CS Disco Inc
For the period ended Dec 31, 2023. Filed Feb 22, 2024.
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FY2023 · Filed Feb 22, 2024
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Item 15. Exhibits and Financial Statement Schedules
The following documents are filed as a part of this Annual Report on Form 10-K:
(a) Financial Statements
Our consolidated Financial Statements are listed within Part II, Item 8 of this Annual Report on Form 10-K.
(b) Financial Statement Schedules
Schedules required by this item have been omitted since they are either not required or not applicable or because the information required is included in the consolidated financial statements included elsewhere herein or the notes thereto.
(c) Exhibits
The information required by this Item is set forth on the exhibit index that precedes the signature page of this Annual Report on Form 10-K.
EXHIBIT INDEX
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| Exhibitnumber | Description | Form | File No. | Exhibit | Filing Date |
| 3.1 | Amended and Restated Certificate of Incorporation of the Registrant, as currently in effect. | 8-K | 001-40624 | 3.1 | July 23, 2021 |
| 3.2* | Amended and Restated Bylaws of the Registrant. | 10-K | 001-40624 | 3.2 | February 24, 2023 |
| 4.1 | Form of Common Stock Certificate. | S-1/A | 333-257435 | 4.1 | July 12, 2021 |
| 4.2 | Description of Securities. | 10-K | 001-40624 | 4.2 | February 25, 2022 |
| 10.1 | Fifth Amended and Restated Investors’ Rights Agreement, dated as of September 29, 2020. | S-1/A | 333-257435 | 10.1 | June 25, 2021 |
| 10.2+ | Long Term Incentive Plan, as amended, and forms of agreements thereunder. | S-1/A | 333-257435 | 10.2 | June 25, 2021 |
| 10.3+ | 2021 Equity Incentive Plan for forms of agreements thereunder. | S-1/A | 333-257435 | 10.3 | July 12, 2021 |
| 10.4+ | 2021 Employee Stock Purchase Plan. | S-1/A | 333-257435 | 10.4 | July 12, 2021 |
| 10.5+ | Form of Indemnity Agreement entered into by and between Registrant and each director and executive officer. | S-1/A | 333-257435 | 10.5 | July 12, 2021 |
| 10.6+ | Employment Agreement by and between the Registrant and Scott Hill. | 10-Q | 001-40624 | 10.1 | November 9, 2023 |
| 10.7+ | Amended and Restated Employment Agreement by and between the Registrant and Kiwi Camara. | 10-Q | 001-40624 | 10.5 | November 10, 2021 |
| 10.8+ | Amended and Restated Employment Agreement by and between the Registrant and Michael Lafair. | 10-Q | 001-40624 | 10.6 | November 10, 2021 |
| 10.9+ | Amended and Restated Employment Agreement by and between the Registrant and Kevin Smith. | 10-Q | 001-40624 | 10.1 | May 10, 2023 |
| 10.10+ | Non-Employee Director Compensation Policy. | 10-Q | 001-40624 | 10.1 | May 13, 2022 |
| 10.11+ | Forms of Performance-Vesting Restricted Stock Unit Grant Notice and Award Agreement under the 2021 Equity Incentive Plan. | 10-Q | 001-40624 | 10.2 | May 13, 2022 |
| 10.12+ | Performance Bonus Plan. | 10-Q | 001-40624 | 10.3 | May 13, 2022 |
| 10.13+ | CEO Performance Award (included on Appendix A of the Proxy Statement for the Registrant’s 2022 Annual Meeting of Stockholders filed on May 31, 2022). | DEF 14A | 001-40624 | N/A | May 31, 2022 |
| 10.14+† | Sublease Agreement, dated May 23, 2022, by and between the Registrant and Workrise Technologies, Inc. | 10-Q | 001-40624 | 10.1 | August 12, 2022 |
| 21.1* | List of subsidiaries of the Registrant. | ||||
| 23.1* | Consent of Independent Registered Public Accounting Firm. | ||||
| 31.1* | Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | ||||
| 31.2* | Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | ||||
| 32.1# | Certification of Principal Executive Officer and Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | ||||
| 97 | Incentive Compensation Recoupment Policy of the Registrant. | ||||
| 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. | ||||
- Filed herewith.
This certification is deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended.
- Indicates management contract or compensatory plan.
† Certain schedules and exhibits to this exhibit have been omitted pursuant to Item 601(a)(5) of Regulation S-K. A copy of any omitted schedule and/or exhibit will be furnished to the SEC upon request.
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