Item 5. Other Information
Item 5. Other Information
Rule 10b5-1 Trading Plan
During the quarter ended March 31, 2024, no director or Section 16 officer adopted or terminated any Rule 10b5-1 trading arrangements or non-Rule 10b5-1 trading arrangements.
29
Item 6. Exhibits
Exhibit
Number DESCRIPTION
4.1* — First Supplemental Indenture, dated as of January 4, 2024, by and among Forum, the subsidiary guarantors party thereto and U.S. Bank Trust Company, National Association (as successor to U.S. Bank National Association), as trustee (incorporated by reference to Exhibit 4.1 to Forum’s Current Report on Form 8-K filed on January 8, 2024).
10.1**# — Form of 2024 Performance Restricted Stock Unit Agreement - Executive.
10.2**# — Form of 2024 Restricted Stock Unit Agreement - Executive.
10.3**# — Form of 2024 Performance Restricted Stock Unit Agreement (with Cash Settlement Option) - Executive.
10.4**# — Form of 2024 Restricted Stock Unit Agreement (with Cash Settlement Option) - Executive.
10.5**# — Form of 2024 Restricted Stock Unit Agreement - Non Executive Director .
10.6**# — Form of 2024 Restricted Stock Award Agreement - Non Executive Dir ector .
10.7**# — Form of 2024 Cash Award Agreement - Executive .
10.8* — Second Lien Seller Term Loan Credit Agreement, dated as of January 4, 2024, by and among Forum, the lenders party thereto, and Variperm Energy Services Partnership (“VES Partnership”), as administrative and collateral agent for each of the lenders (incorporated by reference to Exhibit 10.1 to Forum’s Current Report on Form 8-K filed on January 8, 2024).
10.9* — Amendment No. 1 to Second Lien Seller Term Loan Credit Agreement, dated as of April 10, 2024, by and among Forum, the lenders party thereto, and VES Partnership, as administrative and collateral agent for each of the lenders.
10.10* — Investor Rights Agreement, dated as of January 4, 2024, by and among Forum, the Sellers and James Nurcombe (incorporated by reference to Exhibit 10.2 to Forum’s Current Report on Form 8-K filed on January 8, 2024).
22.1* — Subsidiary guarantors of the Company's Convertible Secured Notes due 2025.
31.1**
— Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2**
— Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1**
— Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2**
— Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
101.INS** — Inline XBRL Instance Document.
101.SCH** — Inline XBRL Taxonomy Extension Schema Document.
101.CAL** — Inline XBRL Taxonomy Extension Calculation Linkbase Document.
101.LAB** — Inline XBRL Taxonomy Extension Label Linkbase Document.
101.PRE** — Inline XBRL Taxonomy Extension Presentation Linkbase Document.
101.DEF** — Inline XBRL Taxonomy Extension Definition Linkbase Document.
104** — Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101).
*Previously filed.
**Filed herewith.
#Identifies management contracts and compensatory plans or arrangements.
30
SIGNATURES
As required by Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has authorized this report to be signed on its behalf by the undersigned authorized individuals.
FORUM ENERGY TECHNOLOGIES, INC.
Date: May 3, 2024 By: /s/ D. Lyle Williams, Jr.
D. Lyle Williams, Jr.
Executive Vice President and Chief Financial Officer
(As Duly Authorized Officer and Principal Financial Officer)
By: /s/ Katherine C. Keller
Katherine C. Keller
Senior Vice President and Chief Accounting Officer
(As Duly Authorized Officer and Principal Accounting Officer)
31