NOV Inc. 10-Q

Item 1A. Risk Factors As of the date of this filing, the Company and its operations continue to be subject to the risk factors previously disclosed in Part I, Item 1A "Risk Factors" in our 2021 Annual Report on Form 10-K for the fiscal year ended December 31, 2021 and in our Quarterly Reports on Form 10-Q for the fiscal quarter ended March 31, 2022 and the fiscal quarter ended June 30, 2022. Item 2. Purchases of Equity Securities by the Issuer and Affiliated Purchasers Period Total number of shares purchased Average price paid per share Total number of shares purchased as part of publicly announced plans or programs Approximate dollar value of shares that may yet be purchased under the plans or programs July 1 through July 31, 2022 — — — — August 1 through August 31, 2022 — — — — September 1 through September 30, 2022 8,794 $ 17.59 — — Total (1) 8,794 $ 17.59 — (1) The 8,794 shares listed as “purchased” were withheld from employee’s vesting of restricted stock grants, as required for income taxes, and retired. These shares were not part of a publicly announced program to purchase common stock. Item 4. Mine Safety Disclosures Information regarding mine safety and other regulatory actions at our mines is included in Exhibit 95 to this Form 10-Q. Item 6. Exhibits Reference is hereby made to the Exhibit Index commencing on page 28. 27 INDEX TO EXHIBITS (a) Exhibits 3.1 Sixth Amended and Restated Certificate of Incorporation of NOV Inc. (Exhibit 3.1) (1) 3.2 Amended and Restated By-laws of NOV Inc. (Exhibit 3.2) (1) 10.1 NOV Inc. Retirement Policy for Equity Awards (Exhibit 10.1) (2) 31.1 Certification pursuant to Rule 13a-14a and Rule 15d-14(a) of the Securities and Exchange Act, as amended. (3) 31.2 Certification pursuant to Rule 13a-14a and Rule 15d-14(a) of the Securities and Exchange Act, as amended. (3) 32.1 Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. (3) 32.2 Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. (3) 95 Mine Safety Information pursuant to section 1503 of the Dodd-Frank Act. (3) 101.INS 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 Inline XBRL Taxonomy Extension Schema Document 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document 104 Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) * Compensatory plan or arrangement for management or others. (1) Filed as an Exhibit to our Current Report on Form 8-K filed on December 21, 2020. (2) Filed as an Exhibit to our Current Report on Form 8-K filed on July 12, 2022. (3) Filed herewith. We hereby undertake, pursuant to Regulation S-K, Item 601(b), paragraph (4) (iii), to furnish to the U.S. Securities and Exchange Commission, upon request, all constituent instruments defining the rights of holders of our long-term debt not filed herewith. 28 SIGNATURE 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. Date: October 28, 2022 By: /s/ Christy H. Novak Christy H. Novak Vice President, Corporate Controller & Chief Accounting Officer (Duly Authorized Officer, Principal Accounting Officer) 29