Item 5. Other Information
ITEM 5. OTHER INFORMATION
Rule 10b5-1 Trading Plans
The adoption or termination of
contracts, instructions or written plans for the purchase and sale of the Company’s securities by our Section 16 officers and directors
for the three months ended July 1, 2023, each of which is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) under
the Exchange Act (“Rule 10b5-1 Plan”), were as follows:
Name
Title
Action
Date Adopted
Expiration
Date
Aggregate # of
Securities to be
Purchased/Sold
Kevin B. Reid, Sr. (1)
Vice President and General Counsel
Adoption of Rule 10b5-1 Plan
May 16, 2023
May 1, 2024
10,000
Timothy M. Lowney (2)
Vice President of Operations for Newport, Prescott and RPM Manufacturing
Adoption of Rule 10b5-1 Plan
May 31, 2023
May 1, 2024
2,604
Amir P. Rosenthal (3)
Director
Adoption of Rule 10b5-1 Plan
May 16, 2023
December 29, 2023
1,500
(1) Kevin B. Reid, Sr., an officer of the Company, entered into a Rule 10b5-1 Plan on May 16, 2023. Mr. Reid’s Rule 10b5-1 Plan
provides for the potential sale of up to 10,000 shares of the Company’s common stock. The Rule 10b5-1 Plan expires on May 1, 2024,
or upon the earlier completion of all authorized transactions under such Rule 10b5-1 Plan.
(2) Timothy M. Lowney, an officer of the Company, entered into a Rule 10b5-1 Plan on May 31, 2023. Mr. Lowney’s Rule 10b5-1 Plan
provides for the potential sale of up to 2,604 shares of the Company’s common stock. The Rule 10b5-1 Plan expires on May 1, 2024,
or upon the earlier completion of all authorized transactions under such Rule 10b5-1 Plan.
(3) Amir P. Rosenthal, a director of the Company, entered into a Rule 10b5-1 Plan on May 16, 2023. Mr. Rosenthal’s Rule 10b5-1 Plan
provides for the potential sale of up to 1,500 shares of the Company’s common stock. The Rule 10b5-1 Plan expires on December 29,
2023, or upon the earlier completion of all authorized transactions under such Rule 10b5-1 Plan.
None of the Company’s directors or Section 16 officers
adopted or terminated a “non-Rule 10b5-1 trading arrangement” as defined in Item 408 of Regulation S-K during the three months
ended July 1, 2023.
30
Index
ITEM 6. EXHIBITS
(a) Exhibits:
31.1 Certification Pursuant to Rule 13a-14(a) as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
31.2 Certification Pursuant to Rule 13a-14(a) as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
32.1 Certification Pursuant to 18 U.S.C. Section 1350 as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
32.2 Certification Pursuant to 18 U.S.C. Section 1350 as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
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
101.SCH XBRL Taxonomy Extension Schema Document
101.CAL XBRL Taxonomy Extension Calculation Linkbase Document
101.DEF XBRL Taxonomy Extension Definition Linkbase Document
101.LAB XBRL Taxonomy Extension Label Linkbase Document
101.PRE XBRL Taxonomy Extension Presentation Linkbase Document
104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)
31
Index
STURM, RUGER & COMPANY, INC.
FORM 10-Q FOR THE THREE MONTHS ENDED JULY 1, 2023
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.
STURM, RUGER & COMPANY, INC.
Date: August 2, 2023
S/THOMAS A. DINEEN
Thomas A. Dineen
Principal Financial Officer,
Principal Accounting Officer,
Senior Vice President, Treasurer and Chief Financial Officer
32
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.