RYVYL Inc
For the period ended Dec 31, 2023. Filed Mar 26, 2024.
View on SEC.govAbout this filing
A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Mar 26, 2024
RTB$5.78-5.5%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 15. Exhibits and Financial Statement Schedules
The following documents are filed as part of this Report:
| a) | Financial Statements: |
Our financial statements and the Report of Independent Registered Public Accounting Firm are included herein on page F-1.
| b) | Financial Statement Schedules: |
The financial statement schedules are omitted as they are either not applicable or the information required is presented in the financial statements and notes thereto on page F-1.
| c) | Exhibits: |
| Incorporated by · Filed or | ||||
|---|---|---|---|---|
| Exhibit · Reference · Furnished | ||||
| Number · Exhibit Description · Form · Exhibit · Filing Date · Herewith | ||||
| 3.1 | Amended and Restated Articles of Incorporation, filed October 10, 2022 | 8-K | 3.1 | 10/13/2022 |
| 32 | Certificate of Change, filed September 6, 2023 | 8-K | 3.1 | 09/06/2023 |
| 3.3 | Certificate of Amendment to Amended and Restated Articles of Incorporation, filed November 3, 2023 | 8-K | 3.1 | 11/03/2023 |
| 3.4 | Amended and Restated Bylaws, adopted effective October 6, 2022 | 8-K | 3.2 | 10/13/2022 |
| 4.1 | Form of Base Indenture between GreenBoxPOS and Wilmington Savings Fund Society, FSB | 8-K | 4.1 | 11/03/2021 |
| 4.2 | Form of First Supplemental Indenture | 8-K | 4.2 | 11/03/2021 |
| 4.3 | Form of 8% Senior Convertible Note Due 2023 | 8-K | 4.3 | 11/03/2021 |
| 4.4 | Description of Securities | 10-K | 4.4 | 04/17/2023 |
| 4.5 | Certificate of Designations of Rights and Preferences of Series A Convertible Preferred Stock of RYVYL Inc. | 8-K | 10.3 | 07/26/2023 |
| 4.6 | Certificate of Designations of Rights and Preferences of Series B Convertible Preferred Stock of RYVYL Inc. | 8-K | 10.1 | 12/04/2023 |
| 10.1+ | Form of Board of Directors Agreement entered into on February 16, 2021, by and between the Company and each of Ms. Baer and Messrs. Caragol and Laniado | 8-K | 10.1 | 02/19/2021 |
| 10.2+ | 2020 Incentive and Nonstatutory Stock Option Plan | S-8 | 4.1 | 09/03/2020 |
| 10.3+ | 2021 Incentive and Nonstatutory Stock Option Plan | S-8 | 4.1 | 07/13/2021 |
| 10.4+ | Amendment Agreement No. 1 to Share Purchase Agreement by and between GreenBox POS, and certain individuals named therein, made as of March 24, 2021. | 8-K | 10.1 | 03/31/2022 |
| 10.5 | Asset Purchase Agreement, signed March 31, 2022, between GreenBox POS and Sky Financial and Intelligence, LLC | 8-K | 10.1 | 04/06/2022 |
| 10.6 | Restructuring Agreement, dated August 16, 2022 between GreenBox POS and the Investor | 8-K | 10.1 | 08/16/2022 |
| 10.7 | April 2021 Sublease Agreement with regard to 3131 Camino del Rio North, Suite 1400, San Diego, CA 92108 | 10-Q | 10.3 | 11/15/2021 |
| 10.8 | Securities Purchase Agreement, dated November 2, 2021, between GreenBoxPOS and the Investors | 8-K | 10.1 | 11/03/2021 |
| 10.9 | Agreement and Waiver, dated January 28, 2022, between GreenBoxPOS and the Investor | 8-K | 10.1 | 01/31/2022 |
| 10.10 | Form of First Exchange Agreement, dated July 25, 2023, between RYVYL Inc. and the Investor | 8-K | 10.1 | 07/26/2023 |
| 10.11 | Form of Leak-Out Agreement | 8-K | 10.2 | 07/26/2023 |
| Incorporated by · Filed or | |||||
|---|---|---|---|---|---|
| Exhibit · Reference · Furnished | |||||
| Number | Exhibit Description | Form | Exhibit | Filing Date | Herewith |
| 10.12 | Amendment No. 1 to First Exchange Agreement, dated August 18, 2023, between RYVYL Inc. and the Investor | 8-K | 10.12 | 08/18/2023 | |
| 10.13 | Amendment No. 2 to First Exchange Agreement, dated August 25, 2023, between RYVYL Inc. and the Investor | 8-K | 10.13 | 08/28/2023 | |
| 10.14 | Form of Second Exchange Agreement, dated November 27, 2023, between RYVYL Inc. and the Investor | 8-K | 10.14 | 11/28/2023 | |
| 10.15 | Long-Term Incentive Plan | 8-K | 10.15 | 11/21/2023 | |
| 14.1 | Code of Business Conduct and Ethics | 8-K | 14.1 | 02/19/2021 | |
| 19.1 | Insider Trading Compliance Manual, adopted February 15, 2024 | X | |||
| 21.1 | List of Subsidiaries | 10-K | 21.1 | 04/17/2023 | |
| 23.1 | Consent of Independent Registered Public Accounting Firm | X | |||
| 31.1 | Certification of Principal Executive Officer Pursuant to Exchange Act Rule 13a-14(a), As adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||
| 31.2 | Certification of Principal Financial Officer Pursuant to Exchange Act Rule 13a-14(a), As adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||
| 32.1* | Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, As adopted Pursuant to Section 906 of the Sarbanes-Oxley Act 2002 | X | |||
| 32.2* | Certification of Principal Financial Officer pursuant to 18 U.S.C. Section 1350, As adopted Pursuant to Section 906 of the Sarbanes-Oxley Act 2002 | X | |||
| 97.1 | Executive Compensation Clawback Policy, adopted November 28, 2023 | X | |||
| 101.INS | Inline XBRL Instance Document | X | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema | X | |||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase | X | |||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase | X | |||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase | X | |||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase | X | |||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) | ||||
- Management contracts or compensation plans or arrangements in which directors or executive officers are eligible to participate.
- In accordance with SEC Release 33-8238, Exhibits 32.1 and 32.2 are being furnished and not filed.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.