What changed in this filing

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Item 9A. Controls and Procedures

2021-02-19 compared with 2020-02-21 · 52 added, 38 removed, 173 unchanged (34% of the section changed)

18 unchanged sentences

PricewaterhouseCoopers LLP, the Company’s independent registered public accounting firm, has audited the effectiveness of the Company’s internal control over financial reporting as of December 31, 2020, as stated in their report, which is included in "Item 8.

Financial Statements and Supplementary Data."

Financial Statements and Supplementary Data" of this Form 10-K.

Changes in Internal Control over Financial Reporting

There were no changes to the Company’s internal control over financial reporting that occurred during the quarter ended December 31, 2019 that have materially affected, or are reasonably likely to materially affect, the Company’s internal control over financial reporting.

Management has not identified any change in the Company's internal control over financial reporting that occurred during the quarter ended December 31, 2020 that have materially affected, or are reasonably likely to materially affect, the Company’s internal control over financial reporting.

The Company has not experienced any material impact to the Company’s internal control over financial reporting due to the fact that certain of the Company’s employees responsible for financial reporting are working remotely during the

COVID-19 pandemic.

The Company continually monitors and assesses the potential impact of the COVID-19 pandemic on the Company’s internal control over financial reporting to mitigate any impact to design and operating effectiveness.

Other Information

Directors and Executive Officers of the Registrant

Information relating to the Directors of the Company, as well as information relating to compliance with Section 16(a) of the Securities Exchange Act of 1934, as required by this Item 10, will be contained in our definitive Proxy Statement to be filed with the SEC in connection with our 2020 annual meeting of stockholders pursuant to Regulation 14A not later than 120 days after December 31, 2019 (the "2020 Proxy Statement"), and such information is incorporated herein by reference.

Information relating to the directors and executive officers of the Company, as well as information relating to compliance with Section 16(a) of the Securities Exchange Act of 1934, as required by this Item 10, will be contained in our definitive Proxy Statement to be filed with the SEC in connection with our 2021 annual meeting of stockholders pursuant to Regulation 14A not later than 120 days after December 31, 2020 (the "2021 Proxy Statement"), and such information is incorporated herein by reference.

Certain other information relating to the Executive Officers of AdvanSix appears in Part I of this Annual Report on Form 10-K under the heading Executive Officers of the Registrant.

2 unchanged sentences

Hughes and Daniel F.

The Board has determined that Mr.

Huck has been designated as the audit committee financial expert as defined by applicable SEC rules and that Mr.

The Board has determined that each of Mr.

Sansone has been designated as an audit committee financial expert as defined by applicable SEC rules and that each of Mr.

Hughes and Mr.

Sansone satisfy the accounting or related financial management expertise criteria established by the NYSE.

Sansone satisfies the accounting or related financial management expertise criteria established by the NYSE.

All members of the Audit Committee are independent as that term is defined in applicable SEC rules and NYSE listing standards.

AdvanSix’s corporate governance policies and procedures, including the Code of Business Conduct, Corporate Governance Guidelines and Charters of the Committees of the Board are available, free of charge, on our website under the heading Investor Relations (see Corporate Governance), or by writing to AdvanSix Inc., 300 Kimball Drive, Suite 101, Parsippany, New Jersey 07054, c/o Corporate Secretary.

AdvanSix’s corporate governance policies and procedures, including the Code of Business Conduct, Corporate Governance Guidelines and Charters of the Committees of the Board are available, free of charge, on our website under the heading Investor Relations (see Corporate Governance) at https://investors.advansix.com/corporate-governance/governance-documents, or by writing to AdvanSix Inc., 300 Kimball Drive, Suite 101, Parsippany, New Jersey 07054, c/o Corporate Secretary.

AdvanSix’s Code of Business Conduct applies to all AdvanSix directors, officers (including the Chief Executive Officer, Chief Financial Officer and Controller) and employees.

10 unchanged sentences

(a)(1) Consolidated Financial Statements Page Number

Report of Independent Registered Public Accounting Firm

Consolidated Statements of Operations for the years ended December 31, 2020 , 2019 and 2018

Consolidated Statements of Comprehensive Income for the years ended December 31, 2020, 2019 and 2018

Consolidated Bal ance Sheets at December 31, 2019 and 2018

Consolidated Balance Sheets at December 31, 2020 and 2019

Consolidated Statements of Cash Flows for the years ended December 31, 2020, 2019 and 2018

1 unchanged sentence

Notes to Consolidated Financial Statements

Report of Independent Registered Public Accounting Firm

(a)(2) Financial Statement Schedules

3 unchanged sentences

The Company has elected not to include a Form 10-K summary under this Item 16.

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.

ADVANSIX INC.

February 21, 2020 By:

/s/ Michael Preston

Michael Preston

Senior Vice President and Chief Financial Officer

(on behalf of the Registrant and as the Registrant’s Principal Financial Officer)

POWER OF ATTORNEY

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Erin N.

Kane, Michael Preston, and John M.

Quitmeyer, or any of them, his or her attorneys-in-fact, for such person in any and all capacities, to sign any amendments to this report and to file the same, with exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, hereby ratifying and confirming all that either of said attorneys-in-fact, or substitute or substitutes, may do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Exchange Act of 1934, this annual report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the date indicated:

Chief Executive Officer and Director

(Principal Executive Officer)

/s/ Michael L.

Independent Chairman of the Board

/s/ Darrell K.

/s/ Daniel F.

/s/ Sharon S.

/s/ Michael Preston

Michael Preston

Senior Vice President and Chief Financial Officer

(Principal Financial Officer)

/s/ Christopher Gramm

Christopher Gramm

Vice President and Controller

(Principal Accounting Officer)

February 21, 2020

EXHIBIT INDEX

6 unchanged sentences

(incorporated by reference to Exhibit 3.2 to the Company’s Quarterly Report on Form 10-Q filed on August 1, 2019).

4.1 Description of Securities of the Registrant.

4.1 Description of Securities of the Registrant (incorporated by reference to Exhibit 4.1 to the Company's Annual Report on Form 10-K filed on February 21, 2020).

10.1 Transition Services Agreement, dated as of September 28, 2016, between Honeywell International Inc.

38 unchanged sentences

and its Affiliates (incorporated by reference to Exhibit 10.6 to the Company’s Current Report on Form 8-K filed on October 3, 2016).

10.17 2016 Stock Incentive Plan of AdvanSix Inc.

and its Affiliates, as Amended and Restated (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on June 23, 2020).

10.18 Form of Restricted Stock Unit Agreement for Non-Employee Directors under the AdvanSix Inc.

43 unchanged sentences

(incorporated by reference to Exhibit 10.31 to the Company’s Annual Report on Form 10-K filed with the SEC on February 22, 2019) *

10.35 Offer of Employment Letter between AdvanSix Inc.

and Achilles B.

Kintiroglou, dated February 24, 2020 (incorporated by reference to Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q filed with the SEC on May 1, 2020) †

10.36 Employment Separation Agreement and Release between AdvanSix Inc.

and Jonathan Bellamy, dated March 12, 2020 (incorporated by reference to Exhibit 10.3 to the Company’s Quarterly Report on Form 10-Q filed with the SEC on May 1, 2020) †

10.37 Offer of Employment Letter between AdvanSix Inc.

Quitmeyer, dated April 1, 2020 (incorporated by reference to Exhibit 10.4 to the Company’s Quarterly Report on Form 10-Q filed with the SEC on May 1, 2020) †

10.38 Offer of Employment Letter between AdvanSix Inc.

and Kelly Slieter, dated May 25, 2020 (incorporated by reference to Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q filed with the SEC on July 31, 2020) †

21.1 List of subsidiaries of AdvanSix Inc.

28 unchanged sentences

* Confidential treatment has been granted for certain information contained in Exhibits 10.25 through 10.34, and the omitted portions have been filed separately with the SEC.

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.

ADVANSIX INC.

February 19, 2021

/s/ Michael Preston

Michael Preston

Senior Vice President and Chief Financial Officer

(on behalf of the Registrant and as the Registrant’s Principal Financial Officer)

POWER OF ATTORNEY

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints Erin N.

Kane, Michael Preston, and Achilles Kintiroglou, or any of them, his or her attorneys-in-fact, for such person in any and all capacities, to sign any amendments to this report and to file the same, with exhibits thereto, and other documents in connection therewith, with the Securities and Exchange Commission, hereby ratifying and confirming all that either of said attorneys-in-fact, or substitute or substitutes, may do or cause to be done by virtue hereof.

Chief Executive Officer and Director

(Principal Executive Officer)

/s/ Michael L.

Independent Chairman of the Board

/s/ Darrell K.

/s/ Daniel F.

/s/ Sharon S.

/s/ Patrick S.

/s/ Michael Preston

Michael Preston

Senior Vice President and Chief Financial Officer

(Principal Financial Officer)

/s/ Christopher Gramm

Christopher Gramm

Vice President and Controller

(Principal Accounting Officer)

February 19, 2021

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 9A. Controls and Procedures