LSB INDUSTRIES, INC. 10-Q

Item 5. Other Information Not applicable Item 6. Exhibits See “Index to Exhibits” on page 44. 43 Index to Exhibits Item Exhibit Number Exhibit Title Incorporated by Reference to the Following 3(i) Restated Certificate of Incorporation of LSB Industries, Inc., dated January 21, 1977, as amended August 27, 1987 Exhibit 3(i).1 to the Company’s Form 10-K filed on February 28, 2013 3(ii) Second Amended and Restated Bylaws of LSB Industries, Inc. , dated July 19, 2021 Exhibit 3.1 to the Company’s Form 8-K filed July 19, 2021 3.1 Certificate of Designations of Series G Class C Preferred Stock of LSB Industries, Inc., as filed with the Secretary of State of the State of Delaware on July 6, 2020 Exhibit 3.1 to the Company’s Form 8-K filed July 6, 2020 10.1 Securities Exchange Agreement, dated July 19, 2021, by and between LSB Industries, Inc. and LSB Funding LLC Exhibit 10.1 to the Company’s Form 8-K filed July 19, 2021 10.2 Consent and Fourth Amendment to Third Amended and Restated Loan and Security Agreement, dated as of September 22, 2021, by and among Wells Fargo Capital Finance, LLC, as the arranger and administrative agent, the lenders party thereto, LSB Industries, Inc. and its subsidiaries identified on the signature pages thereto as borrowers and the Company’s subsidiaries identified on the signature pages thereto as guarantors Exhibit 10.1 to the Company’s Form 8-K filed September 27, 2021 10.3(a) Written Consent of LSB Funding, LLC approving of the incurrence of indebtedness by LSB Industries, Inc., dated September 22, 2021, provided pursuant to the Securities Exchange Agreement, dated as of July 19, 2021, between LSB Industries, Inc. and LSB Funding, LLC 10.4 Amendment and Waiver to Board Representation and Standstill Agreement, dated as of September 27, 2021, by and among the Company, the Holder and the other parties thereto Exhibit 10.1 to the Company’s Form 8-K filed September 27, 2021 31.1(a) Certification of Mark T. Behrman, Chief Executive Officer, pursuant to Sarbanes-Oxley Act of 2002, Section 302 31.2(a) Certification of Cheryl A. Maguire, Chief Financial Officer, pursuant to Sarbanes-Oxley Act of 2002, Section 302 32.1(b) Certification of Mark T. Behrman , Chief Executive Officer, furnished pursuant to Sarbanes-Oxley Act of 2002, Section 906 32.2(b) Certification of Cheryl A. Maguire , Chief Financial Officer, furnished pursuant to Sarbanes-Oxley Act of 2002, Section 906 101.INS(a) Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. 101.SCH(a) Inline XBRL Taxonomy Extension Schema Document 101.CAL(a) Inline XBRL Taxonomy Extension Calculation Linkbase Document 101.DEF(a) Inline XBRL Taxonomy Extension Definition Linkbase Document 101.LAB(a) Inline XBRL Taxonomy Extension Labels Linkbase Document 101.PRE(a) Inline XBRL Taxonomy Extension Presentation Linkbase Document 104 Cover Page Interactive Data File (embedded within the Inline XBRL document) (a) Filed herewith (b) Furnished herewith * Management contract or compensatory plan or arrangement 44 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Company has caused the undersigned, duly authorized, to sign this report on its behalf on this 2 nd day of November 2021 . LSB INDUSTRIES, INC. /s/ Cheryl A. Maguire Cheryl A. Maguire Executive Vice President and Chief Financial Officer (Principal Financial and Accounting Officer) 45