ASTEC INDUSTRIES INC
For the period ended Dec 31, 2023. Filed Feb 28, 2024.
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FY2023 · Filed Feb 28, 2024
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Item 15. Exhibits and Financial Statement Schedules
(a)(1) The following financial statements and the other information listed below appear in Part II, Item 8. Financial Statements and Supplementary Data to this Report and are filed as a part hereof:
Reports of Independent Registered Public Accounting Firms
Consolidated Statements of Comprehensive Income (Loss) for the Years Ended December 31, 2023, 2022 and 2021
Consolidated Statements of Equity for the Years Ended December 31, 2023, 2022 and 2021
Notes to Consolidated Financial Statements
(a)(2) Financial Statement Schedules are not filed with this Report because the Schedules are either inapplicable or the required information is presented in the Consolidated Financial Statements or Notes thereto.
(b) The following Exhibits are incorporated by reference into or are filed with this Report:
| Incorporated by Reference | |||||
| Exhibit Number | Exhibit Description | Filed Herewith | Form | Period Ended | Filing Date |
| 3.1 | Amended and Restated Charter of the Company | 10-Q | 9/30/2011 | 11/9/2011 | |
| 3.2 | Amended and Restated Bylaws of the Company | 8-K | 12/21/2022 | 12/27/2022 | |
| 4.1 | Description of the Registrant's securities registered pursuant to Section 12 of the Securities Exchange Act of 1934 | 10-K | 12/31/2022 | 3/1/2023 | |
| 10.1 | Credit Agreement, dated as of December 19, 2022, between Astec Industries, Inc. and Certain of its Subsidiaries and Wells Fargo Bank, National Association, as administrative agent, and the lenders party thereto | 8-K | 12/19/2022 | 12/20/2022 | |
| 10.2 | Astec Industries, Inc. 2011 Incentive Plan* | DEF 14A | 3/4/2011 | ||
| 10.3 | Astec Industries, Inc. 2021 Equity Incentive Plan* | DEF 14A | 3/18/2021 | ||
| 10.4 | Astec Industries, Inc. Executive Change in Control Severance Plan, effective July 28, 2016* | 10-K | 12/31/2022 | 3/1/2023 | |
| 10.5 | Separation Agreement, dated as of January 6, 2023, by and between Astec Industries, Inc. and Barry A. Ruffalo* | 8-K | 1/6/2023 | 1/6/2023 | |
| 10.6 | Form of Severance Agreement between Astec Industries, Inc. and Certain Officers dated as of December 31, 2021* | 10-Q | 3/31/2022 | 5/5/2022 | |
| 10.7 | Separation Agreement, dated as of May 8, 2023, by and between Astec Industries, Inc. and Anshu Pasricha* | 10-Q | 6/30/2023 | 8/3/2023 | |
| 10.8 | Trust under Astec Industries, Inc. Supplemental Retirement Plan, dated January 1, 1996* | 10-K | 12/31/1995 | 3/15/1996 | |
| 10.9 | Astec Industries, Inc. Supplemental Executive Retirement Plan, as amended and restated through January 1, 2009* | 10-K | 12/31/2008 | 2/27/2009 | |
| 10.10 | Astec Industries, Inc. Amended and Restated Non-Employee Directors Compensation Plan, original effective April 23, 1998 with amended and restated provisions effective April 29, 2016* | 10-K | 12/31/2016 | 3/1/2017 | |
| 10.11 | Astec Industries, Inc. Deferred Compensation Plan effective January 1, 2021* | 10-Q | 3/31/2021 | 5/6/2021 | |
| 10.12 | Form of Restricted Stock Unit Award Certificate under the Astec Industries, Inc. 2021 Equity Incentive Plan* | 10-Q | 3/31/2021 | 5/6/2021 | |
| 10.13 | Form of Performance-Based Restricted Stock Unit Award Certificate under the Astec Industries, Inc. 2021 Equity Incentive Plan* | 10-Q | 3/31/2021 | 5/6/2021 | |
| 10.14 | Form of Restricted Stock Unit Award Certificate under the Astec Industries, Inc. 2021 Equity Incentive Plan - Director Awards* | X | |||
| 21 | Subsidiaries of the Registrant | X | |||
| 23.1 | Consent of Independent Registered Public Accounting Firm | X | |||
| 23.2 | Consent of Independent Registered Public Accounting Firm | X | |||
| 31.1 | Certification of Chief Executive Officer of Astec Industries, Inc. pursuant to Rule 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act Of 2002 | X | |||
| 31.2 | Certification of Chief Financial Officer of Astec Industries, Inc. pursuant to Rule 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act Of 2002 | X |
| 32.1 | Certification of Chief Executive Officer of Astec Industries, Inc. pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | X |
| 32.2 | Certification of Chief Financial Officer of Astec Industries, Inc. pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act Of 2002 | X |
| 97 | Compensation Recoupment Policy* | X |
| 101 | The following materials from the Company's Annual Report on Form 10-K for the year ended December 31, 2023 formatted in Inline Extensible Business Reporting Language ("iXBRL"): (i) the Consolidated Statements of Operations, (ii) the Consolidated Statements of Comprehensive Income (Loss), (iii) the Consolidated Balance Sheets, (iv) the Consolidated Statements of Cash Flows, (v) the Consolidated Statements of Equity and (vi) related notes, tagged as blocks of text and including detailed tags. | X |
| 104 | Cover page from the Company's Annual Report on Form 10-K for the year ended December 31, 2023, formatted in iXBRL (included as Exhibit 101). | X |
| *Management contract or compensatory plan or arrangement |
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