Energy Services of America CORP
For the period ended Sep 30, 2023. Filed Jan 16, 2024.
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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 Jan 16, 2024
ESOA$8.81-2.8%Stored close · as of Nov 10, 2026
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ITEM 15. Exhibits and Financial Statement Schedules
The exhibits and financial statement schedules filed as a part of this Annual Report on Form 10-K are as follows:
| | | |||
|---|---|---|---|---|
| (a)(1) | Consolidated Financial Statements | | ||
| | | Energy Services of America Corporation | | |
| | | Report of Independent Registered Public Accounting Firm (PCAOB ID 23) | | F-1 |
| | | Consolidated Balance Sheets, September 30, 2023 and September 30, 2022. | | F-4 |
| | | Consolidated Statements of Income, Years Ended September 30, 2023 and September 30, 2022. | | F-5 |
| | | Consolidated Statements of Cash Flows, Years Ended September 30, 2023 and September 30, 2022. | | F-6 |
| | | Consolidated Statements of Changes in Shareholders’ Equity, Years Ended September 30, 2023 and September 30, 2022. | | F-7 |
| | | Notes to Consolidated Financial Statements. | | F-8 |
| (a)(2) | | Consolidated Financial Statement Schedules | | |
| | | No financial statement schedules are filed because the required information is not applicable or is included in the consolidated financial statements or related notes. | | |
| (a)(3) | | Exhibits | | |
| Exhibit No. | Description | |
| 3.1 | | Amended and Restated Certificate of Incorporation (1) |
| 3.2 | | Bylaws (1) |
| 3.3 | | Certificate of Amendment to the Registrant’s Certificate of Incorporation (1) |
| 3.4 | | Certificate of Designations Series A Preferred Stock (4) |
| 4.1 | | Form of Certificate of Common Stock (1) |
| 4.2 | | Description of Common Stock (5) |
| 10.1 | | Form of Investment Management Trust Agreement between Continental Stock Transfer & Trust Company and the Registrant (1) |
| 10.2 | | Form of Stock Escrow Agreement between the Registrant, Continental Stock Transfer & Trust Company and the Initial Stockholders (1) |
| 10.3 | | Form of Letter Agreement between Chapman Printing Co. and the Registrant regarding administrative support (1) |
| 10.4 | | Form of Amended Registration Rights Agreement among the Registrant and the Initial Stockholders (1) |
| 10.5 | | Energy Services of America Corporation Employee Stock Purchase Plan (2) |
| 10.6 | | Energy Services of America Corporation 2022 Equity Incentive Plan (7) |
| 14 | | Code of Ethics (1) |
| 16.1 | | Letter disclosing combination dated November 1, 2021, from Baker Tilly US, LLP (6) |
| 16.2 | | Letter of Agreement dated November 1, 2021, form Baker Tilly US, LLP (6) |
| 21 | | List of subsidiaries |
| 23 | | Consent of Baker Tilly US, LLP |
| 31.1 | | Certification of Chief Executive Officer pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
| 31.2 | | Certification of Chief Financial Officer pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
| 32.1 | | Certification of Chief Executive Officer and Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| 101.INS | | XBRL Instance Document |
| 101.SCH | | XBRL Taxonomy Extension Schema Document |
| 101.CAL | | XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF | | XBRL Taxonomy Extension Definition Linkbase Document |
| 101.LAB | | XBRL Taxonomy Extension Label Linkbase Document |
| 101.PRE | | XBRL Taxonomy Extension Presentation Linkbase Document |
| (1) | Incorporated by reference to the Registration Statement on Form S-1 of Energy Services of America Corp. (file no. 333-133111), originally filed with the Securities and Exchange Commission on April 7, 2006, as amended. |
(2)Filed as Appendix A to the Schedule 14-A filed with the Securities and Exchange Commission on October 16, 2008.
| (3) | Filed as Appendix A to the Schedule 14-A filed with the Securities and Exchange Commission on July 2, 2010. |
| (4) | Incorporated by reference to the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on August 8, 2013. |
| (5) | Incorporated by reference to the Registrant’s Annual Report on Form 10-K filed with the Securities and Exchange Commission on December 20, 2019. |
| (6) | Incorporated by reference to the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on November 5, 2021. |
| (7) | Incorporated by reference to the Registrant’s Current Report on Form 8-K filed with the Securities and Exchange Commission on February 18, 2022. |
(b) The exhibits listed under (a)(3) above are filed herewith.
(c) Not applicable.
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