FIRST CAPITAL INC
For the period ended Dec 31, 2023. Filed Mar 29, 2024.
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FY2023 · Filed Mar 29, 2024
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Item 15. Exhibits and Financial Statement Schedules
| (a)(1) | Financial Statements. | |
|---|---|---|
| The following consolidated financial statements of the Company and its subsidiaries are included in this Annual Report on Form 10-K: | ||
| Page Reference | ||
| Report of Independent Registered Public Accounting Firm (PCAOB ID:590) | F-1 | |
| Consolidated Balance Sheets at December 31, 2023 and 2022 | F-3 | |
| Consolidated Statements of Income for the years ended December 31, 2023, 2022 and 2021 | F-4 | |
| Consolidated Statements of Comprehensive Income for the years ended December 31, 2023, 2022 and 2021 | F-5 | |
| Consolidated Statements of Changes in Stockholders’ Equity for the years ended December 31, 2023, 2022 and 2021 | F-6 | |
| Consolidated Statements of Cash Flows for the years ended December 31, 2023, 2022 and 2021 | F-7 | |
| Notes to Consolidated Financial Statements | F-8 | |
| (a)(2) | Financial Statement Schedules. All financial statement schedules are omitted as the required information either is not required or applicable, or the required information is contained in the consolidated financial statements or related notes. | |
| (a)(3) | Exhibits |
|---|---|
| 3.1 | Articles of Incorporation of First Capital, Inc. (1) |
| 3.2 | Fifth Amended and Restated Bylaws of First Capital, Inc. (2) |
| 4.1 | Description of First Capital, Inc. common stock |
| 10.2 | *Amended and Restated Change in Control Agreement between First Capital, Inc., First Harrison Bank and M. Chris Frederick (3) |
| 10.3 | *Change in Control Agreement between First Capital, Inc., First Harrison Bank and Jennifer Incantalupo (4) |
| 10.4 | *Change in Control Agreement between First Capital, Inc., First Harrison Bank and Joe Mahuron (4) |
| 10.5 | *Change in Control Agreement between First Capital, Inc., First Harrison Bank and Jennifer Meredith (4) |
| 10.6 | *Change in Control Agreement between First Capital, Inc., First Harrison Bank and Joshua P. Stevens (4) |
| 10.7 | *First Capital, Inc. 2009 Equity Incentive Plan (5) |
| 10.8 | *Director Deferred Compensation Agreement between First Federal Savings & Loan Association and James Pendleton (6) |
| 10.9 | *Director Deferred Compensation Agreement between First Federal Savings & Loan Association and Gerald Uhl (6) |
| 10.10 | *Director Deferred Compensation Agreement between First Federal Savings & Loan Association and Mark Shireman (6) |
| 10.11 | *First Capital, Inc. 2019 Equity Incentive Plan (7) |
| 10.12 | *First Capital Annual Supplemental Bonus Plan (8) |
| 11.0 | Statement Re: Computation of Per Share Earnings (incorporated by reference to Item 8, “Financial Statements and Supplementary Data” of this Form 10-K) |
| 21.0 | List of Subsidiaries of First Capital, Inc. |
| 23.0 | Consent of Monroe Shine and Co., Inc. |
| 31.1 | Rule 13a-14(a)/15d-14(a) Certification of Chief Executive Officer |
| 31.2 | Rule 13a-14(a)/15d-14(a) Certification of Chief Financial Officer |
| 32.0 | Section 1350 Certification of Chief Executive Officer & Chief Financial Officer |
| 97.0 | First Capital, Inc. – Clawback Policy |
| 101.INS | Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded with the Inline XBRL document |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document |
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document |
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) |
- Management contract or compensatory plan, contract or arrangement.
(1) Incorporated by reference to Exhibit 3.1 filed with the Registration Statement on Form SB-2 on September 16, 1998, and any amendments thereto, Registration No. 333-63515, as amended by that Amendment to Articles of Incorporation provided as Exhibit 3.1 to the Current Report on Form 8-K filed with the Securities and Exchange Commission on May 19, 2016.
(2) Incorporated by reference to Exhibit 3.2 to the Current Report on Form 8-K filed with the Securities and Exchange Commission on June 18, 2013.
(3) Incorporated by reference to Exhibit 1.4 to the Current Report on Form 8-K filed with the Securities and Exchange Commission on January 9, 2023.
(4) Incorporated by reference to Exhibit 1.1, 1.2, 1.3, and 1.6 to the Current Report on Form 8-K filed with the Securities and Exchange Commission on January 9, 2023.
(5) Incorporated by reference to Appendix A to the Definitive Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on April 9, 2009.
(6) Incorporated by reference to Exhibits 10.9, 10.10 and 10.11, respectively, filed with the Annual Report on Form 10-K for the year ended December 31, 2008.
(7) Incorporated by reference to Exhibit 4.1 filed with the Registration Statement on Form S-8 on August 28, 2019, Registration No. 333-233485.
(8) Incorporated by reference to Exhibit 10.1 filed with the Form 10-Q for the period ended September 30, 2022.
ITEM 16. **FORM 10-K SUMMARY
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