MILESTONE SCIENTIFIC INC
For the period ended Dec 31, 2023. Filed Mar 29, 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 Mar 29, 2024
MLSS$0.29-3.3%Stored close · as of Nov 10, 2026
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Item 15. Exhibits and Financial Statement Schedules
| a. | The following documents are filed as part of this Report: |
|---|
| 1 | Financial Statements. See Index to Financial Statements on page F-1. |
| 2 | Financial Statement Schedule |
| 3 | Exhibits |
| Certain of the following exhibits were filed as Exhibits to previous filings filed by Milestone Scientific under the Securities Act of 1933, as amended, or reports filed under the Securities and Exchange Act of 1934, as amended, and are hereby incorporated by reference. |
| b. | The following documents are filed as exhibits to this Report: |
|---|
| Exhibit No | Description |
| 3.1 | Restated Certificate of Incorporation of Milestone filed on September 6, 2013 (1) |
| 3.2 | Form of Certificate of Designation filed on April 18, 2014 (2) |
| 3.3 | Certificate of Correction to the Certificate of Designation filed on May 12, 2014 (3) |
| 3.4 | Amended and Restated By-laws of Milestone filed April 1, 2019 (4) |
| 3.5 | Certificate of Amendment to Restated Certificate of Incorporation (5) |
| 4.1 | Specimen stock certificate (6) |
| 4.5 | Description of Registrant’s Securities (7) |
| 10.1 | Lease dated November 25, 1996 between Livingston Corporate Park Associates, L.L.C. and Milestone (8) |
| 10.2 | Lease amendment dated April 28, 2004 between Livingston Corporate Park Associates, L.L.C. And Milestone (9) |
| 10.3 | 2011 Equity Compensation Plan (10) |
| 10.4 | Agreement with Mark Hochman, dated July 2015 (11) |
| 10.5 | Succession Agreement between Leonard Osser and Milestone Scientific Inc. + (12) |
| 10.6 | Amended and Restated 2020 Equity Incentive Plan (13) |
| 10.7 | Employment Agreement, dated and effective as of January 1, 2022, between Arjan Haverhals and Milestone Scientific Inc.+ (14) |
| 10.8 | Underwriting Agreement, dated as of December 10, 2023, between the Company and Maxim Group LLC (15) |
| 10.10 | Amended Employment agreement dated and effective July 5, 2023 between Arjan Haverhals and Milestone Scientific Inc. + * |
| 14.1 | Code of Ethics * |
| 19.1 | Insider Trading Policy* |
| 21.1 | List of Subsidiaries* |
| 23.1 | Consent of Marcum LLP* |
| 31.1 | Rule 13a-14(a) Certification-Chief Executive Officer* |
| 32.1 | Section 1350 Certifications-Chief Executive Officer* / *** |
| 99.1 | Clawback Policy, dated 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.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document* |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document* |
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document* |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) |
| * | Filed herewith. |
|---|---|
| + | Indicates management contract or compensatory plan or arrangement. |
| *** | Furnished, not filed, in accordance with item 601(32) (ii) of Regulations-S-K. |
| 1) | Incorporated by reference to Milestone Scientific’s Form 10-K for the year ended December 31, 2013, Exhibit 3.1. |
| 2) | Incorporated by reference to Milestone Scientific’s Form 8-K filed with the SEC on April 18, 2014, Exhibit 10.2. |
| 3) | Incorporated by reference to Milestone Scientific’s Form 10-K for the year ended December 31, 2015, Exhibit 3.3. |
| 4) | Incorporated by reference to Milestone Scientific’s Form 10-K filed with the SEC on April 1, 2019, Exhibit 3.4. |
| 5) | Incorporated by reference to Milestone Scientific’s Form 10-K/A filed with the SEC on April 2, 2020, Exhibit 3.4. |
| 6) | Incorporated by reference to Amendment No. 1 to Milestone Scientific’s Registration Statement on Form 10-KSB for the year ended May 15, 1995 |
| 7) | Incorporated by reference to Milestone Scientific’s Form 10-K filed with the SEC on March 31, 2022, Exhibit 4.6. |
| 9) | Incorporated by reference to Milestone Scientific’s Form 10-K filed with the SEC on April 4, 2005, Exhibit 10.37 |
| 10) | Filed as Appendix A to Milestone Scientific’s Proxy Statement filed with the SEC on May 2, 2011 and incorporated herein by reference. |
| 11) | Incorporated by reference to Milestone Scientific’s Form 10-K for the year ended December 31, 2015, Exhibit 10.11 |
| 12) | Incorporated by reference to Milestone Scientific’s Form 8-K filed with the SEC on April 7, 2021, Exhibit 10.1 |
| 13) | Incorporated by reference to Milestone Scientific’s Proxy Statement on Schedule 14A filed with the SEC on April 30, 2021, Appendix A |
| 14) | Incorporated by reference to Milestone Scientific’s Form 10-Q filed with the SEC on August 15, 2022, Exhibit 10.1. |
| 15) | Incorporated by reference to Milestone Scientific’s Form 8-K filed with the SEC on December 12, 2023, Exhibit 1.1. |
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