Company: DAWN
Filing Date: 2025-02-25
Form Type: 10-K
Source: 0000950170-25-026654
Chunk: 361

Company: Day One Biopharmaceuticals, Inc.
Filing Date: 2025-02-25
Form: 10-K
Item: Item 9B
Chunk 361
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Insider Trading Policies and Arrangements

The Company’s directors and Section 16 officers (as defined in Rule 16a-1(f) under the Exchange Act) are only permitted to trade in the Company’s securities pursuant to a prearranged trading plan intended to satisfy the affirmative defense of Rule 10b5-1(c) under the Exchange Act, or a Rule 10b5-1 Plan. During the three months ended December 31, 2024, three of the Company’s Section 16 officers, including the Company’s Chief Executive Officer, who also serves as a member of the Company’s board of directors, and one member of the Company’s board of directors, adopted new Rule 10b5-1 Plans. The Plans (as defined below) were entered into during an open trading window in accordance with the Company’s Insider Trading Policy and Trading Plan Policy.

On November 8, 2024, Jeremy Bender, our Chief Executive Officer and a member of our board of directors, entered into a pre-arranged written stock sale plan in accordance with Rule 10b5-1 (the “Bender Rule 10b5-1 Plan”) under the Exchange Act for the sale of shares of our common stock. The Bender 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 Bender 

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Rule 10b5-1 Plan provides for the potential sale of shares of our common stock, including upon the vesting and settlement of restricted stock units/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 Bender Rule 10b5-1 Plan, between February 25, 2025 and February 28, 2026. The aggregate number of shares of common stock that will be available for sale under the Bender Rule 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 720,000, which reflects the aggregate maximum number of shares underlying Jeremy Bender’s restricted stock units which may be sold, without excluding the shares that will