1 unchanged sentence
Securities Trading Plans of Directors and Executive Officers
−Removed: 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:
−Removed: 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.
−Removed: The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c).
−Removed: The duration of the trading arrangement is until August 20, 2024, or earlier if all transactions under the trading arrangement are completed.
−Removed: 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.
−Removed: The trading arrangement is intended to satisfy the affirmative defense in Rule 10b5-1(c).
−Removed: The duration of the trading arrangement is until September 30, 2024, or earlier if all transactions under the trading arrangement are completed.
−Removed: 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.
+Added: During our last fiscal quarter, none of our directors or officers, 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.
Incorporated by reference herein
Description Form Exhibit No.
−Removed: Amended and Restated Certificate of Incorporation of Pacific Biosciences of Californi a, Inc.
+Added: Amended and Restated Certificate of Incorporation of Pacific Biosciences of California, Inc.
10-K 3.1 March 23, 2011
1 unchanged sentence
8-K 3.2 November 7, 2022
−Removed: Indenture, dated February 16, 2021, between Pacific Biosciences of California, Inc., and U.S.
−Removed: Bank National Association, as Trustee
−Removed: Filed herewith
−Removed: Indenture, dated as of June 30, 2023, by and between Pacific Biosciences of California, Inc.
−Removed: Bank Trust Company, National Association, as Trustee
−Removed: 8-K 4.1 June 30, 2023
−Removed: Form of 1.375% Convertible Senior Note due 2030 (included in Exhibit 4.
−Removed: 8-K 4.2 June 30, 2023
−Removed: Letter Agreement, dated June 23, 2023, between the Company and Chimera Investment LLC
−Removed: 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
18 unchanged sentences
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.
−Removed: 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.
+Added: 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.
Pacific Biosciences of California, Inc.
−Removed: August 4, 2023
+Added: November 3, 2023
/s/ Christian O.
1 unchanged sentence
(Principal Executive Officer)
−Removed: August 4, 2023
+Added: November 3, 2023
Chief Financial Officer
(Principal Financial Officer)
−Removed: August 4, 2023
+Added: November 3, 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.