FUEL TECH INC
For the period ended Dec 31, 2023. Filed Mar 11, 2024.
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FY2023 · Filed Mar 11, 2024
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Item 15. Exhibits and Financial Statement Schedules
| (a) | (1) Financial Statements |
The financial statements identified below and required by Part II, Item 8 of this Form 10-K are set forth above.
Management’s Report on Internal Control Over Financial Reporting
Consolidated Statements of Operations for Years Ended December 31, 2023 and 2022
Consolidated Statements of Comprehensive Loss for Years Ended December 31, 2023 and 2022
Consolidated Statements of Stockholders’ Equity for the Years Ended December 31, 2023 and 2022
Notes to Consolidated Financial Statements
(2) Financial Statement Schedules
All other schedules have been omitted because of the absence of the conditions under which they are required or because the required information, where material, is shown in the financial statements or the notes thereto.
(3) Exhibits
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| Exhibit · Description · Filed Herewith · Form · Period ending · Exhibit · Filing date | |||||
| 3.1 | Certificate of Incorporation of Fuel Tech, Inc. | 8-K | 3.2 | 10/5/2006 | |
| 3.2 | Certificate of Conversion of Fuel Tech, Inc. | 8-K | 3.1 | 10/5/2006 | |
| 3.3 | Amended and Restated By-Laws of Fuel Tech, Inc. dated as of May 28, 2015 | 8-K | 3.1 | 6/1/2015 | |
| 4.1 | Instrument Constituting US $19,200,000 Nil Coupon Non-Redeemable Convertible Unsecured Loan Notes of Fuel-Tech N.V., dated December 21, 1989 | 10-Q | 9/30/2009 | 4.1 | 11/4/2009 |
| 4.2 | First Supplemental Instrument Constituting US $3,000 Nil Coupon Non-Redeemable Convertible Unsecured Loan Notes of Fuel-Tech N.V., dated July 10, 1990 | 10-Q | 9/30/2009 | 4.2 | 11/4/2009 |
| 4.3 | Instrument Constituting US $6,000 Nil Coupon Non-Redeemable Convertible Unsecured Loan Notes of Fuel-Tech N.V., dated March 12, 1993 | 10-Q | 9/30/2009 | 4.3 | 11/4/2009 |
| 4.4* | Fuel Tech, Inc. Incentive Plan as amended through June 3, 2004 | S-8 | 4.1 | 10/2/2006 | |
| 4.5* | Fuel Tech, Inc. 2014 Long-Term Incentive Plan | S-8 | 4.1 | 3/31/2014 | |
| 4.6* | Fuel Tech, Inc. Form of Non-Executive Director Stock Option Agreement | 10-K | 12/31/2006 | 4.6 | 3/6/2007 |
| 4.7 | Fuel Tech, Inc. Form of 2014 Long-Term Incentive Plan Non-Employee Director's Stock Option Agreement | 10-Q | 6/30/2014 | 4.2 | 8/11/2014 |
| 4.8* | Fuel Tech, Inc. Form of Common Stock Warrant | 8-K | 4.1 | 2/18/2021 | |
| 4.9* | Fuel Tech, Inc. Form of Placement Agent Warrant | 8-K | 4.2 | 2/18/2021 | |
| 4.10* | Fuel Tech, Inc. Form of Restricted Stock Unit Agreement (2014 Long-Term Incentive Plan) | 10-Q | 6/30/2014 | 4.1 | 8/11/2014 |
| 4.11* | Fuel Tech, Inc. Form of 2014 Long-Term Incentive Plan Stock Option Agreement | 10-Q | 3/31/2015 | 10.2 | 5/11/2015 |
| 4.12* | Form of 2023 Fuel Tech, Inc. Executive Performance RSU Agreement | 8-K | 99.1 | 5/10/2023 | |
| 4.13* | Form of Change of Control Severance Agreement | 8-K | 99.2 | 5/10/2023 |
| 10.1 | Form of Indemnity Agreement between Fuel Tech, Inc. and its Directors and Officers. | 8-K | 99.1 | 2/7/2007 |
| 10.2* | 2022 Corporate Incentive Plan of Fuel Tech, Inc | 8-K | 99.1 | 4/11/2022 | ||
| 10.3* | 2023 Corporate Incentive Plan of Fuel Tech, Inc. | 8-K | 99.1 | 3/3/2023 | ||
| 10.4* | 2022 Corporate Objectives Plan of Fuel Tech, Inc | 8-K | 99.2 | 4/11/2022 | ||
| 10.5* | 2023 Corporate Objectives Plan of Fuel Tech, Inc | 8-K | 99.2 | 3/3/2023 | ||
| 10.6* | 2022 Fuel Tech, Inc. FUEL CHEM Officer Sales Commission Plan | 8-K | 99.2 | 12/14/2021 | ||
| 10.7* | 2023 Fuel Tech, Inc. FUEL CHEM Officer Sales Commission Plan | 8-K | 99.2 | 12/12/2022 | ||
| 10.8* | 2024 Fuel Tech, Inc. FUEL CHEM Officer Sales Commission Plan | 8-K | 99.2 | 12/08/2023 | ||
| 10.9* | 2022 Fuel Tech, Inc. APC Officer and NSM Sales Commission Plan | 8-K | 99.1 | 12/14/2021 | ||
| 10.10* | 2023 Fuel Tech, Inc. APC Officer and NSM Sales Commission Plan | 8-K | 99.1 | 12/12/2022 | ||
| 10.11* | 2024 Fuel Tech, Inc. APC Officer and NSM Sales Commission Plan | 8-K | 99.1 | 12/08/2023 | ||
| 10.12* | Employment Agreement dated August 31, 2009, between William E. Cummings, Jr. and Fuel Tech, Inc. | 10-K | 12/31/2009 | 10.10 | 3/14/2010 | |
| 10.13* | Employment Agreement, dated September 20, 2010 between Vincent J. Arnone and Fuel Tech, Inc. | 10-K | 12/31/2011 | 10.21 | 3/5/2012 | |
| 10.14* | Engagement Letter, dated February 11, 2021, by and between Fuel Tech, Inc. and H.C. Wainwright & Co. | 8-K | 1.1 | 2/18/2021 | ||
| 10.15* | Employment Agreement, dated July 8, 1996, between Ellen T. Albrecht and Fuel Tech, Inc. | 10-K | 10.13 | 3/8/2022 | ||
| 10.16* | Form of Securities Purchase Agreement | 8-K | 10.1 | 2/18/2021 | ||
| 10.17* | Form of Registration Rights Agreement | 8-K | 10.2 | 2/18/2021 | ||
| 23.1 | Consent of Independent Registered Public Accounting Firm. | X | ||||
| 31.1 | Certifications of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 31.2 | Certifications of principal financial officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 32 | Certification of Chief Executive Officer and principal financial officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | ||||
| 97* | Fuel Tech, Inc. Policy for the Recovery of Erroneously Awarded Compensation (Effective November 2, 2023) | X | ||||
| 101.1 INS | Inline XBRL Instance Document. |
| 101.2 SCH | Inline XBRL Taxonomy Extension Schema Document. |
| 101.3 CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document. |
| 101.4 DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document. |
| 101.5 LAB | Inline XBRL Taxonomy Extension Label Linkbase Document. |
| 101.6 PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document. |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL and contained in Exhibit 101) |
| * | Indicates a management contract or compensatory plan or arrangement. |
|---|---|
| ** | Portions of this document have been omitted pursuant to a request for confidential treatment and the omitted information has been filed separately with the Securities and Exchange Commission. |
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