| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | EXAS | Common Stock | Award | $19.2K | +640 | +6.94% | $30.02 | 9.86K | May 1, 2023 | Direct | F1 |
| transaction | EXAS | Common Stock | Sale | -$104K | -1.3K | -13.18% | $79.85 | 8.56K | May 10, 2023 | Direct | F2, F3 |
| holding | EXAS | Common Stock | 881 | May 10, 2023 | Held in 401(k) Plan |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | Represents shares of common stock purchased through Employee Stock Purchase Plan. |
| F2 | The sale reported in this field was effected pursuant to a Rule 10b5-1 trading plan entered into on November 21, 2022. |
| F3 | In addition to the shares of Common Stock reported on this Form 4, which total 9,445 shares, Mr. Herriott also holds, in the aggregate, an additional 18,767 vested and unvested options to purchase shares of Common Stock and restricted stock units, with each restricted stock unit representing a contingent right to receive one share of Common Stock. |