Company: DAWN
Filing Date: 2025-02-25
Form Type: 10-K
Source: 0000950170-25-026654
Chunk: 363

Company: Day One Biopharmaceuticals, Inc.
Filing Date: 2025-02-25
Form: 10-K
Item: Item 9B
Chunk 363
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10b5-1 Plan is not yet determinable because the shares available will be net of shares sold to satisfy tax withholding obligations that arise in connection with the vesting and settlement of such restricted stock unit awards. As such, for purposes of this disclosure, the aggregate number of shares of common stock available for sale is approximately 310,601, which reflects the aggregate maximum number of shares underlying Charles York’s restricted stock units which may be sold, without excluding the shares that will be sold to satisfy the tax withholding obligations. The York Rule 10b5-1 Plan expires on February 18, 2026.

On December 1, 2024, William Grossman, one of our directors, entered into a pre-arranged written stock sale plan in accordance with Rule 10b5-1 (the “Grossman Rule 10b5-1 Plan” and collectively with the Bender Rule 10b5-1 Plan, Blackman Rule 10b5-1 Plan, and York Rule 10b5-1 Plan, the “Plans”) under the Exchange Act for the sale of shares of our common stock. The Grossman Rule 10b5-1 Plan was entered into during an open trading window in accordance with our policies regarding transactions in our securities and is intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act. The Grossman Rule 10b5-1 Plan provides for the potential sale of shares of our common stock, including upon the vesting and exercise of stock options, so long as the market price of our common stock is higher than certain minimum threshold prices specified in the Grossman Rule 10b5-1 Plan, between March 2, 2025 and March 1, 2026. There are 30,132 aggregate number of shares of common stock available for sale under the Grossman Rule 10b5-1 Plan. The Grossman Rule 10b5-1 Plan expires on March 1, 2026.