Item 9A. Controls and Procedures
Item 9A. Controls and Procedures
Evaluation of Disclosure Controls and Procedures
Our management, under the supervision and with the participation of our Chief Executive Officer and Chief Financial Officer, has evaluated the effectiveness of our disclosure controls and procedures as of the end of the period covered by this Annual Report on Form 10-K. The term “disclosure controls and procedures,” as defined in Rules 13a-15(e) and 15d-15(e) under the Securities Exchange Act of 1934, as amended (the Exchange Act), means controls and other procedures of a company that are designed to ensure that information required to be disclosed by a company in the reports that it files or submits under the Exchange Act is recorded, processed, summarized, and reported within the time periods specified in the SEC’s rules and forms. Disclosure controls and procedures include, without limitation, controls and procedures designed to ensure that information required to be disclosed by a company in the reports that it files or submits under the Exchange Act is accumulated and communicated to the company’s management, including its principal executive and principal financial officers, or persons performing similar functions, as appropriate to allow timely decisions regarding required disclosure. Based on such evaluation, our Chief Executive Officer and Chief Financial Officer concluded that, as of the end of the period covered by this Annual Report on Form 10-K, our disclosure controls and procedures were effective at the reasonable assurance level.
Changes in Internal Control over Financial Reporting
There were no changes in our internal control over financial reporting identified in connection with the evaluation required by Rules 13a-15(d) and 15d-15(d) of the Exchange Act that occurred during the quarter ended June 30, 2021 that have materially affected, or are reasonably likely to materially affect, our internal control over financial reporting.
Inherent Limitations on Effectiveness of Controls
Our management, including our Chief Executive Officer and Chief Financial Officer, believes that our disclosure controls and procedures and internal control over financial reporting are designed to provide reasonable assurance of achieving their objectives and are effective at the reasonable assurance level. However, management does not expect that our disclosure controls and procedures or our internal control over financial reporting will prevent or detect all errors and all fraud. A control system, no matter how well conceived and operated, can provide only reasonable, not absolute, assurance that the objectives of the control system are met. Because of the inherent limitations in all control systems, no evaluation of controls can provide absolute assurance that all control issues and instances of fraud, if any, within the company have been detected. The design of any system of controls also is based in part upon certain assumptions about the likelihood of future events, and there can be no assurance that any design will succeed in achieving its stated goals under all potential future conditions. Over time, controls may become inadequate because of changes in conditions, or the degree of compliance with the policies or procedures may deteriorate. Because of the inherent limitations in a cost-effective control system, misstatements due to error or fraud may occur and not be detected.
99
Management’s Report on Internal Control over Financial Reporting
The Annual Report on Form 10-K does not include a report of management’s assessment regarding internal control over financial reporting or an attestation report of our independent registered public accounting firm due to a transition period established by the rules of the SEC for newly public companies.
Item 9B. Other Information
None.
100
PART III
Item 10. Directors, Executive Officers and Corporate Governance
The information required by this Item will be provided by reference to the definitive proxy statement for the Company’s 2022 Annual Meeting of Stockholders, to be filed no later than 120 days after June 30, 2021.
We have adopted a Code of Business Conduct and Ethics that applies to our officers, directors and employees, which is available on our website (investors.intapp.com) under “Corporate Governance.” The Code of Ethics is intended to qualify as a “code of ethics” within the meaning of Section 406 of the Sarbanes-Oxley Act of 2002, as amended, and Item 406 of Regulation S-K. In addition, we intend to promptly disclose on our website (investors.intapp.com) (1) the nature of any amendment to our Code of Business Conduct and Ethics that applies to our directors or our principal executive officer, principal financial officer, principal accounting officer or controller or persons performing similar functions and (2) the nature of any waiver, including an implicit waiver, from a provision of our Code of Business Conduct and Ethics that is granted to a director or one of these specified officers, the name of such person who is granted the waiver and the date of the waiver.
Item 11. Executive Compensation
The information required by this Item will be provided by reference to the definitive proxy statement for the Company’s 2022 Annual Meeting of Stockholders, to be filed no later than 120 days after June 30, 2021.
Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters
The information required by this Item will be provided by reference to the definitive proxy statement for the Company’s 2022 Annual Meeting of Stockholders, to be filed no later than 120 days after June 30, 2021.
Item 13. Certain Relationships and Related Transactions, and Director Independence
The information required by this Item will be provided by reference to the definitive proxy statement for the Company’s 2022 Annual Meeting of Stockholders, to be filed no later than 120 days after June 30, 2021.
Item 14. Principal Accounting Fees and Services
The information required by this Item will be provided by reference to the definitive proxy statement for the Company’s 2022 Annual Meeting of Stockholders, to be filed no later than 120 days after June 30, 2021.
101
PART IV
Item 15. Exhibits and Financial Statement Schedules
(a) The following documents are filed as part of this report:
1. Consolidated Financial Statements
See Index to Consolidated Financial Statements at Item 8 herein.
2. Financial Statement Schedules
Schedules not listed above have been omitted because the information required to be set forth therein is not applicable or is shown in the financial statements or notes herein.
3. Exhibits
See the Exhibit Index immediately following the signature page of this Annual Report on Form 10-K.
Item 16. Form 10-K Summary
None.
102
Exhibit Index
Incorporated by Reference
Exhibit
Number
Description
Form
File Number
Date
Number
Filed Herewith
3.1
Amended and Restated Certificate of Incorporation of Intapp, Inc.
8-K
001-40550
July 6, 2021
3.1
3.2
Amended and Restated Bylaws of Intapp, Inc.
8-K
001-40550
July 6, 2021
3.2
4.1
Description of Capital Stock
X
10.1+
Intapp, Inc. Amended and Restated 2012 Stock Option and Grant Plan
S-1/A
333-256812
June 21, 2021
10.3
10.2+
Intapp, Inc. 2021 Employee Stock Purchase Plan
S-1/A
333-256812
June 21, 2021
10.4
10.3+
Intapp, Inc. 2021 Omnibus Incentive Plan
S-1/A
333-256812
June 21, 2021
10.5
10.4+
Form of Restricted Share Unit Award Agreement under the 2021 Omnibus Incentive Plan
S-1/A
333-256812
June 21, 2021
10.6
10.5+
Form of Performance Share Unit Award Agreement under the 2021 Omnibus Incentive Plan
S-1/A
333-256812
June 21, 2021
10.7
10.6+
Form of Stock Option Award Agreement under the 2021 Omnibus Incentive Plan
S-1/A
333-256812
June 21, 2021
10.8
10.7+
Form of Indemnification Agreement between the Registrant and each of its Executive Officers and Directors
S-1
333-256812
June 4, 2021
10.9
10.8
Second Amended and Restated Stockholders Agreement, dated as of July 2, 2021, by and among Intapp, Inc., Great Hill Equity Partners IV, L.P., Great Hill Investors, LLC and Anderson Investments Pte. Ltd.
8-K
001-40550
July 6, 2021
10.1
10.9
Second Amended and Restated Registration Rights Agreement, dated as of July 2, 2021, by and among Intapp, Inc., Great Hill Equity Partners IV, L.P., Great Hill Investors, LLC, Anderson Investments Pte. Ltd. and the individuals party thereto
8-K
001-40550
July 6, 2021
10.2
10.10+
Employment Agreement, dated as of June 18, 2021, by and between Intapp, Inc. and John Hall
S-1/A
333-256812
June 24, 2021
10.12
10.11+
Employment Agreement, dated as of June 29, 2021, by and between Intapp, Inc. and Donald Coleman
X
10.12+
Employment Agreement, dated as of June 18, 2021, by and between Intapp, Inc. and Thad Jampol
S-1/A
333-256812
June 24, 2021
10.14
10.13+
Director Services Agreement, dated as of December 30, 2020, by and between Intapp, Inc. and Charles Moran
S-1
333-256812
June 4, 2021
10.15
103
10.1 4+
Consulting Agreement, dated March 1, 2016, by and between Integration Appliance, Inc. and Ralph Baxter
S-1
333-256812
June 4, 2021
10.16
10.15+
First Amendment to Consulting Agreement, dated April 28, 2017, by and between Integration Appliance, Inc. and Ralph Baxter
S-1
333-256812
June 4, 2021
10.17
10.16+
Second Amendment to Consulting Agreement, dated January 1, 2019, by and between Integration Appliance, Inc. and Ralph Baxter
S-1
333-256812
June 4, 2021
10.18
10.17+
Third Amendment to Consulting Agreement, dated April 29, 2019, by and between Integration Appliance, Inc. and Ralph Baxter
S-1
333-256812
June 4, 2021
10.19
10.18+
Fourth Amendment to Consulting Agreement, dated December 18, 2019, by and between Integration Appliance, Inc. and Ralph Baxter, Inc.
S-1
333-256812
June 4, 2021
10.20
10.19+
Fifth Amendment to Consulting Agreement, dated June 16, 2020, by and between Integration Appliance, Inc. and Ralph Baxter, Inc.
S-1
333-256812
June 4, 2021
10.21
10.19+
Sixth Amendment to Consulting Agreement, dated June 20, 2021, by and between Integration Appliance, Inc. and Ralph Baxter, Inc.
S-1/A
333-256812
June 21, 2021
10.22
21.1
List of Subsidiaries
X
23.1
Consent of Deloitte & Touche LLP
X
24.1
Power of Attorney (included in signature pages hereto)
X
31.1
Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 .
X
31.2
Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
X
32.1*
Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
X
32.2*
Certification of 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
+
Indicates a management contract or compensatory plan
*
The certifications furnished in Exhibits 32.1 and 32.2 hereto are deemed to accompany this Annual Report on Form 10-K and are not deemed “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liability of that section, nor shall they be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act, irrespective of any general incorporation language contained in such filing.
104
SIGNAT URES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized .
Intapp, Inc.
Date: September 15, 2021
By:
/s/ John Hall
Name: John Hall
Title: Chief Executive Officer
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below constitutes and appoints John Hall and Stephen Robertson, and each of them, as his or her true and lawful attorney-in-fact and agent with full power of substitution and resubstitution, for such individual in any and all capacities, to sign any and all amendments to this Annual Report on Form 10-K, and to file the same, with all exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in connection therewith, as fully for all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or any of them, or the individual’s substitute, may lawfully do or cause to be done by virtue hereof.
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, this Report has been signed below by the following persons on behalf of the Registrant in the capacities and on the dates indicated.
105
Name
Title
Date
/s/ John Hall
Chief Executive Officer and Director
(principal executive officer)
September 15, 2021
John Hall
/s/ Stephen Robertson
Chief Financial Officer
(principal financial officer)
September 15, 2021
Stephen Robertson
/s/ Kalyani Tandon
Chief Accounting Officer
(principal accounting officer)
September 15, 2021
Kalyani Tandon
/s/ Chris Gaffney
Director
September 15, 2021
Chris Gaffney
/s/ Derek Schoettle
Director
September 15, 2021
Derek Schoettle
/s/ Mukul Chawla
Director
September 15, 2021
Mukul Chawla
/s/ Charles Moran
Director
September 15, 2021
Charles Moran
/s/ George Neble
Director
September 15, 2021
George Neble
/s/ Ralph Baxter
Director
September 15, 2021
Ralph Baxter
/s/ Marie Wieck
Director
September 15, 2021
Marie Wieck
/s/ Nancy Harris
Director
September 15, 2021
Nancy Harris
106