SFE 10-K Annual Report Dec. 31, 2022 | Alphaminr
SAFEGUARD SCIENTIFICS INC

SFE 10-K Fiscal year ended Dec. 31, 2022

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 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 10-Q8/12/20 10.6 10.7 Compensation Summary Non-employee Directors Form 10-K3/11/22 10.7 10.9.2* Letter Agreement between Safeguard Scientifics, Inc. and Eric Salzman dated January 1, 2023 Form 8-K1/4/23 10.1 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 14.1 Code of Business Conduct and Ethics 21.1 List of Subsidiaries 23.1 Consent of Independent Registered Public Accounting Firm Grant Thornton LLP 31.1 Certification of Eric C. Salzman 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 Eric C. Salzmanpursuant 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.