MIND TECHNOLOGY, INC 10-Q

Item 5. Other Information Not applicable. Item 6. Exhibits Exhibits The exhibits marked with the cross symbol (†) are filed (or furnished in the case of Exhibit 32.1) with this Form 10-Q. Exhibit Number Document Description Report or Registration Statement SEC File or Registration Number Exhibit Reference 2.1 Agreement and Plan of Merger dated as of August 3, 2020, by and between Mitcham Industries, Inc. and MIND Technology, Inc. Incorporated by reference to MIND Technology, Inc.’s Current Report on Form 8-K, filed with the SEC on August 7, 2020. 001-13490 2.1 3.1 Amended and Restated Certificate of Incorporation of MIND Technology, Inc. Incorporated by reference to MIND Technology, Inc.’s Current Report on Form 8-K, filed with the SEC on August 7, 2020. 001-13490 3.3 3.2 Amended and Restated Bylaws of MIND Technology, Inc. Incorporated by reference to MIND Technology, Inc.’s Current Report on Form 8-K, filed with the SEC on August 7, 2020. 001-13490 3.4 3.3 Certificate of Designations, Preferences and Rights of MIND Technology, Inc. 9.00% Series A Cumulative Preferred Stock Incorporated by reference to MIND Technology, Inc.’s Current Report on Form 8-K, filed with the SEC on August 7, 2020. 001-13490 3.5 3.4 Certificate of Amendment of Certificate of Designations, Preferences and Rights of MIND Technology, Inc. 9.00% Series A Cumulative Preferred Stock Incorporated by reference to MIND Technology, Inc.’s Form 8-K filed with the SEC on September 25, 2020. 001-13490 3.1 26 Table of Contents 3.5 Texas Certificate of Merger, effective as of August 3, 2020 Incorporated by reference to MIND Technology, Inc.’s Current Report on Form 8-K, filed with the SEC on August 7, 2020. 001-13490 3.1 3.6 Delaware Certificate of Merger, effective as of August 3, 2020 Incorporated by reference to MIND Technology, Inc.’s Current Report on Form 8-K, filed with the SEC on August 7, 2020. 001-13490 3.2 4.1 Form of Senior Indenture (including Form of Senior Note) Incorporated by reference to Mitcham Industries, Inc.’s Registration Statement on Form S-3, filed with the SEC on March 18, 2011. 333-172935 4.1 4.2 Form of Subordinated Indenture (including form of Subordinated Note) Incorporated by reference to Mitcham Industries, Inc.’s Registration Statement on Form S-3, filed with the SEC on March 18, 2011. 333-172935 4.2 10.1 Third Amendment to the MIND Technology, Inc. Amended and Restated Stock Awards Plan Incorporated by reference to MIND Technology, Inc.’s Form S-8 filed with the SEC on September 9, 2021. 333-259414 10.1 31.1† Certification of Robert P. Capps, Chief Executive Officer, pursuant to Rule 13a-14(a) and Rule 15d-14(a) of the Securities Exchange Act, as amended 31.2† Certification of Mark A. Cox, Chief Financial Officer, pursuant to Rule 13a-14(a) and Rule 15d-14(a) of the Securities Exchange Act, as amended 32.1† Certification of Robert P. Capps, Chief Executive Officer, and Mark A. Cox, Chief Financial Officer, under Section 906 of the Sarbanes Oxley Act of 2002, 18 U.S.C. § 1350 101.INS† XBRL Instance Document 101.SCH† XBRL Taxonomy Extension Schema Document 101.CAL† XBRL Taxonomy Extension Calculation of Linkbase Document 101.DEF† XBRL Taxonomy Extension Definition Linkbase Document 101.LAB† XBRL Taxonomy Extension Label Linkbase Document 101.PRE† XBRL Taxonomy Extension Presentation Linkbase Document 27 Table of Contents SIGNATURES 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. MIND TECHNOLOGY, INC. Date: September 9, 2021 /s/ Robert P. Capps Robert P. Capps President and Chief Executive Officer (Duly Authorized Officer) 28