INNOVATIVE SOLUTIONS & SUPPORT INC
For the period ended Sep 30, 2023. Filed Jan 12, 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 12, 2024
IA$21.53+1.1%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
| 1. | Financial Statements |
See index to Financial Statements at Item 8 of this Annual Report on Form 10-K.
| 2. | Financial Statement Schedules |
Schedules have been omitted because they are not applicable or are not required or the information required to be set forth therein is included in the financial statements or notes thereto.
| (b) | The following exhibits are filed as part of, or incorporated by reference into this Annual Report on Form 10-K: |
| | ||
| ExhibitNumber | Exhibit Title | |
| 2.1 | | Asset Purchase and License Agreement, dated June 30, 2023, by and between IS&S and Honeywell International Inc. (1) |
| 3.1 | | Articles of Incorporation of IS&S. (2) |
| 3.2 | | Articles of Amendment, filed April 17, 2023, to the Articles of Incorporation of IS&S (3) |
| 3.3 | | Amended and Restated Bylaws of IS&S (4) |
| 4.1 | | Description of Capital Stock |
| 4.2 | | Rights Agreement, dated September 12, 2022, between IS&S and Broadridge Corporate Issuer Solutions, Inc. (5) |
| 4.3 | | Amendment to Rights Agreement, dated September 1, 2023, between IS&S and Broadridge Corporate Issuer Solutions, Inc. (6) |
| 10.1 | | Employment Agreement, dated February 14, 2012, between IS&S and Shahram Askarpour (7) |
| 10.2 | | IS&S 2019 Stock-Based Incentive Compensation Plan (8) |
| 10.3 | | Offer Letter from IS&S to Relland Winand, dated November 8, 2023 (9) |
| 10.4 | | Amendment to Loan Documents, dated June 28, 2023, by and among Innovative Solutions and Support, Inc., Innovative Solutions and Support, LLC, and PNC Bank, National Association (1) |
| 10.5 | | Term Note, executed June 28, 2023, by Innovative Solutions and Support, Inc. and Innovative Solutions and Support, LLC (1) |
| 10.6 | | Revolving Line of Credit Note, executed May 11, 2023, by Innovative Solutions and Support, Inc. and Innovative Solutions and Support, LLC (1) |
| 10.7 | | Amendment to Loan Documents, dated December 19, 2023, by and among Innovative Solutions and Support, Inc., Innovative Solutions and Support, LLC, and PNC Bank, National Association (10) |
| 10.8 | | Amended and Restated Revolving Line of Credit, dated December 19, 2023, executed by Innovative Solutions and Support, Inc. and Innovative Solutions and Support, LLC (10) |
| 10.9 | | Amended and Restated Line of Credit and Investment Sweep Rider, dated December 19, 2023, by and among Innovative Solutions and Support, Inc., Innovative Solutions and Support, LLC, and PNC Bank, National Association (10) |
| 10.10 | | Sales Agreement, dated September 22, 2023, by and between Innovative Solutions and Support, Inc. and Stifel, Nicolaus & Company, Incorporated (11) |
| 21 | | Subsidiaries of IS&S. |
| 23.1 | | Consent of Grant Thornton LLP |
| 31.1 | | Certification of Chief Executive Officer pursuant to Rule 13a-14(a) |
| 31.2 | | Certification of Chief Financial Officer Pursuant to Rule 13a-14(a) |
| 32.1 | | Certification Pursuant to U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| 97 | | Clawback Policy (filed herewith) |
| 101.INS | | Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL 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 - the cover page XBRL tags are embedded within the Inline XBRL document contained in Exhibit 101 |
*Schedules and exhibits have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The Company will furnish supplementally a copy of any omitted schedule or exhibit to the SEC upon request.
| (1) | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed with the SEC on July 7, 2023. |
| (2) | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed with the SEC on September 19, 2007. |
| (3) | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed with the SEC on April 18, 2023 |
| (4) | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed with the SEC on May 1, 2018. |
| (5) | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed with the SEC on September 12, 2022. |
| (6) | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed with the SEC on September 1, 2023 |
| (7) | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed with the SEC on April 2, 2012. |
| (8) | Incorporated by reference from the Registrant’s Proxy Statement filed with the SEC on January 28, 2019. |
| (9) | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed with the SEC on November 14, 2023. |
| (10) | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed with the SEC on December 12, 2023. |
| (11) | Incorporated by reference from the Registrant’s Current Report on Form 8-K filed with the SEC on September 22, 2023. |
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