Item 15. Exhibits and Financial Statement Schedules
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Item 15. Exhibits and Financial Statement Schedules
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(a)
The following documents are filed as part of this annual report on Form 10-K:
(1)
Consolidated Financial Statements (Included Under Item 8): The Index to the Consolidated Financial Statements is included on page 44 of this annual report on Form 10-K and is incorporated herein by reference.
(2)
Financial Statement Schedules:
None.
(b)
Exhibits
Reference is made to the Index of Exhibits immediately following the signature page thereof, which is incorporated herein by reference.
(c)
Excluded financial statements:
None.
**SIGNATURES **
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| COMFORT SYSTEMS USA, INC. | ||||
| By: | /s/ BRIAN E. LANE Brian E. Lane President and Chief Executive Officer |
Date: February 27, 2014
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
| Signature | Title | Date | ||||
| /s/ BRIAN E. LANE Brian E. Lane | President, Chief Executive Officer, and Director (Principal Executive Officer) | February 27, 2014 | ||||
| /s/ WILLIAM GEORGE William George | Executive Vice President and Chief Financial Officer (Principal Financial Officer) | February 27, 2014 | ||||
| /s/ JULIE S. SHAEFF Julie S. Shaeff | Senior Vice President and Chief Accounting Officer (Principal Accounting Officer) | February 27, 2014 | ||||
| William F. Murdy | Chairman of the Board | February 27, 2014 | ||||
| /s/ DARCY G. ANDERSON Darcy G. Anderson | Director | February 27, 2014 | ||||
| /s/ HERMAN E. BULLS Herman E. Bulls | Director | February 27, 2014 | ||||
| /s/ ALFRED J. GIARDINELLI, JR. Alfred J. Giardinelli, Jr. | Director | February 27, 2014 |
| Signature | Title | Date | ||||
| /s/ ALAN P. KRUSI Alan P. Krusi | Director | February 27, 2014 | ||||
| /s/ FRANKLIN MYERS Franklin Myers | Director | February 27, 2014 | ||||
| /s/ JAMES H. SCHULTZ James H. Schultz | Director | February 27, 2014 | ||||
| /s/ CONSTANCE E. SKIDMORE Constance E. Skidmore | Director | February 27, 2014 | ||||
| /s/ VANCE W. TANG Vance W. Tang | Director | February 27, 2014 | ||||
| /s/ ROBERT D. WAGNER, JR. Robert D. Wagner, Jr. | Director | February 27, 2014 |
**INDEX OF EXHIBITS **
| Incorporated by Reference to the Exhibit Indicated Below and to the Filing with the Commission Indicated Below | ||||||||
| Exhibit Number | Description of Exhibits | Exhibit Number | Filing or File Number | |||||
| 3.1 | Second Amended and Restated Certificate of Incorporation of the Registrant | 3.1 | 333-24021 | |||||
| 3.2 | Certificate of Amendment dated May 21, 1998 | 3.2 | 1998 Form 10-K | |||||
| 3.3 | Certificate of Amendment dated July 9, 2003 | 3.3 | 2003 Form 10-K | |||||
| 3.4 | Amended and Restated Bylaws of Comfort Systems USA, Inc. | 3.1 | March 26, 2012 Form 8-K | |||||
| 4.1 | Form of certificate evidencing ownership of Common Stock of the Registrant | 4.1 | 333-24021 | |||||
| *10.1 | Comfort Systems USA, Inc. 1997 Long-Term Incentive Plan | 10.1 | 333-24021 | |||||
| *10.2 | Comfort Systems USA, Inc. 1997 Non-Employee Directors' Stock Plan | 10.2 | 333-24021 | |||||
| *10.3 | Amendment to the 1997 Non-Employee Directors' Stock Plan dated May 23, 2002 | 10.3 | Second Quarter 2002 Form 10-Q/A | |||||
| *10.4 | Comfort Systems USA, Inc. 2006 Equity Incentive Plan | 4.5 | 333-138377 | |||||
| *10.5 | Form of Option Award under the Comfort Systems USA, Inc. 2006 Equity Incentive Plan | 10.6 | 2006 Form 10-K | |||||
| *10.6 | Form of Option Award under the Comfort Systems USA, Inc. 2006 Stock Options/SAR Plan for Non-Employee Directors | 10.7 | 2006 Form 10-K | |||||
| *10.7 | Employment Agreement between the Company, Eastern Heating & Cooling, Inc. and Alfred J. Giardinelli, Jr. | 10.1 | Second Quarter 2003 Form 10-Q | |||||
| *10.8 | Amended and Restated 2006 Equity Compensation Plan for Non-Employee Directors | A | Proxy Statement April 10, 2008 | |||||
| *10.9 | 2008 Senior Management Annual Performance Plan | B | Proxy Statement April 10, 2008 | |||||
| *10.10 | Form of Change in Control Agreement | 10.2 | First Quarter 2008 Form 10-Q | |||||
| *10.11 | Form of Comfort Systems USA, Inc. Executive Severance Policy | 10.3 | First Quarter 2008 Form 10-Q | |||||
| *10.12 | Form of Directors and Officers Indemnification Agreement | 10.1 | May 19, 2009 Form 8-K |
| Incorporated by Reference to the Exhibit Indicated Below and to the Filing with the Commission Indicated Below | ||||||||
| Exhibit Number | Description of Exhibits | Exhibit Number | Filing or File Number | |||||
| 10.13 | Second Amended and Restated Credit Agreement by and among Comfort Systems USA, Inc., as Borrower and Wells Fargo Bank, National Association, as Administrative Agent/Wells Fargo Securities LLC, as Sole Lead Arranger and Sole Lead Book Runner/Bank of Texas, N.A., Capital One, N.A., and Regions Bank as Co-Syndication Agent/and Certain Financial Institutions as Lenders | 10.1 | July 22, 2010 Form 8-K/A | |||||
| 10.14 | Stock Purchase Agreement, dated July 28, 2010 | 10.1 | July 30, 2010 Form 8-K | |||||
| *10.15 | Summary of 2011 Incentive Compensation Plan | 10.1 | First Quarter 2011 Form 10-Q | |||||
| *10.16 | Form of Performance Restricted Stock Award Agreement dated March 24, 2011 | 10.1 | March 28, 2011 Form 8-K | |||||
| *10.17 | First Amendment to Comfort Systems USA, Inc. Amended and Restated 2006 Equity Compensation Plan for Non-Employee Directors | 10.1 | Second Quarter 2011 Form 10-Q | |||||
| 10.18 | Amendment No. 1 to Second Amended and Restated Credit Agreement, Second Amended and Restated Security Agreement, and Second Amended and Restated Pledge Agreement | 10.1 | Third Quarter 2011 Form 10-Q | |||||
| *10.19 | Summary of 2012 Incentive Compensation Plan | 10.1 | First Quarter 2012 Form 10-Q | |||||
| *10.20 | Form of 2012 Restricted Stock Unit Agreement | 10.1 | March 30, 2012 Form 8-K | |||||
| *10.21 | Form of 2012 Dollar-denominated Performance Vesting Restricted Stock Unit Agreement | 10.2 | March 30, 2012 Form 8-K | |||||
| *10.22 | 2012 Equity Incentive Plan | A | Proxy Statement April 9, 2012 | |||||
| *10.23 | 2012 Senior Management Annual Performance Plan | B | Proxy Statement April 9, 2012 | |||||
| *10.24 | Summary of 2013 Incentive Compensation Plan | 10.1 | First Quarter 2013 Form 10-Q | |||||
| *10.25 | Form of 2013 Restricted Stock Unit Agreement | 10.2 | March 22, 2013 Form 8-K | |||||
| *10.26 | Form of 2013 Dollar-denominated Performance Vesting Restricted Stock Unit Agreement | 10.3 | March 22, 2013 Form 8-K |
| Incorporated by Reference to the Exhibit Indicated Below and to the Filing with the Commission Indicated Below | ||||||||
| Exhibit Number | Description of Exhibits | Exhibit Number | Filing or File Number | |||||
| 10.27 | Amendment No. 2 to Second Amended and Restated Credit Agreement and Amendment to Other Loan Documents | 10.1 | Second Quarter 2013 Form 10-Q | |||||
| *10.28 | Letter Agreement between the Company and James Mylett | Filed Herewith | ||||||
| *10.29 | Form of Change in Control Agreement (2013) | Filed Herewith | ||||||
| 21.1 | List of subsidiaries of Comfort Systems USA, Inc. | Filed Herewith | ||||||
| 23.1 | Consent of Ernst & Young LLP | Filed Herewith | ||||||
| 31.1 | Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | Filed Herewith | ||||||
| 31.2 | Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | Filed Herewith | ||||||
| 32.1 | Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | Furnished Herewith | ||||||
| 32.2 | Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | Furnished Herewith | ||||||
| **101.INS | XBRL Instance Document | |||||||
| **101.SCH | XBRL Taxonomy Extension Schema Document | |||||||
| **101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document | |||||||
| **101.LAB | XBRL Taxonomy Extension Label Linkbase Document | |||||||
| **101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document | |||||||
| **101.DEF | XBRL Taxonomy Extension Definition Linkbase Document |
Management contract or compensatory plan.
**
Pursuant to Rule 406T of Regulation S-T, these interactive data files are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 and 12 of the Securities Act of 1933, are deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934 and otherwise are not subject to liability under those sections.
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