Company: PENG
Filing Date: 2025-07-08
Form Type: 10-Q
Source: 0001628280-25-034541
Chunk: 64

Company: Penguin Solutions, Inc.
Filing Date: 2025-07-08
Form: 10-Q
Item: Part II, Item 2
Chunk 64
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1 trading arrangement (the “Pacheco 10b5-1 Plan”) that is intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act. The Pacheco 10b5-1 Plan provides for the sale of up to 63,447 shares of common stock acquired upon the exercise of stock options, subject to pre-established limit prices, commencing on July 21, 2025 and continuing until all shares are sold or until December 31, 2025, whichever occurs first.

50

During the fiscal quarter ended May 30, 2025, no other officers or directors of Penguin Solutions adopted or terminated a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading arrangement” (in each case, as defined in Item 408 of Regulation S-K).

Item 6. Exhibits

INDEX TO EXHIBITS

Incorporated by ReferenceExhibitNo.DescriptionFiledHerewithFormFile No.ExhibitFilingDate3.1Amended and Restated Certificate of Incorporation of Penguin Solutions, Inc., effective as of June 27, 20258-K12B001-381023.106/30/20253.2Certificate of Designation of Convertible Preferred Stock, effective as of June 27, 20258-K12B001-381023.206/30/20253.3Amended and Restated Bylaws of Penguin Solutions, Inc., effective as of June 27, 20258-K12B001-381023.306/30/20254.1Form of Common Stock CertificateS-8 POS333-2863474.106/30/20254.2Second Supplemental Indenture in respect of the 2026 Notes, dated as of June 30, 2025, by and among Penguin Solutions Delaware, Penguin Solutions Cayman and U.S. Bank Trust Company, National Association, a national banking association organized under the laws of the United States of America, as trustee 8-K12B001-381024.106/30/20254.3First Supplemental Indenture in respect of the 2029 Notes, dated as of June 30, 2025, by and among Penguin Solutions Delaware, Penguin Solutions Cayman and U.S. Bank Trust Company, National Association, a national banking association organized under the laws of the United States of America, as trustee 8-K12B001