SALES PLANSales Plan • May 28th, 2004 • Emagin Corp • Semiconductors & related devices
Sales PlanSales Plan • December 18th, 2017 • Brandon Limited Partnership No.1 • Bottled & canned soft drinks & carbonated waters
Sales Plan, adopted December 14, 2017 (the “Sales Plan”), between Hilrod Holdings XVI, L.P., Rodney Sacks and Hilton Schlosberg (collectively referred to herein as, “Seller”) and J.P. Morgan Securities LLC (“JPMS”). The purpose of this Sales Plan is to achieve the investment objectives of broader diversification of investments, while reducing the risk of over concentration in a particular investment.
CONFIDENTIAL TREATMENT REQUESTED] Sales PlanSales Plan • February 26th, 2021 • Tontine Capital Partners L P • Electrical work
This plan of sales is dated as of February 16, 2021 (“Sales Plan”) between Tontine Capital Overseas Master Fund II, LP, as seller (“Seller”), and Cantor Fitzgerald & Co. (“Cantor”), as agent.
Sales PlanSales Plan • August 11th, 2023 • Richison Chad R. • Services-prepackaged software
Sales Plan, adopted _____________ (the “Sales Plan”, and such date the “Adoption Date”), between Chad Richison (“Seller”) and J.P. Morgan Securities LLC (“JPMS”). The purpose of this Sales Plan is to achieve the investment objectives of broader diversification of investments, while reducing the risk of over concentration in a particular investment.
Sales PlanSales Plan • June 13th, 2014 • Kraff Lowell D • Hotels & motels
Sales Plan, adopted June 10, 2014 (the “Sales Plan”), between LDK Holdco LLC (“Seller”) and J.P. Morgan Securities LLC (“JPMS”). The purpose of this Sales Plan is to achieve the investment objectives of broader diversification of investments, while reducing the risk of over concentration in a particular investment.
Sales PlanSales Plan • November 12th, 2009 • Harvey Operating & Production Co • Mining & quarrying of nonmetallic minerals (no fuels)
Sales Plan, adopted November 9, 2009 (the “Sales Plan”), between Harvey Operating and Production Company (“Seller”) and J.P. Morgan Securities Inc. (“JPMSI”). The purpose of this Sales Plan is to achieve the investment objectives of broader diversification of investments, while reducing the risk of over concentration in a particular investment.
Sales PlanSales Plan • June 4th, 2003 • Legato Systems Inc • Services-prepackaged software • Delaware
WHEREAS, the Seller desires to establish the Sales Plan to sell shares of common stock, par value $0.0001 per share (the “Stock”), of Legato Systems, Inc. (the “Issuer”) in accordance with the requirements of Rule 10b5-1 as further set forth herein;
Sales PlanSales Plan • December 10th, 2010 • WRC Refining CO • Petroleum refining • New York
WHEREAS, Sellers desire to establish the Sales Plan to sell shares of common stock, par value $0.01 per share (the “Stock”), of Western Refining, Inc. (the “Issuer”) in accordance with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”) as further set forth herein;
Sales PlanSales Plan • January 23rd, 2009 • Ramius LLC • Services-personal services
This plan of sales is dated as of January 23, 2009 (“Sales Plan”) between Ramius LLC (together with its controlled affiliates, “Seller”) and Cantor Fitzgerald & Co. (“Cantor”), as agent.
CONFIDENTIAL TREATMENT REQUESTED] Sales PlanSales Plan • December 12th, 2014 • Tontine Capital Partners L P • Millwood, veneer, plywood, & structural wood members
This plan of sales is dated as of December 4, 2014 (“Sales Plan”) between Tontine Capital Partners, LP, as seller (“Seller”), and Cantor Fitzgerald & Co. (“Cantor”), as agent.
Amended and Restated Sales PlanSales Plan • March 29th, 2006 • Hawk Corp • Aircraft parts & auxiliary equipment, nec
Amended and Restated Sales Plan, dated March 22, 2006 (this “Sales Plan”), between Norman C. Harbert (“Seller”) and Northern Trust Securities, Inc. (“Northern”).
Sales PlanSales Plan • May 13th, 2004 • Warshaw Clive E • Services-personal services
WHEREAS, Seller desires to establish this Sales Plan to sell shares of common stock, par value $ 0.01 per share (the "Stock"), of Steiner Leisure Limited (the "Issuer") in accordance with the requirements of Rule 10b5-1 ("Rule 10b5-1") promulgated under the Securities Exchange Act of 1934 (the "Exchange Act"), as further set forth herein;
Sales PlanSales Plan • December 7th, 2017 • Garutti Randall J • Retail-eating & drinking places
Sales Plan, adopted December 4, 2017 (the “Sales Plan”), between Randy Garutti (“Seller”) and J.P. Morgan Securities LLC (“JPMS”). The purpose of this Sales Plan is to achieve the investment objectives of broader diversification of investments, while reducing the risk of over concentration in a particular investment.
Sales PlanSales Plan • July 30th, 2012 • Philips Pension Trustees LTD • Semiconductors & related devices
WHEREAS, the Seller desires to establish this Sales Plan to sell shares of common stock (the "Stock") of NXP Semiconductors NV (the "Issuer"); and
Sales PlanSales Plan • March 18th, 2013 • Brandon Limited Partnership No.1 • Bottled & canned soft drinks & carbonated waters
Sales Plan, adopted March 14, 2013 (the “Sales Plan”), between Hilton Schlosberg (“Seller”) and J.P. Morgan Securities LLC (“JPMS”). The purpose of this Sales Plan is to achieve the investment objectives of broader diversification of investments, while reducing the risk of over concentration in a particular investment.
Rule 10b5-1 Sales PlanSales Plan • September 13th, 2023 • Rothberg Jonathan M • Measuring & controlling devices, nec
This Rule 10b5-1 Sales Plan is entered into on September 11, 2023 (this “Sales Plan”) between Dr. Jonathan Rothberg (“Seller”), acting on his own behalf and on behalf of each of: NVR TR, LLC, JNR TR, LLC, JAR TR, LLC, EJR TR, LLC and GBR TR, LLC (each a “Selling Entity”), and Jefferies LLC (“Broker”), acting as agent for Seller.
RULE 10B5-1 SALES PLANSales Plan • March 26th, 2014 • Lerner Darrell • Services-business services, nec • New York
THIS RULE 10B5-1 SALES PLAN (this “Plan”) is made, entered into, and effective as of September 13, 2013 (the “Effective Date”) by and between Merriman Capital, Inc. (“Broker”) and Darrell Lerner (“Seller”).
Sales PlanSales Plan • June 18th, 2004 • Provide Commerce Inc • Services-business services, nec • New York
WHEREAS, the Seller desires to establish the Sales Plan to sell shares of common stock, par value $0.001 per share (the “Stock”), of Provide Commerce, Inc. (the “Issuer”) in accordance with the requirements of Rule 10b5-1 as further set forth herein;
Sales PlanSales Plan • July 19th, 2006 • Applied Digital Solutions Inc • Communications equipment, nec • New York
Sales Plan, dated as of the date set forth on the signature page (the “Sales Plan”), between Scott Silverman (“Seller”) and Goldman, Sachs & Co. (“Broker”).
SALES PLANSales Plan • June 13th, 2003 • Emagin Corp • Semiconductors & related devices
EXHIBIT ESales Plan • September 7th, 2016 • Sofinnova Venture Partners Vii L P • Biological products, (no disgnostic substances)
Sales Plan, adopted August 26, 2016 (the “Sales Plan”), between Sofinnova Venture Partners VII, L.P. (“Seller”) and J.P. Morgan Securities LLC (“JPMS”). The purpose of this Sales Plan is to achieve the investment objectives of broader diversification of investments, while reducing the risk of over concentration in a particular investment.
Rule 10b5-1 Sales PlanSales Plan • October 4th, 2022 • Goodman Anthony Brian • Services-prepackaged software • New York
This Rule 10b5-1 Sales Plan (“Plan”) adopted on April 1, 2022 (the “Adoption Date”), is entered into between Anthony Brian Goodman (“Seller”) and Oppenheimer & Co. Inc., (“Oppenheimer”) for the purpose of establishing a sales plan that complies with the requirements of paragraph (c)(1) of Rule 10b5-1 (“Rule 10b5-1”) under the Securities Exchange Act of 1934 (the “Exchange Act”), with respect to Seller’s sale of the shares of common stock (the “Shares”) of Golden Matrix Group, Inc. (“Issuer”), including (if applicable) Shares underlying vested and currently exercisable stock options that are identified in Exhibit A hereto (the “Stock Options”). Unless otherwise indicated, all section references pertain to sections within this Plan.
Sales PlanSales Plan • June 11th, 2015 • Daniel v. Tierney 2011 Trust • Security brokers, dealers & flotation companies
Sales Plan, adopted June 10, 2015 (the “Sales Plan”), between the Daniel V. Tierney 2011 Trust (“Seller”) and J.P. Morgan Securities LLC (“JPMS”). The purpose of this Sales Plan is to achieve the investment objectives of broader diversification of investments, while reducing the risk of over concentration in a particular investment.
Sales PlanSales Plan • June 18th, 2004 • Provide Commerce Inc • Services-business services, nec • New York
WHEREAS, the Seller desires to establish the Sales Plan to sell shares of common stock, par value $0.001 per share (the “Stock”), of Provide Commerce, Inc. (the “Issuer”) in accordance with the requirements of Rule 10b5-1 as further set forth herein;
Sales PlanSales Plan • June 8th, 2010 • Leading Investment & Securities Co., Ltd. • National commercial banks • New York
Sales Plan dated May 28, 2010 (this “Sales Plan”) between Leading Investment & Securities Co., Ltd. (“Seller”) and J.P. Morgan Securities Inc. (“JPMSI”), acting as agent.
Sales PlanSales Plan • June 19th, 2012 • Athene Group LTD • Real estate investment trusts
Sales Plan, dated , 2012 (the “Sales Plan”), between Athene Annuity & Life Assurance Company (“Seller”) and J. P. Morgan Securities LLC (“JPMS”).
Sales PlanSales Plan • February 24th, 2016 • Shaked Hezy • Retail-apparel & accessory stores • New York
WHEREAS, Seller desires to establish the Sales Plan to sell shares of common stock, par value $0.001 per share (the “Stock”), of Tilly’s Inc (the “Issuer”) in accordance with the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”) as further set forth herein;
Sales PlanSales Plan • June 18th, 2004 • Provide Commerce Inc • Services-business services, nec
WHEREAS, the Seller desires to establish the Sales Plan to sell shares of common stock, par value $0.001 per share (the “Stock”), of Provide Commerce, Inc. (the “Issuer”) in accordance with the requirements of Rule 10b5-1 as further set forth herein;
RECITALS:Sales Plan • November 15th, 2004 • Hawk Corp • Aircraft parts & auxiliary equipment, nec
Sales PlanSales Plan • July 21st, 2004 • Nice Systems LTD /Adr/ • American depositary receipts
Sales Plan, dated June __, 2004 (the "Sales Plan"), between THALES S.A. of 45 rue de Villiers, 92526 Neuilly sur Seine cedex, France ("Seller") and J. P. Morgan Securities Inc. ("JPMSI"). The purpose of this Sales Plan is to achieve the investment objectives of broader diversification of investments, while reducing the risk of over concentration in a particular investment.
Sales PlanSales Plan • June 1st, 2020 • Shendelman Shoshana • Pharmaceutical preparations • New York
Sales Plan, dated as of the date set forth on the signature page (the “Sales Plan”), between Shoshana Shendelman (“Seller”) and Goldman Sachs & Co. LLC (“Broker”).
Preset Diversification Program ® (PDP) Sales PlanSales Plan • September 1st, 2010 • Northern Technologies International Corp • Coating, engraving & allied services
Sales Plan dated the date specified in Exhibit A hereto (this “Sales Plan”) between Seller specified in Exhibit A (“Seller”) and Morgan Stanley Smith Barney LLC (“Morgan Stanley Smith Barney”), acting as agent for Seller. Capitalized terms used but not defined herein shall have the meaning given such terms in Exhibits A and B hereto.
Sales PlanSales Plan • September 21st, 2007 • Consolidated Water Co LTD • Water supply
Sales Plan, dated September 19, 2007 (the “Sales Plan”), between R F D Holdings Ltd. (“Seller”) and Crowell, Weedon & Co. (“Broker”). The purpose of this Sales Plan is to achieve the investment objectives of broader diversification of investments, while reducing the risk of over concentration in a particular investment.
Sales PlanSales Plan • March 19th, 2018 • Waha Capital PJSC • Services-equipment rental & leasing, nec • New York
This Sales Plan (including the attached Annex, the “Sales Plan”) is entered into as of March 15, 2018, by and between Waha AC Coöperatief U.A. (“Seller”), [Deutsche Bank Securities Inc.]1 [Citigroup Global Markets, Inc.]2 [UBS Securities LLC]3 [Nomura Securities International Inc.]4 (“Broker”) and [Deutsche Bank AG, London Branch]5 [UBS AG, London Branch]6 [Citibank, N.A., London Branch]7 [Nomura International plc]8 (“Dealer”).
Sales PlanSales Plan • May 31st, 2006 • Estate of Howard S. Stern • Surgical & medical instruments & apparatus • New York
Sales Plan, dated as of the date set forth on the signature page (the “Sales Plan”), between Linda Stern (“Seller”) and Goldman, Sachs & Co. (“Broker”).
