Item 5. Other Information
Item 5. Other Information
As disclosed in the table below, during the three months ended June 30, 2023, certain of our directors and/or executive officers adopted plans for trading arrangements intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) of the Exchange Act.
Name Position Date of Plan Adoption Scheduled End Date of Trading Arrangement (a)
Total Number of Securities to Be Sold Under the Plan
Bonnie L. Bassler, Ph.D. Director 5/11/2023 7/31/2024 3,969
Andrew J. Murphy, Ph.D. Executive Vice President, Research 5/9/2023 12/31/2024 80,000
Huda Y. Zoghbi, M.D. Director 5/5/2023 2/10/2024 2,117
(a) In each case, the trading arrangement may expire on an earlier date if and when all transactions under the arrangement are completed.
83
Table of Contents
Item 6. Exhibits
(a) Exhibits
Exhibit Number Description
3.2 Amended and Restated By-Laws. (Incorporated by reference from the Form 8-K for Regeneron Pharmaceuticals, Inc. (the "Registrant") filed December 21, 2016.)
3.2.1 Amendment to the Amended and Restated By-Laws effective June 9, 2023. (Incorporated by reference from the Form 8-K for the Registrant filed June 14, 2023.)
10.1 *
First Amendment to Amended and Restated License and Collaboration Agreement by and between the Registrant and Aventis Pharmaceuticals Inc., dated May 1, 2013.
10.2 *
Amendment No. 1 to Master Agreement, dated as of April 10, 2023, by and between the Registrant and Alnylam Pharmaceuticals, Inc.
10.3 + Waiver and Consent, dated as of April 14, 2023, pursuant to the Amended and Restated Employment Agreement, dated as of November 14, 2008, between the Registrant and Leonard S. Schleifer, M.D., Ph.D.
31.1 Certification of Principal Executive Officer pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934.
31.2 Certification of Principal Financial Officer pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934.
32 Certification of Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section 1350.
101 Interactive Data Files pursuant to Rule 405 of Regulation S-T formatted in Inline Extensible Business Reporting Language ("Inline XBRL"): (i) the Registrant's Condensed Consolidated Balance Sheets as of June 30, 2023 and December 31, 2022; (ii) the Registrant's Condensed Consolidated Statements of Operations and Comprehensive Income for the three and six months ended June 30, 2023 and 2022; (iii) the Registrant's Condensed Consolidated Statements of Stockholders’ Equity for the three and six months ended June 30, 2023 and 2022; (iv) the Registrant's Condensed Consolidated Statements of Cash Flows for the six months ended June 30, 2023 and 2022; and (v) the notes to the Registrant's Condensed Consolidated Financial Statements.
104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101).
* Certain confidential portions of this Exhibit were omitted in accordance with Item 601(b)(10) of Regulation S-K. The Registrant agrees to furnish supplementally a copy of all confidential portions of this Exhibit that were omitted to the Securities and Exchange Commission upon its request.
+ Indicates a management contract or compensatory plan or arrangement.
84
Table of Contents
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.
REGENERON PHARMACEUTICALS, INC.
Date: August 3, 2023 By: /s/ Robert E. Landry
Robert E. Landry
Executive Vice President, Finance and
Chief Financial Officer
(Duly Authorized Officer)
85