INVE Technologies, Inc. 10-Q

Item 5. Other Information Rule 10b5-1 and Non-Rule 10b5-1 Trading Arrangements During the quarter ended June 30, 2024, no director or officer adopted or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K. 40 Item 6. Exhibits Exhibit Number Description 2.1# Stock and Asset Purchase Agreement dated April 2, 2024 between Identiv, Inc. and Hawk Acquisition, Inc. (Incorporated by reference to Exhibit 2.1 to the Company’s Current Report on Form 8-K filed on April 3, 2024). 10.1^ Sixth Amendment to Amended and Restated Loan and Security Agreement between Identiv, Inc. and East West Bank dated as of May 6, 2024. 10.2* Offer Letter dated March 14, 2024 between Identiv, Inc. and Kirsten F. Newquist (Incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed on April 3, 2024). 10.3* Amendment to Employment Letter Agreement dated April 17, 2024 between Identiv, Inc. and Justin Scarpulla (Incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed on April 18, 2024). 10.4* 2011 Incentive Compensation Plan, as amended through March 4, 2024 (Incorporated by reference to Exhibit 99.1 to the Company's Registration Statement on Form S-8 filed on July 18, 2024). 31.1^ Certification of Chief Executive Officer pursuant to Section 302 of the Securities Exchange Act of 1934. 31.2^ Certification of Chief Financial Officer pursuant to Section 302 of the Securities Exchange Act of 1934. 32 # Certification of Chief Executive Officer and Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 101.INS Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL document. 101.SCH Inline XBRL Taxonomy Extension Schema Document with embedded Linkbase Documents. 104 Cover Page Interactive Data File (embedded within the Inline XBRL document) # Schedules have been omitted pursuant to Item 601(a)(5) of Regulation S-K promulgated by the SEC. The Company agrees to furnish supplementally a copy of any omitted schedule or exhibit to the SEC upon request. * Denotes management compensatory contract or arrangement. ^ Filed herewith. # Furnished herewith and not “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). Such certifications will not be deemed to be incorporated by reference into any filings under the Securities Act of 1933 or the Exchange Act, except to the extent that the registrant specifically incorporates them by reference. 41 SIGNA TURES 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. IDENTIV, INC . August 8, 2024 By: / S / Steven Humphreys Steven Humphreys Chief Executive Officer (Principal Executive Officer) August 8, 2024 By: / S / Justin Scarpulla Justin Scarpulla Chief Financial Officer (Principal Financial and Accounting Officer) 42