Apyx Medical Corp
For the period ended Dec 31, 2023. Filed Mar 21, 2024.
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FY2023 · Filed Mar 21, 2024
APYX$2.93-0.3%Stored close · as of Nov 10, 2026
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Item 15. Exhibits and Financial Statement Schedules
| (a)(1) · LISTING OF FINANCIAL STATEMENTS · Page | |||
|---|---|---|---|
| The following consolidated financial statements of the Company are included in Item 8 of this Report: | |||
| Consolidated Balance Sheets at December 31, 2023 and 2022 | 41 | ||
| Consolidated Statements of Operations for the years ended December 31, 2023 and 2022 | 42 | ||
| Consolidated Statement of Changes in Equity for the years ended December 31, 2023 and 2022 | 43 | ||
| Consolidated Statements of Cash Flows for the years ended December 31, 2023 and 2022 | 44 | ||
| Notes to Consolidated Financial Statements | 46 | ||
| (a)(2) | FINANCIAL STATEMENT SCHEDULES | ||
| All financial statement schedules have been omitted, since the required information is not applicable or is not present in amounts sufficient to require submission of the schedule, or because the information required is included in the consolidated financial statements and notes thereto included in this Report. | |||
(a)(3) EXHIBITS
| 3.1 | Articles of Incorporation of the Registrant (Incorporated by reference to Exhibit 3.1 to the Registrant’s report on Form 10-K/A filed on March 31, 2011) |
| 3.2 | By laws of the Registrant (Incorporated by reference to Exhibit 3.2 to the Registrant’s report on Form 10-K/A filed on March 31, 2011) |
| 3.3 | Certificate of Amendment of the Certificate of Incorporation of the Registrant (Incorporated by reference to Exhibit 3.5 to the Registrant’s Quarterly Report on Form 10-Q filed on November 3, 2017) |
| 3.4 | Certificate of Elimination of the Series A 6% Convertible Preferred Stock and Series B Convertible Preferred Stock (Incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K filed on May 3, 2018) |
| 3.5 | Certificate of Amendment of the Certificate of Incorporation of the Registrant (Incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K filed on December 28, 2018) |
| 4.1 | Description of the Registrant’s Securities (Incorporated by the reference to Exhibit 4.2 to the Registrant’s Annual Report on Form 10-K filed on March 31, 2020) |
| 10.1** | Charles D. Goodwin II Amended and Restated Employment Agreement, dated September 17, 2020 (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed on September 18, 2020) |
| 10.2** | Todd Hornsby Amended and Restated Employment Agreement, dated September 17, 2020 (Incorporated by reference to Exhibit 10.3 to the Registrant’s Current Report on Form 8-K filed on September 18, 2020) |
| 10.3** | Matthew Hill Employment Agreement, dated November 28, 2023 (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed on November 28, 2023) |
| 10.4 | Credit, Security and Guaranty Agreement, dated February 17, 2023 (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed on February 24, 2023) |
| 10.5 | Fee Letter, dated February 17, 2023 (Incorporated by reference to Exhibit 10.2 to the Registrant’s Current Report on Form 8-K filed on February 24, 2023) |
| 10.6 | Warrant to Purchase Stock, dated February 17, 2023 (Incorporated by reference to Exhibit 10.3 to the Registrant’s Current Report on Form 8-K filed on February 24, 2023) |
| 10.7 | Purchase and Sale Agreement, dated March 14, 2023 (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed on March 15, 2023) |
| 10.8 | Credit and Guaranty Agreement, dated November 8, 2023 (Incorporated by reference to Exhibit 10.1 to the Registrant’s Current Report on Form 8-K filed on November 9, 2023) |
| 10.9 | Warrant to Purchase Stock, dated November 8, 2023 (Incorporated by reference to Exhibit 4.1 to the Registrant’s Current Report on Form 8-K filed on November 9, 2023) |
| 14.1 | Code of Ethics (Incorporated by the reference to the Registrant’s Annual Report on Form 10-K filed on March 31, 2020) |
| 21.1* | List of Subsidiaries |
| 23.1* | Consent of RSM US LLP |
| 31.1* | Certification pursuant to Section 302 of Sarbanes-Oxley Act of 2002 |
| 31.2* | Certification pursuant to Section 302 of Sarbanes-Oxley Act of 2002 |
| 32.1* | Certification pursuant to Section 906 of Sarbanes-Oxley Act of 2002 |
| 32.2* | Certification pursuant to Section 906 of Sarbanes-Oxley Act of 2002 |
| 97.1* | Apyx Medical Corporation Clawback Policy, effective October 2, 2023 |
| 101.INS*** | XBRL Instance Document |
| 101.SCH*** | XBRL Taxonomy Extension Schema Document |
| 101.CAL*** | XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF*** | XBRL Taxonomy Extension Definition Linkbase Document |
| 101.LAB*** | XBRL Taxonomy Extension Label Linkbase Document |
| 101.PRE*** | XBRL Taxonomy Extension Label Presentation Document |
- Filed herewith.
** Management contract or compensatory arrangement.
*** XBRL (Extensible Business Reporting Language) information is furnished and not filed or a part of registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended is deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended and otherwise is not subject to liability under these sections.
SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized, in Clearwater, Florida on March 21, 2024.
| Apyx Medical Corporation | |
| By: | /s/ Charles D. Goodwin II |
| Charles D. Goodwin II | |
| President, Chief Executive Officer and Director | |
| (Principal Executive Officer) | |
| By: | /s/ Matthew Hill |
| Matthew Hill | |
| Chief Financial Officer, | |
| Treasurer and Secretary | |
| (Principal Financial Officer) |
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
| Name | Title | Date |
|---|---|---|
| Directors: | ||
| /s/ ANDREW MAKRIDES | Chairman of the Board | March 21, 2024 |
| Andrew Makrides | ||
| /s/ CHARLES D. GOODWIN II | Chief Executive Officer and Director | March 21, 2024 |
| Charles D. Goodwin II | ||
| /s/ MATTHEW HILL | Chief Financial Officer, Treasurer and Secretary | March 21, 2024 |
| Matthew Hill | ||
| /s/ JOHN ANDRES | Vice Chairman of the Board | March 21, 2024 |
| John Andres | ||
| /s/ LAWRENCE J. WALDMAN | Director | March 21, 2024 |
| Lawrence J. Waldman | ||
| /s/ MICHAEL GERAGHTY | Director | March 21, 2024 |
| Michael Geraghty | ||
| /s/ CRAIG SWANDAL | Director | March 21, 2024 |
| Craig Swandal | ||
| /s/ MINNIE BAYLOR-HENRY | Director | March 21, 2024 |
| Minnie Baylor-Henry | ||
| /s/ WENDY LEVINE | Director | March 21, 2024 |
| Wendy Levine | ||
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