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Insider Trading Arrangements
 3 Months Ended
Sep. 30, 2023
shares
Trading Arrangements, by Individual  
Material Terms of Trading Arrangement

Item 5. Other Information

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During the fiscal quarter ended September 30, 2023, the following directors and Section 16 officers, as applicable, adopted, modified or terminated “Rule 10b5-1 trading arrangements” (as defined in Item 408 of Regulation S-K):

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●  On August 23, 2023, William J. Miller, Ph.D., our Chief Executive Officer, entered into a trading plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).  Dr. Miller’s plan covers the sale of 84,201 shares of our common stock, between November 27, 2023 and November 29, 2024. Transactions under the plan are based upon pre-established dates and stock price thresholds.

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●  On August 22, 2023, John Kiernan, our Chief Financial Officer, entered into a trading plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).  Mr. Kiernan’s plan covers the sale of 30,000 shares of our common stock, between November 27, 2023 and November 29, 2024. Transactions under the plan are based upon pre-established dates and stock price thresholds.

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There were no “non-Rule 10b5-1 trading arrangements” (as defined in Item 408 of Regulation S-K) adopted, modified or terminated during the fiscal quarter ended September 30, 2023 by our directors and Section 16 officers. Each of the Rule 10b5-1 trading arrangements are in accordance with our Securities Trading Policy and actual sale transactions made pursuant to such trading arrangements will be disclosed publicly in Section 16 filings with the SEC in accordance with applicable securities laws, rules and regulations.
John Kiernan  
Trading Arrangements, by Individual  
Name John Kiernan
Title Chief Financial Officer
Rule 10b5-1 Arrangement Adopted true
Adoption Date August 22, 2023
Aggregate Available 30,000
William J. Miller  
Trading Arrangements, by Individual  
Name William J. Miller
Title Chief Executive Officer
Rule 10b5-1 Arrangement Adopted true
Adoption Date August 23, 2023
Aggregate Available 84,201