ADT Inc. 10-Q/A

ITEM 5. OTHER INFORMATION. None. ITEM 6. EXHIBITS. The exhibits listed on the accompanying Index to Exhibits are filed/furnished or incorporated by reference as part of this Amended Third Quarter 2022 Quarterly Report. 56 INDEX TO EXHIBITS The information required by this Item is set forth on the exhibit index below. Exhibit Number Incorporated by Reference Exhibit Description Form Exhibit Filing Date 3.1 Amended and Restated Certificate of Incorporation of ADT Inc. 8-K 3.1 9/17/2020 3.2 Amended and Restated Bylaws of ADT Inc. 10-K 3.2 3/15/2018 10.1 Third Amendment dated as of May 20, 2022, to Receivables Financing Agreement, among ADT LLC, ADT Finance LLC, and Mizuho Bank, Ltd., dated as of July 16, 2021 10-Q 10.3 8/4/2022 10.2 Securities Purchase Agreement, dated as of September 5, 2022, by and between ADT Inc. and State Farm Fire & Casualty Company 8-K 10.1 9/6/2022 10.3 Tender and Support Agreement, dated as of September 5, 2022, by and between ADT Inc., Prime Security Services TopCo (ML), L.P. and Prime Security Services TopCo (ML II), L.P. 8-K 10.2 9/6/2022 10.4 Support Agreement, dated as of September 5, 2022, by and between ADT Inc. and Google LLC 8-K 10.3 9/6/2022 10.5+ Form of Performance Unit Award Agreement for use under the ADT Inc. 2018 Omnibus Incentive Plan SC TO-I (d)(20) 9/12/2022 10.6+ Form of Time and Performance Vesting Non-Qualified Option Award Agreement for use under the ADT Inc. 2018 Omnibus Incentive Plan SC TO-I (d)(21) 9/12/2022 10.7+ Form of Time and Performance Vesting Restricted Stock Unit Award Agreement for use under the ADT Inc. 2018 Omnibus Incentive Plan SC TO-I (d)(22) 9/12/2022 10.8+ Form of Non-Qualified Option Award Agreement for use under the Prime Security Services Parent, Inc. 2016 Equity Incentive Plan SC TO-I (d)(24) 9/12/2022 10.9+ Form of Restricted Stock Unit Award Agreement for use under the ADT Inc. 2018 Omnibus Incentive Plan effective as of August 1, 2022 SC TO-I (d)(34) 9/12/2022 10.10+ Form of Non-Qualified Option Award Agreement for use under the ADT Inc. 2018 Omnibus Incentive Plan effective as of August 1, 2022 SC TO-I (d)(35) 9/12/2022 10.11 Commitment Letter by and among Prime Security Services Borrower, LLC, The ADT Security Corporation, Deutsche Bank Securities Inc., Deutsche Bank AG New York Branch, BNP Paribas, Mizuho Bank, Ltd., MUFG Bank, Ltd., Citizens Bank, N.A., Citigroup Global Markets Inc., Morgan Stanley Senior Funding, Inc., Royal Bank of Canada, Barclays Bank PLC, ING Capital LLC and Credit Suisse AG, New York Branch, dated as of September 15, 2022 8-K 10.1 9/15/2022 10.12 Investor Rights Agreement, dated as of October 13, 2022, by and between ADT Inc. and State Farm Fire & Casualty Company 8-K 10.1 10/13/2022 10.13 Amendment to the ADT LLC Supplemental Savings and Retirement Plan, effective as of January 1, 2022 10-Q 10.13 11/3/2022 31.1* Certification of CEO, pursuant to SEC Rule 13a-14(a) and 15d-14(a) 31.2* Certification of CFO, pursuant to SEC Rule 13a-14(a) and 15d-14(a) 32.1** Certification by the CEO, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 32.2** Certification by the CFO, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 101 XBRL Instant Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. 104 Cover Page Interactive Data File - the cover page XBRL tags are embedded within the Inline XBRL document _________________________ * Filed herewith. ** Furnished herewith. + Management contract or compensatory plan or arrangement. 57 SIGNATURES Pursuant to the requirements 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. ADT Inc. Date: July 27, 2023 By: /s/ Kenneth J. Porpora Name: Kenneth J. Porpora Title: Executive Vice President and Chief Financial Officer (Principal Financial Officer) 58