Other Information
+Added: Securities Trading Plans of Directors and Executive Officers
+Added: During our last fiscal quarter, the following officers, as defined in Rule 16a-1(f), adopted a “Rule 10b5-1 trading arrangement” as defined in Regulation S-K Item 408, as follows:
+Added: On May 18, 2023 , Christian Henry , our President and Chief Executive Officer , adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of an aggregate of up to 139,858 shares of our common stock.
+Added: The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c).
+Added: The duration of the trading arrangement is until August 20, 2024, or earlier if all transactions under the trading arrangement are completed.
+Added: On May 19, 2023 , Susan Kim , our Chief Financial Officer , adopted a Rule 10b5-1 trading arrangement providing for the sale from time to time of an aggregate of up to 90,155 shares of our common stock.
+Added: The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c).
+Added: The duration of the trading arrangement is until September 30, 2024, or earlier if all transactions under the trading arrangement are completed.
+Added: No other officers or directors, as defined in Rule 16a-1(f), adopted and/or terminated a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading arrangement,” as defined in Regulation S-K Item 408, during the last fiscal quarter.
Incorporated by reference herein
Description Form Exhibit No.
+Added: Amended and Restated Certificate of Incorporation of Pacific Biosciences of Californi a, Inc.
+Added: 10-K 3.1 March 23, 2011
+Added: Third Amended and Restated Bylaws of Pacific Biosciences of California, Inc.
+Added: 8-K 3.2 November 7, 2022
+Added: Indenture, dated February 16, 2021, between Pacific Biosciences of California, Inc., and U.S.
+Added: Bank National Association, as Trustee
+Added: Filed herewith
+Added: Indenture, dated as of June 30, 2023, by and between Pacific Biosciences of California, Inc.
+Added: Bank Trust Company, National Association, as Trustee
+Added: 8-K 4.1 June 30, 2023
+Added: Form of 1.375% Convertible Senior Note due 2030 (included in Exhibit 4.
+Added: 8-K 4.2 June 30, 2023
+Added: Letter Agreement, dated June 23, 2023, between the Company and Chimera Investment LLC
+Added: 8-K 10.1 June 26, 2023
Certification of Chief Executive Officer 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
20 unchanged sentences
Pacific Biosciences of California, Inc.
+Added: August 4, 2023
/s/ Christian O.
1 unchanged sentence
(Principal Executive Officer)
+Added: August 4, 2023
Chief Financial Officer
(Principal Financial Officer)
+Added: August 4, 2023
/s/ Michele Farmer
3 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.