authID Inc
For the period ended Dec 31, 2023. Filed Mar 20, 2024.
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FY2023 · Filed Mar 20, 2024
AUID$0.17-6.7%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 15. Exhibits and Financial Statement Schedules
| Exhibit Number | Description |
| 3.1 (1) | Amended & Restated Certificate of Incorporation |
| 3.2 (14) | Amended & Restated Bylaws as of July 18, 2022 |
| 3.3 (2) | Certificate of Amendment dated June 1, 2021 |
| 3.4 (14) | Certificate of Amendment to Amended and Restated Certificate of Incorporation as of July 18, 2022 |
| 3.5 (15) | Certificate of Amendment to Amended and Restated Certificate of Incorporation as of September 21, 2022 |
| 3.6 (23) | Certificate of Amendment to the Amended and Restated Certificate of Incorporation dated June 26, 2023 |
| 4.1 (2) | Form of Stock Option |
| 4.2 (3) | Form of 8.0% Convertible Note |
| 4.3 (4) | Form of 15.0% Convertible Note |
| 4.4 (4) | Amended and Restated Promissory Note issued to The Theodore Stern Revocable Trust |
| 4.5 (5) | Paycheck Protection Program Term Note dated May 6, 2020 |
| 4.6 (6) | Paycheck Protection Program Term Note dated February 1, 2021 |
| 4.7 (18) | Description of the Registrant’s Securities |
| 10.1 (2) | Form of Director Agreement |
| 10.2 (2) | Form of Indemnification Agreement |
| 10.5 (7) | 2017 Incentive Stock Plan |
| 10.7 (2) | Executive Retention Agreement entered between the Company and Thomas L. Thimot dated June 14, 2021 |
| 10.8 (2) | Executive Retention Agreement entered between the Company and Cecil N. Smith III dated June 14, 2021 |
| 10.9 (2) | Letter Agreement between the Company and Thomas L. Thimot dated June 14, 2021 |
| 10.10 (2) | Letter Agreement between the Company and Cecil N. Smith III dated June 14, 2021 |
| 10.11 (8) | Letter Agreement between the Company and Phillip L. Kumnick dated as November 5, 2021 |
| 10.12 (8) | Letter Agreement between the Company and Philip R. Broenniman dated as November 5, 2021 |
| 10.13 (9) | AuthID Inc. 2021 Equity Incentive Plan |
| 10.14 (11) | Letter Agreement between AuthID Inc. and Thomas Szoke dated November 19, 2021 |
| 10.15 (10) | Form of Securities Purchase Agreement entered into between the Company and the Note Investors dated March 21, 2022. |
| 10.16 (10) | Form of Senior Secured Convertible Note issued by the Company to the Note Investors dated March 21, 2022. |
| 10.17 (10) | Security and Pledge Agreement entered into between the Company and Stephen J. Garchik as Collateral Agent dated March 21, 2022. |
| 10.19 (10) | Form of Registration Rights Agreement entered into between the Company and the Note Investors dated March 21, 2022. |
| 10.20 (10) | Facility Agreement entered into between the Company and Stephen J. Garchik dated March 21, 2022. |
| 10.21 (10) | Form of Subscription Agreement entered into between the Company and the PIPE Investors dated March 21, 2022. |
| 10.22 (12) | Letter Agreement between Joseph Trelin and AuthID Inc. dated April 18, 2022 |
| 10.23 (13) | Letter Agreement between Annie Pham and AuthID Inc. dated April 25, 2022 |
| 10.24 (16) | Amended and Restated Facility Agreement between the Company and Stephen J. Garchik dated March 8, 2023. |
| 10.25 (16) | Promissory Note between the Company and Stephen J. Garchik dated March 9, 2023. |
| 10.26 (16) | Guaranty Agreement by FIN Holdings Inc., Innovation in Motion, Inc. and ID Solutions, Inc. in favor of Stephen J. Garchik dated March 9, 2023. |
| 10.27 (16) | Release Agreement between the Company and Stephen J. Garchik dated March 9, 2023. |
| 10.28 (17) | Letter Agreement between Rhoniel Daguro and AuthID Inc. dated March 23, 2023 |
| 10.29 (17) | Executive Retention Agreement between Rhoniel Daguro and AuthID Inc. dated March 23, 2023 |
| 10.30 (17) | Confidential Separation Agreement and General Release between Thomas Thimot and authID Inc. Dated March 23, 2023 |
| 10.31 (19) | Letter Agreement between Thomas Szoke and AuthID Inc. dated April 12, 2023 |
| 10.32 (19) | Executive Retention Agreement between Thomas Szoke and AuthID Inc. dated April 12, 2023 |
| 10.33 (21) | Executive Retention Agreement between Annie Pham and AuthID Inc. dated May 11, 2023 |
| 10.34 (22)** | Form of Securities Purchase Agreement dated as of May 23, 2023 between the Company and accredited investors |
| 10.35 (22) | Engagement Agreement dated as of April 20, 2023 between the Company and Madison Global Partners LLC |
| 10.36 (22) | Stock Purchase Warrant dated May 26, 2023 issued to Madison Global Partners LLC |
| 10.37 (22)** | Form of Exchange Agreement dated as of May 23, 2023 between the Company and certain Holders |
| 10.38 (24) | Letter Agreement between Edward Sellitto and authID Inc. dated July 31, 2023 |
| 10.39 (25) | Agreement dated October 25, 2023 between The Pipeline Group, Inc. and authID Inc. |
| 10.40 (27) | Form of Securities Purchase Agreement dated as of November 20, 2023 between the Company and accredited investor |
| 10.41 (27) | Engagement Agreement dated as of November 2, 2023 between the Company and Madison Global Partners, LLC |
| 10.42 (27) | Stock Purchase Warrant dated November 22, 2023 issued to Madison Global Partners, LLC |
| 10.42 (28)** | Agreement dated December 19, 2023 between The Pipeline Group, Inc and authID Inc. |
| 14.1 (26) | Code of Ethics |
| 21.1 (20) | List of Subsidiaries |
| 23.1* | Consent of Independent Registered Public Accounting Firm |
| 31.1* | Certification of Chief Executive Officer pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act |
| 31.2* | Certification of Chief Financial Officer pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act |
| 32.1* | Certification of Chief Executive Officer and Chief Financial Officer pursuant to 18 U.S.C. §1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
| 97.1 (26) | Policy for the Recovery of Erroneously Awarded Compensation adopted October 6, 2023 |
| 101.INS | Inline XBRL Instance 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). |
| * | Filed herewith |
| ** | Certain confidential portions of this exhibit were omitted by means of marking such portions with asterisks because the identified confidential portions (i) are not material and (ii) would be competitively harmful if publicly disclosed. A copy of any omitted portions will be furnished to the SEC upon request. |
| (1) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on March 23, 2021. |
| (2) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on June 15, 2021. |
| (3) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on December 16, 2019. |
| (4) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on February 18, 2020. |
| (5) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on May 13, 2020. |
| (6) | Incorporated by reference to the Form 10-Q Quarterly Report filed with the Securities Exchange Commission on May 6, 2021. |
| (7) | Incorporated by reference to the Form 10-Q Quarterly Report filed with the Securities Exchange Commission on May 4, 2018. |
| (8) | Incorporated by reference to the Form 10-Q Quarterly Report filed with the Securities Exchange Commission on November 8, 2021. |
| (9) | Incorporated by reference to the Form S-8 Registration Statement filed with the Securities Exchange Commission on February 1, 2022. |
| (10) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on March 21, 2022. |
| (11) | Incorporated by reference to the Form 10-K Annual Report filed with the Securities Exchange Commission on March 22, 2022. |
| (12) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on April 18, 2022. |
| (13) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on April 27, 2022. |
| (14) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on July 19, 2022. |
| (15) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on September 21, 2022. |
| (16) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on March 10, 2023. |
| (17) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on March 28, 2023. |
| (18) | Incorporated by reference to the Form 10-K Annual Report filed with the Securities Exchange Commission on March 30, 2023. |
| (19) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on April 18, 2023. |
| (20) | Incorporated by reference to the Form 10-Q Quarterly Report filed with the Securities Exchange Commission on May 11, 2023. |
| (21) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on May 16, 2023. |
| (22) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on May 26, 2023. |
| (23) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on June 27, 2023. |
| (24) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on August 3, 2023. |
| (25) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on October 26, 2023. |
| (26) | Incorporated by reference to the Form 10-Q Quarterly Report filed with the Securities Exchange Commission on November 8, 2023. |
| (27) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on November 27, 2023. |
| (28) | Incorporated by reference to the Form 8-K Current Report filed with the Securities Exchange Commission on December 21, 2023. |
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