ADT Inc. 10-Q

ITEM 5. OTHER INFORMATION. During the quarter ended September 30, 2023, none of the Company’s directors or executive officers adopted or terminated any contract, instruction or written plan for the purchase or sale of Company securities intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or any “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K. 50 ITEM 6. EXHIBITS. The exhibits listed on the accompanying Index to Exhibits are filed/furnished or incorporated by reference as part of this Quarterly Report on Form 10-Q. 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 2.1^ Equity Purchase Agreement, dated as of August 7, 2023, among ADT Inc., Iris Buyer LLC and Fire & Security Holdings, LLC 8-K 2.1 8/8/2023 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. 8-K 3.1 9/18/2023 10.1 Increment al Assumption and Amendment Agreement N o.13 , dated as of October 13,2023, by and among Prime Security Services Holdings , LLC, Prime Security Services Borrower, LLC, The ADT Security Corporation, the subsidiary loan parties party thereto, the lenders party thereto and Barclays Bank PLC, as administrative agent. 8-K 10.1 10/13/2023 10.2* Receivables Financing Agreement, among Compass Solar Group, LLC, ADT Solar Finance LLC and Mizuho Bank, Ltd., dated as of August 2, 2023. 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. ^ Schedules and exhibits to this exhibit have been omitted pursuant to Item 601(b)(2) of Regulation S-K. ADT hereby undertakes to furnish copies of any of the omitted schedules and exhibits upon request by the SEC. 51 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: November 2, 2023 By: /s/ Kenneth J. Porpora Name: Kenneth J. Porpora Title: Executive Vice President and Chief Financial Officer (Principal Financial Officer) 52