filings.toolsItem 15. Exhibits and Financial Statement Schedules
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Item 15. Exhibits and Financial Statement Schedules
Documents filed as part of this Annual Report on Form 10-K are as follows:
**1.**Consolidated Financial Statements
Our Consolidated Financial Statements are listed in the “Index to Consolidated Financial Statements” under Part II, Item 8 of this Annual Report on Form 10-K.
**2.**Financial Statement Schedules
Financial statement schedules have been omitted because they are not required, not applicable, not present in amounts sufficient to require submission of the schedule, or the required information is shown in the Consolidated Financial Statements or the notes thereto.
**3.**Exhibits
The following documents are incorporated by reference or are filed with this Annual Report on Form 10-K, in each case as indicated therein (numbered in accordance with Item 601 of Regulation S-K).
Exhibit Index
| Exhibit Number | Exhibit Description | Incorporated by Reference | ||||||||||||||||||||||||||||||||||||
| Form | File No. | Exhibit | Filing Date | |||||||||||||||||||||||||||||||||||
| 3.1 | Restated Certificate of Incorporation of the Registrant. | 10-K | 001-35594 | 3.1 | October 4, 2012 | |||||||||||||||||||||||||||||||||
| 3.2 | Amended and Restated Bylaws of the Registrant. | 8-K | 001-35594 | 3.1 | May 23, 2022 | |||||||||||||||||||||||||||||||||
| 3.3 | Certificate of Change of Location of Registered Agent and/or Registered Office. | 8-K | 001-35594 | 3.1 | August 30, 2016 | |||||||||||||||||||||||||||||||||
| 4.1 | Indenture between the Registrant and U.S. Bank National Association, dated as of June 8, 2020. | 8-K | 001-35594 | 4.1 | June 8, 2020 | |||||||||||||||||||||||||||||||||
| 4.2 | Form of Global 0.375% Convertible Senior Note due 2025 (included in Exhibit 4.1). | 8-K | 001-35594 | 4.2 | June 8, 2020 | |||||||||||||||||||||||||||||||||
| 4.3 | Description of Registrant’s Securities. | 10-K | 001-35594 | 4.3 | September 1, 2023 | |||||||||||||||||||||||||||||||||
| 10.1* | Form of Indemnification Agreement between the Registrant and its directors and officers. | S-1/A | 333-180620 | 10.1 | July 9, 2012 | |||||||||||||||||||||||||||||||||
| 10.2* | 2012 Equity Incentive Plan and related form agreements. | 10-Q | 001-35594 | 10.2 | November 26, 2019 | |||||||||||||||||||||||||||||||||
| 10.3* | Form of 2012 Equity Incentive Plan Performance-Based Restricted Stock Unit Award Agreement. | 10-Q | 001-35594 | 10.4 | November 19, 2021 | |||||||||||||||||||||||||||||||||
| 10.4* | 2021 Equity Incentive Plan, as amended and restated on December 12, 2023. | |||||||||||||||||||||||||||||||||||||
| 10.5* | Form of 2021 Equity Incentive Plan Global Stock Option Award Agreement. | |||||||||||||||||||||||||||||||||||||
| 10.6* | Form of 2021 Equity Incentive Plan Global Restricted Stock Unit Award Agreement. | |||||||||||||||||||||||||||||||||||||
| 10.7* | 2012 Employee Stock Purchase Plan, as amended and restated, and related form agreements. | |||||||||||||||||||||||||||||||||||||
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| Exhibit Number | Exhibit Description | Incorporated by Reference | ||||||||||||||||||||||||||||||||||||
| Form | File No. | Exhibit | Filing Date | |||||||||||||||||||||||||||||||||||
| 10.8* | RedLock Inc. 2015 Stock Plan, as amended, and related form agreements under RedLock Inc. 2015 Stock Plan, as amended. | S-8 | 333-227901 | 99.1 | October 19, 2018 | |||||||||||||||||||||||||||||||||
| 10.9* | Sinefa Group, Inc. 2020 Stock Plan. | S-8 | 333-251423 | 99.1 | December 17, 2020 | |||||||||||||||||||||||||||||||||
| 10.10* | Expanse Holding Company, Inc. Amended and Restated 2012 Stock Incentive Plan | S-8 | 333-251425 | 99.1 | December 17, 2020 | |||||||||||||||||||||||||||||||||
| 10.11* | Gamma Networks, Inc. 2018 Stock Option and Grant Plan. | S-8 | 333-259327 | 99.1 | September 3, 2021 | |||||||||||||||||||||||||||||||||
| 10.12* | Bridgecrew, Inc. 2019 Stock Incentive Plan. | S-8 | 333-254042 | 99.1 | March 9, 2021 | |||||||||||||||||||||||||||||||||
| 10.13* | Cider Security Ltd. 2020 Equity Incentive Plan. | S-8 | 333-268931 | 99.1 | December 21, 2022 | |||||||||||||||||||||||||||||||||
| 10.14* | US Sub-Plan to Cider Security Ltd. 2020 Equity Incentive Plan. | S-8 | 333-268931 | 99.2 | December 21, 2022 | |||||||||||||||||||||||||||||||||
| 10.15* | Employee Incentive Compensation Plan, as amended and restated. | 10-Q | 001-35594 | 10.2 | November 25, 2014 | |||||||||||||||||||||||||||||||||
| 10.16 | Clawback Policy, adopted as of August 29, 2017, amended August 14, 2024. | |||||||||||||||||||||||||||||||||||||
| 10.17* | Amended and Restated Outside Director Compensation Policy (last amended February 16, 2022). | 10-Q | 001-35594 | 10.4 | February 23, 2022 | |||||||||||||||||||||||||||||||||
| 10.21* | Continued Service Policy. | 10-Q | 001-35594 | 10.3 | May 20, 2022 | |||||||||||||||||||||||||||||||||
| 10.22* | Palo Alto Networks, Inc. Deferred Compensation Plan effective June 1, 2022 | 10-K | 001-35594 | 10.23 | September 6, 2022 | |||||||||||||||||||||||||||||||||
| 10.23* | Employment Agreement between Palo Alto Networks (Israel Analytics) Ltd. and Nir Zuk, dated August 18, 2020. | 10-Q | 001-35594 | 10.1 | November 19, 2020 | |||||||||||||||||||||||||||||||||
| 10.24* | Offer Letter between the Registrant and Nikesh Arora, dated May 30, 2018. | 8-K | 001-35594 | 10.2 | June 4, 2018 | |||||||||||||||||||||||||||||||||
| 10.25* | Offer Letter between the Registrant and Josh Paul, dated August 5, 2021. | 8-K | 001-35594 | 10.1 | September 8, 2021 | |||||||||||||||||||||||||||||||||
| 10.26* | Confirmatory Employment Letter with Updated Change in Control Protection between the Registrant and Lee Klarich, dated December 19, 2011. | 10-Q | 001-35594 | 10.4 | November 30, 2018 | |||||||||||||||||||||||||||||||||
| 10.27* | Addendum to Employment Offer Letter by and between the Registrant and Dipak Golechha, dated March 17, 2021. | 8-K | 001-35594 | 10.1 | March 19, 2021 | |||||||||||||||||||||||||||||||||
| 10.28* | Addendum to Employment Offer Letter by and between the Registrant and Dipak Golechha, dated February 18, 2022. | 10-Q | 001-35594 | 10.1 | May 20, 2022 | |||||||||||||||||||||||||||||||||
| 10.29* | Employment Offer Letter by and between the Registrant and William “BJ” Jenkins, dated July 27, 2021. | 8-K | 001-35594 | 10.1 | August 12, 2021 | |||||||||||||||||||||||||||||||||
| 10.30* | Addendum to Employment Offer Letter between the Registrant and William “BJ” Jenkins, dated February 18, 2022. | 10-Q | 001-35594 | 10.2 | May 20, 2022 | |||||||||||||||||||||||||||||||||
| 10.31* | Form of Offer Letter between the Registrant and its directors. | 10-K | 001-35594 | 10.27 | September 3, 2021 | |||||||||||||||||||||||||||||||||
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| Exhibit Number | Exhibit Description | Incorporated by Reference | ||||||||||||||||||||||||||||||||||||
| Form | File No. | Exhibit | Filing Date | |||||||||||||||||||||||||||||||||||
| 10.32** | Amended and Restated Flextronics Manufacturing Services Agreement, by and between the Registrant and Flextronics Telecom Systems Ltd., dated April 1, 2019. | 10-Q | 001-35594 | 10.1 | May 30, 2019 | |||||||||||||||||||||||||||||||||
| 10.33 | Vendor Information Security Terms between the Registrant and Flextronics Telecom Systems Ltd., dated July 23, 2021. | 10-K | 001-35594 | 10.29 | September 3, 2021 | |||||||||||||||||||||||||||||||||
| 10.34 | Form of Convertible Note Hedge Confirmation. | 8-K | 001-35594 | 10.2 | June 8, 2020 | |||||||||||||||||||||||||||||||||
| 10.35 | Form of Warrant Confirmation. | 8-K | 001-35594 | 10.3 | June 8, 2020 | |||||||||||||||||||||||||||||||||
| 10.36 | Lease between the Registrant and Santa Clara Campus Property Owner I LLC, dated May 28, 2015. | 10-K | 001-35594 | 10.29 | September 17, 2015 | |||||||||||||||||||||||||||||||||
| 10.37 | Lease between the Registrant and Santa Clara Campus Property Owner I LLC, dated May 28, 2015. | 10-K | 001-35594 | 10.30 | September 17, 2015 | |||||||||||||||||||||||||||||||||
| 10.38 | Lease between the Registrant and Santa Clara Campus Property Owner I LLC, dated May 28, 2015. | 10-K | 001-35594 | 10.31 | September 17, 2015 | |||||||||||||||||||||||||||||||||
| 10.39 | Lease by and between the Registrant and Santa Clara Campus Property Owner I LLC, dated October 7, 2015. | 8-K/A | 001-35594 | 10.1 | October 19, 2015 | |||||||||||||||||||||||||||||||||
| 10.40 | Amendment No. 1 to Lease by and between the Registrant and Santa Clara Phase I Property LLC, dated November 9, 2015. | 10-Q | 001-35594 | 10.2 | November 24, 2015 | |||||||||||||||||||||||||||||||||
| 10.41 | Amendment No. 1 to Lease by and between the Registrant and Santa Clara Campus Property Owner I LLC, dated November 9, 2015. | 10-Q | 001-35594 | 10.3 | November 24, 2015 | |||||||||||||||||||||||||||||||||
| 10.42 | Amendment No. 1 to Lease by and between the Registrant and Santa Clara Campus Property Owner I LLC, dated September 16, 2016. | 10-Q | 001-35594 | 10.1 | November 22, 2016 | |||||||||||||||||||||||||||||||||
| 10.43 | Amendment No. 1 to Lease by and between the Registrant and Santa Clara Campus Property Owner I LLC, dated September 16, 2016. | 10-Q | 001-35594 | 10.2 | November 22, 2016 | |||||||||||||||||||||||||||||||||
| 10.44 | Amendment No. 2 to Lease by and between the Registrant and Santa Clara Campus Property Owner I LLC, dated September 16, 2016. | 10-Q | 001-35594 | 10.3 | November 22, 2016 | |||||||||||||||||||||||||||||||||
| 10.45 | Amendment No. 2 to Lease by and between the Registrant and Santa Clara Campus Property Owner I LLC, dated November 16, 2016. | 10-Q | 001-35594 | 10.1 | March 1, 2017 | |||||||||||||||||||||||||||||||||
| 10.46 | Amendment No. 2 to Lease by and between the Registrant and Santa Clara Campus Property Owner I LLC, dated November 16, 2016. | 10-Q | 001-35594 | 10.2 | March 1, 2017 | |||||||||||||||||||||||||||||||||
| 10.47 | Amendment No. 3 to Lease by and between the Registrant and Santa Clara Campus Property Owner I LLC, dated November 16, 2016. | 10-Q | 001-35594 | 10.3 | March 1, 2017 | |||||||||||||||||||||||||||||||||
| 10.48 | Amendment No. 3 to Lease by and between the Registrant and Santa Clara EFH LLC, dated June 22, 2017. | 10-K | 001-35594 | 10.40 | September 7, 2017 | |||||||||||||||||||||||||||||||||
| 10.49 | Amendment No. 3 to Lease by and between the Registrant and Santa Clara G LLC, dated June 22, 2017. | 10-K | 001-35594 | 10.41 | September 7, 2017 | |||||||||||||||||||||||||||||||||
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| Exhibit Number | Exhibit Description | Incorporated by Reference | ||||||||||||||||||||||||||||||||||||
| Form | File No. | Exhibit | Filing Date | |||||||||||||||||||||||||||||||||||
| 10.50 | Amendment No. 4 to Lease by and between the Registrant and Santa Clara EFH LLC, dated June 22, 2017. | 10-K | 001-35594 | 10.42 | September 7, 2017 | |||||||||||||||||||||||||||||||||
| 10.51 | Amendment No. 4 to Lease by and between the Registrant and Santa Clara Phase III EFH LLC, dated September 29, 2017. | 10-Q | 001-35594 | 10.5 | November 21, 2017 | |||||||||||||||||||||||||||||||||
| 10.52 | Amendment No. 4 to Lease by and between the Registrant and Santa Clara Phase III G LLC, dated September 29, 2017. | 10-Q | 001-35594 | 10.6 | November 21, 2017 | |||||||||||||||||||||||||||||||||
| 10.53 | Amendment No. 5 to Lease by and between the Registrant and Santa Clara Phase III EFH LLC, dated September 29, 2017. | 10-Q | 001-35594 | 10.7 | November 21, 2017 | |||||||||||||||||||||||||||||||||
| 10.54 | Credit Agreement, dated as of April 13, 2023 among the Registrant, the lenders party thereto and Wells Fargo, National Association, as administrative agent. | 8-K | 001-35594 | 10.1 | April 19, 2023 | |||||||||||||||||||||||||||||||||
| 19.1** | Insider Trading Policy and Requirements for Trading Plans | |||||||||||||||||||||||||||||||||||||
| 21.1 | List of subsidiaries of the Registrant. | |||||||||||||||||||||||||||||||||||||
| 23.1 | Consent of Independent Registered Public Accounting Firm. | |||||||||||||||||||||||||||||||||||||
| 24.1 | Power of Attorney (contained in the signature page to this Annual Report on Form 10-K). | |||||||||||||||||||||||||||||||||||||
| 31.1 | Certification of the Chief Executive Officer pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002. | |||||||||||||||||||||||||||||||||||||
| 31.2 | Certification of the Chief Financial Officer pursuant to Section 302(a) of the Sarbanes-Oxley Act of 2002. | |||||||||||||||||||||||||||||||||||||
| 32.1† | Certification of Chief Executive Officer 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 Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | |||||||||||||||||||||||||||||||||||||
| 97.1 | Compensation Recovery Policy | |||||||||||||||||||||||||||||||||||||
| 101.INS | XBRL Instance Document. | |||||||||||||||||||||||||||||||||||||
| 101.SCH | XBRL Taxonomy Schema Linkbase Document. | |||||||||||||||||||||||||||||||||||||
| 101.CAL | XBRL Taxonomy Calculation Linkbase Document. | |||||||||||||||||||||||||||||||||||||
| 101.DEF | XBRL Taxonomy Definition Linkbase Document. | |||||||||||||||||||||||||||||||||||||
| 101.LAB | XBRL Taxonomy Labels Linkbase Document. | |||||||||||||||||||||||||||||||||||||
| 101.PRE | XBRL Taxonomy Presentation Linkbase Document. | |||||||||||||||||||||||||||||||||||||
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| Exhibit Number | Exhibit Description | Incorporated by Reference | ||||||||||||||||||||||||||||||||||||
| Form | File No. | Exhibit | Filing Date | |||||||||||||||||||||||||||||||||||
| 104 | Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) |
- Indicates a management contract or compensatory plan or arrangement.
** Certain portions of this exhibit have been omitted as the Registrant has determined (i) the omitted information is not material and (ii) the omitted information would likely cause harm to the Registrant if publicly disclosed.
† The certifications attached as Exhibit 32.1 and Exhibit 32.2 that accompany this Annual Report on Form 10-K, are not deemed filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of the Registrant under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Annual Report on Form 10-K, irrespective of any general incorporation language contained in such filing.
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