PACIFIC BIOSCIENCES OF CALIFORNIA, INC. 10-Q

Item 5. Other Information Securities Trading Plans of Directors and Executive Officers 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: 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. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until August 20, 2024, or earlier if all transactions under the trading arrangement are completed. 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. The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c). The duration of the trading arrangement is until September 30, 2024, or earlier if all transactions under the trading arrangement are completed. 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. 73 Table of Contents Item 6. Exhibits Incorporated by reference herein Exhibit No. Description Form Exhibit No. Filing Date 3.1 Amended and Restated Certificate of Incorporation of Pacific Biosciences of Californi a, Inc. 10-K 3.1 March 23, 2011 3.2 Third Amended and Restated Bylaws of Pacific Biosciences of California, Inc. 8-K 3.2 November 7, 2022 4.1 Indenture, dated February 16, 2021, between Pacific Biosciences of California, Inc., and U.S. Bank National Association, as Trustee Filed herewith 4.2 Indenture, dated as of June 30, 2023, by and between Pacific Biosciences of California, Inc. and U.S. Bank Trust Company, National Association, as Trustee 8-K 4.1 June 30, 2023 4.3 Form of 1.375% Convertible Senior Note due 2030 (included in Exhibit 4. 2 ) 8-K 4.2 June 30, 2023 10.1 Letter Agreement, dated June 23, 2023, between the Company and Chimera Investment LLC 8-K 10.1 June 26, 2023 31 .1 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 Filed herewith 31 .2 Certification of Chief Financial 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 Filed herewith 32.1 * Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 Furnished herewith 32.2 * Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 Furnished herewith 101.INS XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document) Filed herewith 101.SCH Inline XBRL Taxonomy Extension Schema Document Filed herewith 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document Filed herewith 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document Filed herewith 101.LAB Inline XBRL Taxonomy Extension Labels Linkbase Document Filed herewith 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document Filed herewith 104 Cover Page Interactive File (formatted as inline XBRL and contained in Exhibit 101) Filed herewith ______________________________________________________________________________ * The certification s att ached as Exhibit 32.1 and 32.2 that accompany 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 Pacific Biosciences of California, 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. 74 Table of Contents Signatures Pursuant to the requirements of the Securities Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. Pacific Biosciences of California, Inc. Date: August 4, 2023 By: /s/ Christian O. Henry Christian O. Henry President and Chief Executive Officer (Principal Executive Officer) Date: August 4, 2023 By: /s/ Susan G. Kim Susan G. Kim Chief Financial Officer (Principal Financial Officer) Date: August 4, 2023 By: /s/ Michele Farmer Michele Farmer Vice President and Chief Accounting Officer (Principal Accounting Officer) 75