Item 5. Other Information
ITEM 5. OTHER INFORMATION
Director and Officer Trading Arrangements
On May 14, 2024 , Charles Ence , the Company’s
Chief Accounting and Compliance Officer , adopted an individual trading plan intended to satisfy the affirmative defense conditions of
Rule 10b5-1 under the Exchange Act, which has a term of eight months beginning August 14, 2024 to sell up to 174,361 shares of our common
stock issuable upon exercise of stock options, subject to certain conditions. Unless otherwise terminated pursuant to its terms, the plan
will terminate on April 17, 2025, or when all of the shares under the plan are sold.
No other directors or executive officers of the
Company adopted, modified or terminated a Rule 10b5-1 trading arrangement or a non-Rule 10b5-1 trading arrangement (as defined in Item
408(c) of Regulation S-K) during the quarterly period covered by this Report.
ITEM 6. EXHIBITS
Copies of the following documents are included as exhibits to this
report pursuant to Item 601 of Regulation S-K
Exhibit No.
Title of Document
Location
31.1
Certification of the Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
Filed herewith
31.2
Certification of the Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
Filed herewith
32.1
Certification of the Chief Executive Officer pursuant to U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002**
Furnished herewith
32.2
Certification of the Principal Financial Officer pursuant to U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002**
Furnished herewith
101.INS
Inline XBRL Instance 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 Label Linkbase Document.
Filed herewith
101.PRE
Inline XBRL Taxonomy Extension Presentation Linkbase Document.
Filed herewith
104
Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101).
Filed herewith
**
The Exhibit attached to this Form 10-Q shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”) or otherwise subject to liability under that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as expressly set forth by specific reference in such filing.
23
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.
Date: August 7, 2024
By:
/s/ Sergio Traversa
Sergio Traversa
Chief Executive Officer
(Duly Authorized Officer and
Principal Executive Officer)
/s/ Maged Shenouda
Maged Shenouda
Chief Financial Officer
(Duly Authorized Officer and
Principal Financial and Accounting Officer)
24
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.