SOCKET MOBILE INC
For the period ended Dec 31, 2023. Filed Mar 25, 2024.
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FY2023 · Filed Mar 25, 2024
SCKT$0.27-2.0%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Index to Exhibits
| Exhibit Number | Description |
|---|
| 3.1 (1) | Amended and Restated Certificate of Incorporation. |
| 3.2 | Certificate of Amendment to the Restated Certificate, as filed June 20, 2013. |
| 3.3 (2) | Bylaws, as amended February 17, 2008. |
| 4.1 (3) | Form of Secured Subordinated Convertible Note issued August 31, 2020. |
| 10.1 (4)* | Form of Indemnification Agreement entered into between the Company and its directors and officers. |
| 10.2 (5)* | 2004 Equity Incentive Plan and forms of agreement thereunder. |
| 10.3 (6)* | Form of Management Incentive Variable Compensation Plan between the Company and certain eligible participants. |
| 10.4 (7) | Standard Industrial/Commercial Multi-Tenant Lease by and between Del Norte Farms, Inc. and the Company dated October 24, 2006 (assigned to Newark Eureka Industrial Capital, LLC September 17, 2007). |
| 10.5 (8) | Second Amendment to Standard Industrial/Commercial Multi-Lessee Lease – Net dated August 30, 2010. |
| 10.6 (9) | Third Amendment to Standard Industrial/Commercial Multi-Tenant Lease – Net dated December 28, 2012. |
| 10.7 (10) | Warrants for the Purchase of Shares of Common Stock Issued November 19, 2010 to the Investor and the Placement Agent in connection with a private placement. |
| 10.8 (11) | Loan and Security Agreement dated February 27, 2014 by and between the Company and Bridge Bank, National Association. |
| 10.9 (12) | Form of Employment Agreement dated May 1, 2017 between the Company and the officers of the Company. |
| 10.10 (13) | Business Financing Modification Agreement dated February 26, 2016 by and between the Company and Western Alliance Bank, an Arizona corporation. |
| 10.11 (14) | Business Financing Modification Agreement dated March 20, 2017 by and between the Company and Western Alliance Bank, an Arizona corporation. |
| 10.12 (15) | Business Financing Modification Agreement dated January 31, 2018 by and between the Company and Western Alliance Bank, an Arizona corporation. |
| 10.13 (16) | Tender Offer Statement to purchase up to 1,250,000 shares of common stock at a price not greater than $4.25 nor less than $3.75 per share. |
| 10.14 (17) | Business Financing Modification Agreement dated June 4, 2018 by and between the Company and Western Alliance Bank, an Arizona corporation. |
| 10.15 (18) | Business Financing Modification Agreement dated January 8, 2020 by and between the Company and Western Alliance Bank, an Arizona corporation. |
| 10.16 (19) | Amended and Restated Business Financing Agreement dated January 29, 2021 by and between the Company and Western Alliance Bank, an Arizona corporation. |
| 10.17 | First Business Financing Modification Agreement dated February 9, 2022 by and between the Company and Western Alliance Bank, an Arizona corporation. |
| 10.18 (20) | Second Business Financing Modification Agreement and Waiver of Defaults dated January 25, 2023 by and between the Company and Western Alliance Bank, an Arizona corporation. |
| 10.19 (21) | 2021 Technology Transfer Agreement, dated as of February 26, 2021, by and between the Company and SpringCard SAS |
| 10.20 (22) | Secured Subordinated Convertible Note Extension Agreement, effective as of November 16, 2022 |
| 10.21 | Third Business Financing Modification Agreement and Waiver of Defaults dated May 26, 2023 by and between the Company and Western Alliance Bank, an Arizona corporation. |
| 10.22 (23) | Secured Subordinated Convertible Note Extension Agreement, effective as of May 26, 2023. |
| 11.1 | Computation of Earnings per Share (see Statements of Operations in Item 8). |
| 14.1 (24) | Code of Business Conduct and Ethics. |
| 23.1 | Consent of Sadler Gibb & Associates, LLC, Independent Registered Public Accounting Firm. |
| 31.1 | Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
| 31.2 | Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
| 32.1 | Certification of Chief Executive Officer and Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| 101 | Inline XBRL Document. |
| 104 | Cover Page Interactive Data File. |
- Executive compensation plan or arrangement.
| (2) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on February 20, 2008. |
| (3) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on September 1, 2020. |
| (4) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on March 8, 2012. |
| (5) | Incorporated by reference to Appendix C filed with the Company’s Form DEF 14A filed on April 29, 2004 and Item 4 on Form 8-K filed on June 5, 2013 reporting extension of the Plan to April 23, 2024. |
| (6) | Incorporated by reference to Appendix B filed with the Company’s Form DEF 14A filed on March 16, 2011. |
| (7) | Incorporated by reference to exhibits filed with the Company’s Form 10-Q filed on November 13, 2006. |
| (8) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on August 30, 2010. |
| (9) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on January 4, 2013. |
| (10) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on November 19, 2010. |
| (11) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on March 7, 2014. |
| (12) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on May 4, 2017. |
| (13) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on March 3, 2016. |
| (14) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on March 21, 2017. |
| (15) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on February 2, 2018. |
| (16) | Incorporated by reference to the Company’s Schedule TO filed on February 2, 2018. |
| (17) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on June 8, 2018. |
| (18) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on January 14, 2020. |
| (19) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on February 3, 2021. |
| (20) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on January 25, 2023. |
| (21) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on March 4, 2021. |
| (22) | Incorporated by reference to exhibits filed with the Company’s Form 8-K filed on November 16, 2022. |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.