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Item 15. Exhibits and Financial Statement Schedules

12K characters. Original on sec.gov ·

Item 15. Exhibits and Financial Statement Schedules

(a) We have filed the following documents as part of this Annual Report on Form 10-K:

  1. Consolidated Financial Statements

Refer to Index to Consolidated Financial Statements in Item 8 herein.

  1. Financial Statement Schedules

No financial statement schedules are provided because the information called for is not required or is shown in the financial statements of the notes thereto.

  1. Exhibits

Exhibits required to be filed as part of this report are:

ExhibitIncorporated by ReferenceFiled
NumberExhibit DescriptionFormFiling DateNumberHerewith
3.1Amended and Restated Certificate of Incorporation.S-1/A9/6/20163.2
3.2Amended and Restated Bylaws.S-18/22/20163.4
4.1Reference is made to Exhibits 3.1 and 3.2.
4.2Form of Class A Common Stock Certificate.S-1/A9/6/20164.2
4.3Form of Class B Common Stock Certificate.S-89/22/20164.4
4.4Second Amended and Restated Investor Rights Agreement dated as of February 9, 2016, by and among The Trade Desk, Inc. and the investors listed therein.S-1/A9/6/201610.1
4.5Description of Securities.X
10.2Second Amended and Restated Loan and Security Agreement, dated as of October 26, 2018, among The Trade Desk, Inc., the lenders party thereto, and Citibank, N.A., as administrative agent.10-Q11/9/201810.1
10.3(c)+Exercise Notice under The Trade Desk, Inc. 2010 Stock Plan.S-1/A9/6/201610.5(c)
10.4(a)+The Trade Desk, Inc. 2015 Equity Incentive Plan.S-1/A9/6/201610.6(a)
10.4(b)+First Amendment to The Trade Desk, Inc. 2015 Equity Incentive Plan.S-89/22/201699.2
10.4(c)+Form of Stock Option Agreement under The Trade Desk, Inc. 2015 Equity Incentive Plan.S-1/A9/6/201610.6(b)
10.4(d)+Form of Stock Option Agreement under The Trade Desk, Inc. 2015 Equity Incentive Plan (with accelerated vesting).S-1/A9/6/201610.6(c)
10.4(e)+Exercise Notice under The Trade Desk, Inc. 2015 Equity Incentive Plan.S-1/A9/6/201610.6(d)
10.5(a)+The Trade Desk, Inc. 2016 Incentive Award Plan.S-18/22/201610.7(a)
10.5(b)+Form of Stock Option Agreement under The Trade Desk, Inc. 2016 Equity Incentive Plan.S-18/22/201610.7(b)
10.6+The Trade Desk, Inc. 2016 Employee Stock Purchase Plan.S-89/22/201699.5
10.7+Form of Indemnification Agreement.S-18/22/201610.8
10.8+Employment Agreement, dated as of May 11, 2017, between The Trade Desk, Inc. and Jeff T. Green.10-Q05/11/1710.2
10.9+Employment Agreement, dated as of May 11, 2017, between The Trade Desk, Inc. and David R. Pickles.10-Q05/11/1710.3
ExhibitIncorporated by ReferenceFiled
NumberExhibit DescriptionFormFiling DateNumberHerewith
10.10+Employment Agreement, dated as of May 11, 2017, between The Trade Desk, Inc. and Paul E. Ross.10-Q05/11/1710.4
10.11+Employment Agreement, dated as of May 11, 2017, between The Trade Desk, Inc. and Brian J. Stempeck.10-Q05/11/1710.6
10.12+Transition Agreement, dated as of November 30, 2018, between The Trade Desk, Inc. and Robert D. Perdue.8-K12/04/1810.1
10.13+Employment Agreement, dated as of November 1, 2017, between The Trade Desk, Inc. and Susan Vobejda.10-Q05/09/1910.1
10.14+Employment Agreement, dated as of May 1, 2017, between The Trade Desk, Inc. and Vivian Yang.10-Q05/09/1910.2
10.15+Offer Letter, dated October 29, 2019, by and between the Company and Blake Grayson.8-K11/15/1910.1
10.16+Employment Agreement, dated as of October 29, 2019 between The Trade Desk, Inc. and Blake Grayson.8-K11/15/1910.2
21.1List of Subsidiaries of the Registrant.X
23.1Consent of PricewaterhouseCoopers LLP, independent registered public accounting firm.X
24.1Power of Attorney (included on signature page to this Annual Report on Form 10-K).X
31.1Certification of Principal Executive Officer Pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.X
31.2Certification of Principal Financial Officer Pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.X
32.1 (1)Certifications of Principal Executive Officer and Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.X
101.insInline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL documentX
101.schInline XBRL Taxonomy Schema Linkbase DocumentX
101.calInline XBRL Taxonomy Calculation Linkbase DocumentX
101.defInline XBRL Taxonomy Definition Linkbase DocumentX
101.labInline XBRL Taxonomy Label Linkbase DocumentX
101.preInline XBRL Taxonomy Presentation Linkbase DocumentX
104Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)X
+Indicates a management contract or compensatory plan or arrangement.
(1)The information in this exhibit is furnished and deemed not filed with the Securities and Exchange Commission for purposes of section 18 of the Securities Exchange Act of 1934, as amended, or the Exchange Act, and is not to be incorporated by reference into any filing of The Trade Desk, Inc. under the Securities Act of 1933, as amended, of the Securities Act, or the Exchange Act, whether made before or after the date hereof, regardless of any general incorporation language in such filing.

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