Company: USCB
Filing Date: 2025-04-22
Form Type: DEF 14A
Source: 0000927089-25-000082
Chunk: 20

Company: USCB FINANCIAL HOLDINGS, INC.
Filing Date: 2025-04-22
Form: DEF 14A
Chunk 20
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 generally means that no executive officer of USCB Financial Holdings served as a director or member of the compensation committee of another entity, one of whose executive officers served as a director or member of USCB Financial Holdings’ compensation committee.

Insider Trading, Anti-Hedging and Pledging Policies, and Other Trading Restrictions.USCB Financial Holdings has adopted an insider trading policy governing the purchase, sale, and/or other dispositions of our securities that we believe is reasonably designed to promote compliance with insider trading laws, rules, and regulations, and the Nasdaq Stock Market listing standards. Under the policy, our directors, executive officers, and certain other employees are prohibited from trading in our securities absent pre-clearance from our designated compliance officer, unless such trades are pursuant to a trading plan (a “10b5-1 plan”) meeting the requirements of Rule 10b5-1 promulgated under the Securities Exchange Act of 1934, as amended (the “Exchange Act”). The 10b5-1 plan must be reviewed and acknowledged by our designated compliance officer and we require that the first trade under a newly adopted 10b5-1 plan take place after the statutory “cooling off” period has passed from the time of adoption of the plan; in addition, a director, executive officer, or other covered employee is only permitted to use one 10b5-1 plan at a time in accordance with the requirements of Rule 10b5-1. The policy further provides that directors, senior officers and other employees (including all members of the Finance Department) involved in the USCB Financial Holdings’ earnings release process or members of their households may not purchase or sell securities of USCB Financial Holdings during a blackout period, which includes a specified number of days before and after the publication by USCB Financial Holdings of its quarterly financial results.

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In addition, under the policy, directors and executive officers of the USCB Financial Holdings, including their immediate families and controlled entities, are prohibited from engaging in any of the following transactions: (a) short-term trading (generally defined as selling USCB Financial Holdings securities within six months following a purchase); (b) short sales (selling USCB Financial Holdings securities the person does not own or a short sale against the box); (c) transactions involving publicly traded options or other derivatives, such as trading in puts or calls with respect to USCB Financial Holdings’ securities; and (d) hedging transactions. Employees are likewise prohibited from engaging