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UBIQUITI INC. filed this 10-K on 08/25/23

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UBIQUITI INC. - 10-K - 20230825 - PART_IV

PART IV

Item 15. Exhibits and Financial Statement Schedules

(a) 1. Financial Statements

The financial statements filed as part of this Annual Report on Form 10-K are identified in the Index to Consolidated Financial Statements on page 53 of this Annual Report on Form 10-K.

2. Financial Statement Schedules

See Item 15(c) below.

3. Exhibits

See Item 15(b) below.

(b) Exhibits

The following exhibits are filed herewith or are incorporated by reference to exhibits previously filed with the Securities and Exchange Commission. Ubiquiti Inc. (the “Registrant”) shall furnish copies of exhibits for a reasonable fee (covering the expense of furnishing copies) upon request.

Exhibit
Number

Description

Incorporated by Reference from Form

Incorporated by
Reference from
Exhibit Number

Date Filed

Filed
Herewith

3.1

Third Amended and Restated Certificate of Incorporation of Ubiquiti Inc., as amended

10-K

August 21, 2019

3.2

Amended and Restated Bylaws, as amended, as of December 17, 2020

8-K

3.1

December 18, 2020

4.1

Specimen Common Stock Certificate of Ubiquiti Networks, Inc.

S-1

4.1

October 3, 2011

4.2

Registration Agreement, dated March 2, 2010, between Ubiquiti Networks, Inc. and certain holders of Ubiquiti Networks, Inc.’s capital stock named therein.

S-1

4.2

June 17, 2011

4.3

Investor Rights Agreement, dated as of March 2, 2010, between Ubiquiti Networks, Inc. and certain holders of Ubiquiti Networks, Inc.’s capital stock named therein.

S-1

4.3

June 17, 2011

4.4

Descriptions of the Company’s Securities

10.1

Form of Indemnification Agreement between Ubiquiti Networks, Inc. and its directors and officers.

S-1

10.1

October 3, 2011

10.2#

Amended and Restated 2010 Equity Incentive Plan and forms of agreement thereunder.

S-1

10.2

June 17, 2011

10.3#

Ubiquiti Inc. 2020 Omnibus Incentive Plan

8-K

10.1

December 11, 2020

10.4#

Employment Agreement, dated as of March 1, 2016, between Ubiquiti Networks, Inc. and Kevin Radigan.

10-K

10.6

August 22, 2016

10.5

Jinyong Ji Investment Taiwan Lease, dated as of March 16, 2010, between Ubiquiti Networks, Inc. and Jinyong Ji Investment Co., Ltd.

S-1

10.1

June 17, 2011

10.6

Taiwan Lease, dated as of July 20, 2011, between Jin Yeoung Ji Co., Ltd. and Ubiquiti Networks International Limited, Taiwan Branch.

10-Q

10.15

November 14, 2011

10.7†

Amended Technology License Agreement, dated as of September 1, 2010, between Ubiquiti Networks, Inc. and Atheros Communications, Inc.

S-1

10.12

June 17, 2011

10.8

Third Amended and Restated Credit Agreement, dated as of March 30, 2021, by and among Ubiquiti Inc. as borrower, certain domestic subsidiaries of the borrower, as guarantors, the lenders and other financial institutions party thereto and Wells Fargo Bank, National Association, as administrative agent.

8-K

10.1

April 5, 2021

10.9

First Amendment to Third Amended and Restated Credit Agreement, dated as of April 3, 2023, by and among Ubiquiti Inc., as borrower, certain domestic subsidiaries of the borrower, as guarantors, the lenders and other financial institutions party thereto and Wells Fargo Bank, National Association, as administrative and collateral agent.

8-K

10.1

April 7, 2023

21.1

List of subsidiaries of Ubiquiti Inc.

23.1

Consent of independent registered public accounting firm

31.1

Certification of Principal Executive Officer Required Under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended.

31.2

Certification of Principal Financial Officer Required Under Rule 13a-14(a) and 15d-14(a) of the Securities Exchange Act of 1934, as amended.

32.1

Certification of Principal Executive Officer and Principal Financial Officer Required Under Rule 13a-14(b) of the Securities Exchange Act of 1934, as amended, and 18 U.S.C. §1350.

101.INS

XBRL Instance Document

101.SCH

XBRL Taxonomy Schema Linkbase Document

101.CAL

XBRL Taxonomy Calculation Linkbase Document

101.DEF

XBRL Taxonomy Extension Definition Linkbase Document

101.LAB

XBRL Taxonomy Labels Linkbase Document

101.PRE

XBRL Taxonomy Presentation Linkbase Document

104

Cover Page Interactive Date File - (formatted as Inline XBRL and contained in Exhibit 101)


#			Management contracts or compensation plans or arrangements in which directors or executive officers are eligible to participate.


†			Portions of the exhibit have been omitted pursuant to an order granted by the Securities and Exchange Commission for confidential treatment.


~			In accordance with Item 601(b)(32)(ii) of Regulation S-K and SEC Release No. 33-8238 and 34-47986, Final Rule: Management’s Reports on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports, the certifications furnished in Exhibit 32.1 hereto are deemed to accompany this Form 10-K and will not be deemed “filed” for purposes of Section 18 of the Exchange Act. Such certifications will not be deemed to be incorporated by reference into any filings under the Securities Act or the Exchange Act, except to the extent that the registrant specifically incorporates it by reference.

Schedules not listed above have been omitted because they are not applicable or required, or the information required to be set forth therein is included in the Consolidated Financial Statements or Notes thereto.

Item 16. Form 10-K Summary

Not applicable.