NETWORK-1 TECHNOLOGIES INC
For the period ended Dec 31, 2023. Filed Mar 8, 2024.
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FY2023 · Filed Mar 8, 2024
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Item 15. Exhibits and Financial Statement Schedules
(a)(1) Financial Statements:
The following are included under Item 8 “Financial Statements and Supplementary Data”:
Report of Independent Registered Public Accounting Firm
Consolidated balance sheets as of December 31, 2023 and 2022
Consolidated statements of operations and comprehensive loss for the years ended December 31, 2023 and 2022
Consolidated statements of changes in stockholders' equity for the years ended December 31, 2023 and 2022
Consolidated statements of cash flows for the years ended December 31, 2023 and 2022
Notes to consolidated financial statements
(a)(2) Financial Statements Schedules:
Financial statement schedules are omitted because the information is not applicable.
(a)(3) Exhibits:
| 3(i)(a) | Certificate of Incorporation, as amended. Previously filed as Exhibit 3.1 to the Company’s Registration Statement on Form SB-2 (Registration No. 333-59617), declared effective by the SEC on November 12, 1998 (the “1998 Registration Statement”), and incorporated herein by reference. |
| 3(i)(b) | Certificate of Amendment to the Certificate of Incorporation dated November 27, 2001. Previously filed as Exhibit 3.1.1 to the Company’s Registration Statement on Form S-3 (Registration No. 333-81344) declared effective by the SEC on February 12, 2002, and incorporated herein by reference (the “February 2002 Form S-3”) |
| 3(i)(c) | Certificate of Amendment to the Certificate of Incorporation dated October 9, 2013. Previously filed as Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on October 10, 2013, and incorporated herein by reference. |
| 3(ii) | Second Amended and Restated By-laws. Previously filed as Exhibit 3.1 to the Company’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2016 filed on November 14, 2016 and incorporated herein by reference. |
| 4.1 | Description of Common Stock. Previously filed under the header “Common Stock” under the section captioned “Description of Securities” in the Company’s Registration Statement on Form S-1A (File No. 333-190719) filed on September 30, 2014 and incorporated herein by reference. |
| 10.2+ | Employment Agreement, dated July 14, 2016, between the Company and Corey M. Horowitz, Chairman and Chief Executive Officer. Previously filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on July 19, 2016 and incorporated herein by reference. |
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| 10.3+ | Employment Agreement, dated March 22, 2022, between the Company and Corey M. Horowitz, Chairman and Chief Executive Officer. Previously filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on March 28, 2022 and incorporated herein by reference. |
| 10.4+ | 2013 Stock Incentive Plan. Previously filed as Appendix B to the Company’s Schedule 14A (Proxy Statement) filed on August 20, 2013 and incorporated herein by reference. |
| 10.5+ | 2022 Stock Incentive Plan Previously filed as Exhibit A to the Company's Schedule 14A (Proxy Statement) filed on July 27, 2022 and incorporated herein by reference. |
| 10.6 | Form of Indemnification Agreement for directors and officers. Previously filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on December 13, 2019 and incorporated herein by reference. |
| 14 | Code of Ethics. Previously filed as Exhibit 14 to the Company's Annual Report on Form 10-KSB for the year ended December 31, 2004 filed on April 14, 2004 and incorporated herein by reference. |
| 19* | Insider Trading Policies and Procedures. |
| 21.1* | List of Subsidiaries of Registrant. |
| 23.1* | Consent of Marcum LLP, independent registered public accounting firm. |
| 31.1* | Section 302 Certification of Chief Executive Officer. |
| 31.2* | Section 302 Certification of Chief Financial Officer. |
| 32.1* | Section 906 Certification of Chief Executive Officer. |
| 32.2* | Section 906 Certification of Chief Financial Officer. |
| 97.* | Compensation Recovery Policy |
101***Interactive data files: ***
101.INS XBRL Instance Document.
101.SCH XBRL Scheme Document.
101.CAL XBRL Calculation Linkbase Document.
101.DEF XBRL Definition Linkbase Document.
101.LAB XBRL Label Linkbase Document.
101.PRE XBRL Presentation Linkbase Document
*****Filed herewith
+** **Management contract or compensatory plan or arrangement
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