SFE 10-K Annual Report Dec. 31, 2019 | Alphaminr
SAFEGUARD SCIENTIFICS INC

SFE 10-K Fiscal year ended Dec. 31, 2019

SAFEGUARD SCIENTIFICS INC
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TABLE OF CONTENTS
Part IItem 1. BusinessItem 1A. Risk FactorsItem 1B. Unresolved Staff CommentsItem 2. PropertiesItem 3. Legal ProceedingsItem 4. Mine Safety DisclosuresPart IIItem 5. Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity SecuritiesItem 6. Selected Consolidated Financial DataItem 7. Management S Discussion and Analysis Of Financial Condition and Results Of OperationsItem 7A. Quantitative and Qualitative Disclosures About Market RiskItem 8. Financial Statements and Supplementary DataItem 9. Changes in and Disagreements with Accountants on Accounting and Financial DisclosureItem 9A. Controls and ProceduresItem 9B. Other InformationPart IIIItem 10. Directors, Executive Officers and Corporate GovernanceItem 11. Executive CompensationItem 12. Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder MattersItem 13. Certain Relationships and Related Transactions, and Director IndependenceItem 14. Principal Accountant Fees and ServicesPart IVItem 15. Exhibits and Financial Statement Schedules

Exhibits

3.1.1 Seconded Amended and Restated Articles of Incorporation of Safeguard Scientifics, Inc. Form 8-K10/25/07 3.1 3.1.2 Amendment to Seconded Amended and Restated Articles of Incorporation of Safeguard Scientifics, Inc. Form 8-K8/27/09 3.1 3.1.3 Statement with Respect to Shares Form 10-Q4/25/14 3.1 3.1.4 Statement of Designation of Series B Junior Participating Preferred Stock Form 8-K2/20/18 3.1 3.2 Third Amended and Restated By-laws of Safeguard Scientifics, Inc. Form 8-K2/13/18 3.1 4.1 Section 382 Tax Benefits Preservation Plan, dated as of February 19, 2018, by and among Safeguard Scientifics, Inc. Computershare Inc. and Computershare Trust Company, N.A. Form 8-K2/20/18 4.1 10.1* Safeguard Scientifics, Inc. 1999 Equity Compensation Plan, as amended and restated on October 21, 2008 Form10-Q11/6/08 10.4 10.2 Safeguard Scientifics, Inc. 2001 Associates Equity Compensation Plan, as amended and restated on October 21, 2008 Form 10-Q11/6/08 10.5 10.3* Safeguard Scientifics, Inc. 2014 Equity Compensation Plan, as amended and restated on March 5, 2014 Form 10-Q7/25/14 10.1 10.4* Safeguard Scientifics, Inc. Executive Deferred Compensation Plan (amended and restated as of January 1, 2009) Form 10-K3/19/09 10.4 10.5* Management Incentive Plan Form 8-K4/25/08 10.1 10.6* Amended and Restated Safeguard Scientifics, Inc. Transaction bonus plan Form 8-K2/19/19 99.1 10.7 Compensation Summary Non-employee Directors 10.9.1* Amended and Restated Letter Agreement by and between Safeguard Scientifics, Inc. and Brian J. Sisko dated December3, 2008 Form10-K3/19/09 10.12 10.9.2* Compensation Agreement by and between Safeguard Scientifics, Inc. and Brian J. Sisko dated December 14, 2009 Form 10-K3/16/10 10.11.2 10.9.3* Compensation Agreement by and between Safeguard Scientifics, Inc. and Brian J. Sisko dated December 28, 2012 Form 10-K3/11/13 10.10.3 10.9.4* Compensation Agreement by and between Safeguard Scientifics, Inc. and Brian J. Sisko dated April 6, 2018 Form 8-K4/10/18 99.5 10.12* Compensation Agreement by and between Safeguard Scientifics, Inc. and Mark Herndon dated September 17, 2018 Form 8-K9/18/18 99.1 10.13* Key Employee Compensation Recoupment Policy Form 10-Q7/26/13 10.2 10.14 Purchase and Sale Agreement dated as of December 9, 2005 by and among HarbourVest VII Venture Ltd., Dover Street VI L.P. and several subsidiaries and affiliated limited partnerships of Safeguard Scientifics, Inc. Form 10-K3/13/06 10.36 10.15 Consent Agreement, dated as of May 17, 2011, by and among Shire Pharmaceuticals, Inc. and certain stockholders of Advanced BioHealing, Inc. Form 8-K5/18/11 10.1 10.16 Lease Agreement, effective February 2, 2015, between Safeguard Scientifics, Inc., a Pennsylvania corporation, and Radnor Properties-SDC, L.P., a Delaware limited partnership Form 10-Q4/24/15 10.1 10.17 Sublease Agreement, effective March 15, 2019, by and between Safeguard Scientifics, Inc., a Pennsylvania corporation and the subtenant named therein Form 8-K3/20/19 10.1 10.18 Cooperation Agreement dated April 23, 2018 by and among Safeguard Scientifics, Inc. and Horton Capital Management, LLC, Joseph M. Manko, Jr., Maplewood Partners, LLC, Maplewood Advisors IM, LLC, Darren C. Wallis, Horton Capital Partners, LLC, Sierra Capital Investments, LP, Maplewood Global Partners, LLC, Horton Capital Partners Fund, LP, AVI Capital Partners, LP, and Maplewood Advisors GP, LLC Form 8-K4/24/18 10.1 10.19 Cooperation Agreement dated March 26, 2019 by and among Safeguard Scientifics, Inc. and Horton Capital Management, LLC, Joseph M. Manko, Jr., Maplewood Partners, LLC, Maplewood Capital Partners, LP, Maplewood Advisors IM, LLC, Darren C. Wallis, Horton Capital Partners, LLC, Sierra Capital Investments, LP, Maplewood Global Partners, LLC, Horton Capital Partners Fund, LP, AVI Capital Partners, LP, and Maplewood Advisors GP, LLC Form 8-K3/27/19 10.1 10.20.1 Stock Repurchase Agreement dated as of July 2, 2018 between Safeguard Delaware, Inc. and MediaMath Holdings, Inc. Form 8-K7/9/18 10.1 10.20.2 Amendment No. 1 Stock Repurchase Agreement dated as of January 3, 2019 between Safeguard Delaware, Inc. and MediaMath Holdings, Inc. Form 8-K1/4/19 10.1 14.1 Code of Business Conduct and Ethics 21.1 List of Subsidiaries 23.1 Consent of Independent Registered Public Accounting Firm KPMG LLP 31.1 Certification of Brian J. Sisko pursuant to Rules 13a-15(e) and 15d-15(e) of the Securities Exchange Act of 1934 31.2 Certification of Mark A. Herndon pursuant to Rules 13a-15(e) and 15d-15(e) of the Securities Exchange Act of 1934 32.1 Certification of Brian J. Sisko pursuant to 18 U.S.C. Section 1350, as Adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 32.2 Certification of Mark A. Herndon pursuant to 18 U.S.C. Section 1350, as Adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.