Item 5. Other Information
Item 5. Other Information
As disclosed in the table below, during the three months ended September 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
Michael S. Brown, M.D.
Director
8/24/2023 5/24/2024 2,049
Christopher Fenimore
Senior Vice President, Controller
8/25/2023 2/15/2024 8,940
Joseph L. Goldstein, M.D.
Director
8/24/2023 5/24/2024 3,537
Arthur F. Ryan
Director
8/7/2023 11/29/2024 1,200
(a) In each case, the trading arrangement may expire on an earlier date if and when all transactions under the arrangement are completed.
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Item 6. Exhibits
(a) Exhibits
Exhibit Number Description
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 September 30, 2023 and December 31, 2022; (ii) the Registrant's Condensed Consolidated Statements of Operations and Comprehensive Income for the three and nine months ended September 30, 2023 and 2022; (iii) the Registrant's Condensed Consolidated Statements of Stockholders’ Equity for the three and nine months ended September 30, 2023 and 2022; (iv) the Registrant's Condensed Consolidated Statements of Cash Flows for the nine months ended September 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).
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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: November 2, 2023 By: /s/ Robert E. Landry
Robert E. Landry
Executive Vice President, Finance and
Chief Financial Officer
(Duly Authorized Officer)
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Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.