Trading Plan Sample Contracts

Standard Contracts

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TRADING PLAN (1)
Trading Plan • May 31st, 2013 • Intest Corp • Instruments for meas & testing of electricity & elec signals • Delaware

THIS TRADING PLAN (the "Trading Plan") is entered into May 29, 2013, by and between ________________ (1) (the "Seller") and Robert W. Baird & Co. (the "Broker"), acting as agent for the Seller. WHEREAS, the Seller and the Broker are parties to a trading plan dated May 23,2012, which plan will expire on May 31, 2013 (the "Expiring Trading Plan"); and

Trading Plan (SEC Rule l0b5-1)
Trading Plan • February 20th, 2003 • Collins David C • California

This Trading Plan is entered into as of February 19, 2003 (the “Signing Date”) effective as of May 15, 2003 between the David C. Collins Trust (“Client”) and Charles Schwab & Co., Inc. (“Broker”).

TRADING PLAN
Trading Plan • December 27th, 2006 • In Touch Media Group, Inc. • Services-direct mail advertising services • Florida

This Trading Plan, dated December 6, 2006 (the “Trading Plan”), between ROBERT E. CEFAIL and ANATOLA CEFAIL (the “Sellers”) and D. Weckstein and Co. (the “Broker”).

TRADING PLAN (SEC Rule 10b5-1)
Trading Plan • May 31st, 2022 • Hampstead Park Capital Management, LLC • Refuse systems • California

This Trading Plan is entered into as of May 27, 2022 (the “Signing Date”) between Hampstead Park Environmental Services Investment Fund LLC (“Client”) and Roth Capital Partners, LLC (“Broker”).

TRADING PLAN (SEC Rule 10b5-1)
Trading Plan • December 16th, 2011 • Brandon Limited Partnership No.1 • Bottled & canned soft drinks & carbonated waters • California

This Trading Plan is entered into as of _December 13, 2011 (the “Signing Date”) between Rodney C. Sacks and Hilton H. Schlosberg (together the “Clients”) and Roth Capital Partners, LLC (“Broker”).

TRADING PLAN
Trading Plan • October 11th, 2006 • CDC Corp • Services-prepackaged software
TRADING PLAN
Trading Plan • February 23rd, 2004 • Independent Bank Corp • State commercial banks

This TRADING PLAN, dated as of February 23 2004 (this “Trading Plan”), between Christopher Oddleifson (“Purchaser”) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Broker”).

TRADING PLAN (SEC Rule 10b5-1)
Trading Plan • November 13th, 2018 • Ligand Pharmaceuticals Inc • Pharmaceutical preparations • California

This Trading Plan is entered into as of September 28, 2018 (the “Signing Date”) between Ligand Pharmaceuticals Incorporated (“Client”) and Roth Capital Partners, LLC (“Broker”).

TRADING PLAN charles SCHWAB (SEC Rule 10b5-1)
Trading Plan • December 7th, 2005 • Omega Protein Corp • Fats & oils • California

This Trading Plan is entered into as of 12/01/2005 (the “Signing Date”) between Robert W. Stockton (“Client”) and Charles Schwab & Co., Inc. (“Broker”).

TRADING PLAN (SEC Rule 10b5-1 and Rule 10b-18)
Trading Plan • July 2nd, 2012 • Steel Partners Holdings L.P. • Miscellaneous primary metal products • California

This Trading Plan is entered into as of June 28, 2012 (the “Signing Date”) between DGT HOLDINGS CORP. (“Client”) and JonesTrading Institutional Services LLC (“Broker”).

Trading Plan charlesSCHWAB (SEC Rule 10b5-1)
Trading Plan • November 15th, 2006 • Applied Industrial Technologies Inc • Wholesale-machinery, equipment & supplies • California

WHEREAS, Client wishes to establish this Trading Plan to sell or purchase shares of Common (Stock) of Applied Industrial Technologies, Inc. (“Issuer”) from Account number [omitted] (the “Account”) maintained with Broker, in accordance with the requirements of SEC Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”).

Trading Plan
Trading Plan • February 25th, 2010 • CDC Corp • Services-prepackaged software

WHEREAS, the buyer desires to establish this Trading Plan to buy a certain amount of CDC Corporation’s (the “Issuer”) Class A Common Stock, par value $0.00025 per share (the “Common Stock”); and

TRADING PLAN charles SCHWAB (SEC Rule 10b5-1)
Trading Plan • August 19th, 2004 • Omega Protein Corp • Fats & oils • California

This Trading Plan is entered into as of 08/18/2004 (the “Signing Date”) between Robert W. Stockton (“Client”) and Charles Schwab & Co., Inc. (“Broker”).

Trading Plan (SEC Rule 10b5-1)
Trading Plan • March 31st, 2005 • Karma Media Inc • Retail-catalog & mail-order houses • Nevada

This Trading Plan is entered into as of November ___, 2004 (the “Signing Date”), between Dominique Einhorn (“Client”) and NevWest Securities Corporation (“Broker”).

TRADING PLAN
Trading Plan • June 19th, 2017 • Thompson Kristen Holt • Instruments for meas & testing of electricity & elec signals • Delaware

THIS TRADING PLAN (the "Trading Plan") is entered into August 30, 2016 by and between Kristen Holt Thompson (the "Seller") and Robert W. Baird & Co. (the "Broker"), acting as agent for the Seller.

TRADING PLAN (SEC Rule 10b5-1)
Trading Plan • March 11th, 2021 • Raging Capital Management, LLC • Computer peripheral equipment, nec • New York

This Trading Plan is entered into as of March 9, 2021 (the “Signing Date”) between Raging Capital Management, LLC (“Client”) and Andrew Garrett, Inc. (“Broker”).

TRADING PLAN (SEC Rule 10b5-1)
Trading Plan • May 21st, 2012 • Brandon Limited Partnership No.1 • Bottled & canned soft drinks & carbonated waters • California

This Trading Plan is entered into as of May 17, 2012 (the “Signing Date”) between Rodney C. Sacks and Hilton H. Schlosberg (“Client”) and Roth Capital Partners, LLC (“Broker”).

TRADING PLAN (SEC Rule 10b5-1)
Trading Plan • August 30th, 2011 • China TransInfo Technology Corp. • Services-computer integrated systems design • California

This Trading Plan is entered into as of June 22, 2011 (the “Signing Date”) between Shudong Xia (“Client”) and Roth Capital Partners, LLC (“Broker”).

Trading Plan
Trading Plan • February 25th, 2010 • CDC Corp • Services-prepackaged software

This Trading Plan (the “Trading Plan”), dated September 4, 2009 , between Nicola Chu Ming Nga (the “Buyer”) and GunnAllen Financial. (the “Broker”).

Trading Plan charlesSCHWAB (SEC Rule 10b5-1)
Trading Plan • August 16th, 2007 • Applied Industrial Technologies Inc • Wholesale-machinery, equipment & supplies • California

WHEREAS, Client wishes to establish this Trading Plan to sell or purchase shares of Common (Stock) of Applied Industrial Technologies, Inc. (“Issuer”) from Account number [omitted] (the “Account”) maintained with Broker, in accordance with the requirements of SEC Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”).

Rule 10b5-1 Trading Plan
Trading Plan • April 1st, 2015 • MacAndrews & Forbes Inc. • Services-computer integrated systems design • New York

This Trading Plan (the "Trading Plan") is entered into on March 31, 2015 ("Purchaser's Adoption Date") between SGMS Acquisition Two Corporation ("Purchaser") and UBS Financial Services Inc. ("UBSFS") for the purpose of purchasing shares of the common stock ("Stock") of Scientific Games Corporation ("Issuer"), SGMS (Ticker), listed in Exhibit A, in accordance with Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

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Trading Plan
Trading Plan • December 29th, 2003 • Chinadotcom Corp • Services-prepackaged software • Hong Kong

WHEREAS, the buyer desires to establish this Trading Plan to buy a certain amount of chinadotcom corporation’s (the “Issuer”) Class A Common Stock, par value $0.00025 per share (the “Common Stock”); and

TRADING PLAN (SEC Rule 10b5-1)
Trading Plan • September 15th, 2020 • Raging Capital Management, LLC • Computer peripheral equipment, nec • New York

This Trading Plan is entered into as of September 11, 2020 (the “Signing Date”) between Raging Capital Management, LLC (“Client”) and Andrew Garrett, Inc. (“Broker”).

10B5-1 TRADING PLAN TRADING PLAN
Trading Plan • April 2nd, 2004 • Asia Pacific Online LTD • Services-prepackaged software

WHEREAS, the Seller desires to establish this Trading Plan to sell a certain amount of chinadotcom corporation’s Class A Common Stock, par value $0.00025 per share; and

TRADING PLAN (SEC Rule 10b5-1)
Trading Plan • December 17th, 2012 • Brandon Limited Partnership No.1 • Bottled & canned soft drinks & carbonated waters • California

This Trading Plan is entered into as of 12/14/2012 (the “Signing Date”) between Hilrod Holdings IX, Hilrod Holding X, Hilrod Holding XI and Hilrod Holding XII (collectively “Clients”) and Roth Capital Partners, LLC (“Broker”).

TRADING PLAN (SEC Rule 10b5-1)
Trading Plan • December 22nd, 2020 • Steel Excel Inc. • Oil & gas field services, nec • New York

This Trading Plan is entered into as of December 18, 2020 (the “Signing Date”) between Steel Excel Inc. (“Client”) and Cantor Fitzgerald & Co. (“Broker”).

Trading Plan (SEC Rule 10b5-1) charlesSCHWAB www.schwab.com 1-800-239-2506
Trading Plan • February 8th, 2007 • Applied Industrial Technologies Inc • Wholesale-machinery, equipment & supplies • California

WHEREAS, Client wishes to establish this Trading Plan to sell or purchase shares of Common (Stock) of Applied Industrial Technologies, Inc. (“Issuer”) from Account number [omitted] (the “Account”) maintained with Broker, in accordance with the requirements of SEC Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”).

Rule l0b5-1 Trading Plan
Trading Plan • August 18th, 2005 • Community Capital Corp /Sc/ • National commercial banks • South Carolina

This Trading Plan dated August 18, 2005 (the "Trading Plan") is entered into between Community Capital Corporation ("Purchaser") and FIG Partners, LLC ("FIG"), acting as agent, for the purpose of establishing a trading plan that complies with Rule 10b5-1(c)(1) under the Securities Exchange Act of 1934, as amended (the "Exchange Act").

Contract
Trading Plan • December 17th, 2024 • Huang Jack Jiajia • Services-educational services

This plan dated June 27, 2024 (together with all possible Exhibits hereto, this “Plan”) is between HH Talent Limited (the “Customer”) and Tiger Brokers (Singapore) Pte. Ltd. (“TBSG”), acting as agent.

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