statements of Cash Flows for the three months ended August 31, 2023 and 2022 and (vi) Notes to Condensed Consolidated Financial Statements 104‡ The cover page from the Company’s Quarterly Report on Form 10-Q for the quarter ended August 31, 2023, formatted in Inline XBRL ‡ Filed herewith. † Furnished herewith. 39 Table of Contents SIGNAT URES Pursuant to the requirements of the Securities Exchange Act of 1934, Oracle Corporation has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. ORACLE CORPORATION Date: September 12, 2023 By: /s/ Safra A. Catz Safra A. Catz Chief Executive Officer and Director (Principal Executive and Financial Officer) Date: September 12, 2023 By: /s/ Maria Smith Maria Smith Executive Vice President, Chief Accounting Officer (Principal Accounting Officer) 40