OPTICAL CABLE CORP 10-Q

Item 4. Controls and Procedures The Company maintains 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”)) that are designed to be effective in providing reasonable assurance that information required to be disclosed in reports under the Exchange Act are recorded, processed and summarized and reported within the time periods specified in the rules and forms of the Securities and Exchange Commission (the “SEC”), and that such information is accumulated and communicated to management to allow for timely decisions regarding required disclosure. Our management evaluated, with the participation of our Chief Executive Officer (principal executive officer) and Chief Financial Officer (principal financial officer), the effectiveness of the Company’s disclosure controls and procedures as of July 31, 2026. Based on this evaluation process, the Chief Executive Officer and Chief Financial Officer have concluded that the Company’s disclosure controls and procedures were effective as of July 31, 2026, and that there were no changes in the Company’s internal control over financial reporting that occurred during the last fiscal quarter ended July 31, 2026 that have materially affected, or are reasonably likely to materially affect, the Company’s internal control over financial reporting. 32 Table of Contents PART II. OTHER INFORMATION Item 6. Exhibits Exhibit Index Exhibit No. Description 3.1 Articles of Amendment and Amended and Restated Articles of Incorporation filed November 5, 2001 to the Amended and Restated Articles of Incorporation, as amended through November 5, 2001 (incorporated herein by reference to Exhibit 1 to the Company ’ s Form 8-A12G filed with the Commission on November 5, 2001). 3.2 Articles of Amendment filed July 5, 2002 to the Amended and Restated Articles of Incorporation, as amended through July 5, 2002 (incorporated herein by reference to Appendix A to the Company ’ s definitive proxy statement on Form 14A filed July 5, 2002). 3.3 Amended and Restated Bylaws of Optical Cable Corporation effective March 9, 2023 (incorporated herein by reference to Exhibit 3.4 to the Company ’ s Quarterly Report on Form 10-Q for the first quarter ended January 31, 2023). 4.1 Form of certificate representing Common Stock (incorporated herein by reference to Exhibit 4.1 to the Company ’ s Quarterly Report on Form 10-Q for the third quarter ended July 31, 2004 (file number 0-27022)). 4.2 Form of certificate representing Common Stock (incorporated herein by reference to Exhibit 4.2 to the Company ’ s Quarterly Report on Form 10-Q for the third quarter ended July 31, 2012). 4.3 Corrected Credit Line Deed of Trust dated June 4, 2008 between Optical Cable Corporation as Grantor, LeClairRyan as Trustee and Northeast Bank, successor in interest to Pinnacle Bank (successor by merger with Bank of North Carolina, successor by merger with Valley Bank) as Beneficiary (incorporated herein by reference to Exhibit 4.17 of the Company ’ s Annual Report on Form 10-K for the period ended October 31, 2008 filed January 29, 2009). 4.4 Corrected Deed of Trust, Security Agreement and Fixtures Filing dated May 30, 2008 by and between Superior Modular Products Incorporated as Grantor, LeClairRyan as Trustee and Northeast Bank, successor in interest to Pinnacle Bank (successor by merger with Bank of North Carolina, successor by merger with Valley Bank) as Beneficiary (incorporated herein by reference to Exhibit 4.18 of the Company ’ s Annual Report on Form 10-K for the period ended October 31, 2008 filed January 29, 2009). 4.5 Term Loan B Note in the amount of $5,271,411 by Optical Cable Corporation dated April 26, 2016 , for the benefit of Northeast Bank as of July 15, 2021, as successor in interest to Pinnacle Bank (successor by merger with Bank of North Carolina) (incorporated herein by reference to Exhibit 4.4 to the Company ’ s Current Report on Form 8-K/A filed May 3, 2016). 4.6 Modification of Credit Line Deed of Trust dated April 26, 2016 by and between Optical Cable Corporation (successor by merger to Superior Modular Products Incorporated) as Grantor, Andrew B. Agee (in substitution of LeClairRyan) as Trustee and Northeast Bank, successor in interest to Pinnacle Bank (successor by merger with Bank of North Carolina) as Beneficiary, modifying that certain Corrected Credit Line Deed of Trust dated June 4, 2008 (incorporated herein by reference to Exhibit 4.5 to the Company ’ s Current Report on Form 8-K/A filed May 3, 2016). 33 Table of Contents PART II. OTHER INFORMATION 4.7 Modification of Deed of Trust, Security Agreement, and Assignment of Leases and Rents dated April 26, 2016 by and between Optical Cable Corporation (successor by merger to Superior Modular Products Incorporated) as Grantor, Andrew B. Agee (in substitution of LeClairRyan) as Trustee and Northeast Bank, successor in interest to Pinnacle Bank (successor by merger with Bank of North Carolina) as Beneficiary, modifying that certain Corrected Deed of Trust, Security Agreement and Assignment of Leases and Rents dated May 30, 2008 (incorporated herein by reference to Exhibit 4.6 to the Company ’ s Current Report on Form 8-K/A filed May 3, 2016). 4.8 Second Modification of Credit Line Deed of Trust dated May 2, 2018 by and between Optical Cable Corporation (successor by merger to Superior Modular Products Incorporated) as Grantor, W. Todd Ross (in substitution of LeClairRyan) as Trustee and Northeast Bank, successor in interest to Pinnacle Bank (successor by merger with Bank of North Carolina) as Beneficiary, modifying that certain Modification of Credit Line Deed of Trust dated April 26, 2016, which previously modified that certain Corrected Credit Line Deed of Trust dated June 4, 2008 (incorporated herein by reference to Exhibit 4.20 to the Company ’ s Quarterly Report on Form 10-Q for the second quarter ended April 30, 2018). 4.9 Second Modification of Deed of Trust, Security Agreement, and Assignment of Leases and Rents dated May 2, 2018 by and between Optical Cable Corporation (successor by merger to Superior Modular Products Incorporated) as Grantor, W. Todd Ross (in substitution of LeClairRyan) as Trustee and Northeast Bank, successor in interest to Pinnacle Bank (successor by merger with Bank of North Carolina) as Beneficiary, modifying that certain Modification of Deed of Trust, Security Agreement, and Assignment of Leases and Rents dated April 26, 2016, which previously modified that certain Corrected Deed of Trust, Security Agreement and Assignment of Leases and Rents dated May 30, 2008 (incorporated herein by reference to Exhibit 4.21 to the Company ’ s Quarterly Report on Form 10-Q for the second quarter ended April 30, 2018). 4.10 Loan and Security Agreement dated July 24, 2020 by and among Optical Cable Corporation along with its subsidiaries Applied Optical Systems, Inc., and Centric Solutions LLC, and North Mill Capital LLC (doing business as SLR Business Credit) (incorporated by reference to Exhibit 4.1 to the Company ’ s Current Report on Form 8-K filed July 30, 2020). 4.11 Revolving Credit Master Promissory Note dated July 24, 2020 by Optical Cable Corporation along with its subsidiaries Applied Optical Systems, Inc., and Centric Solutions LLC in favor of North Mill Capital LLC (doing business as SLR Business Credit) (incorporated by reference to Exhibit 4.2 to the Company ’ s Current Report on Form 8-K filed July 30, 2020). 4.12 Payoff Letter from Pinnacle Bank to North Mill Capital LLC (doing business as SLR Business Credit) and Optical Cable Corporation (incorporated by reference to Exhibit 4.3 to the Company ’ s Current Report on Form 8-K filed July 30, 2020). 34 Table of Contents PART II. OTHER INFORMATION 4.13 Amended and Restated Stockholder Protection Rights Agreement, dated as of November 2, 2021, between Optical Cable Corporation and American Stock Transfer & Trust Company, LLC, as rights agent (incorporated herein by reference to Exhibit 4.1 to the Company ’ s Form 8-A12G/A filed with the Commission on November 5, 2021). 4.14 Modification Agreement dated as of July 5, 2022, by and between North Mill Capital LLC (doing business as SLR Business Credit) and Optical Cable Corporation along with its subsidiaries Applied Optical Systems, Inc., and Centric Solutions LLC (incorporated by reference to Exhibit 4.1 to the Company ’ s Current Report on Form 8-K filed July 7, 2022). 4.15 Omnibus Amendment of Loan Documents dated October 31, 2023 by and between Optical Cable Corporation and Northeast Bank (incorporated herein by reference to Exhibit 4.1 to the Company ’ s Current Report on Form 8-K filed November 3, 2023). 4.16 Business Loan Agreement dated April 30, 2026, by and between Optical Cable Corporation and Freedom First Federal Credit Union (incorporated herein by reference to Exhibit 4.1 to the Company ’ s Current Report on Form 8-K filed May 6, 2026). 4.17 Promissory Note dated April 30, 2026, by Optical Cable Corporation in favor of Freedom First Federal Credit Union (incorporated herein by reference to Exhibit 4.2 to the Company ’ s Current Report on Form 8-K filed May 6, 2026). 4.18 Deed of Trust dated April 30, 2026, by Optical Cable Corporation, as Grantor, in favor of Freedom First Federal Credit Union, as Beneficiary (incorporated herein by reference to Exhibit 4.3 to the Company ’ s Current Report on Form 8-K filed May 6, 2026). 4.19 Assignment of Rents dated April 30, 2026, by Optical Cable Corporation, as Grantor, in favor of Freedom First Federal Credit Union, as Grantee/Lender (incorporated herein by reference to Exhibit 4.4 to the Company ’ s Current Report on Form 8-K filed May 6, 2026). 10.1* Optical Cable Corporation 2017 Stock Incentive Plan (incorporated by reference to Appendix A to the Company ’ s definitive proxy statement on Form 14A filed March 13, 2017). 10.2* First Amendment to the Optical Cable Corporation 2017 Stock Incentive Plan effective March 29, 2022 (incorporated herein by reference to Exhibit 10.16 of the Company ’ s Quarterly Report on Form 10-Q for the period ended July 31, 2022 filed September 12, 2022). 10.3* Second Amendment to the Optical Cable Corporation 2017 Stock Incentive Plan effective March 25, 2025 (incorporated herein by reference to Appendix A to the Company ’ s definitive proxy statement on Form 14A filed February 28, 2025). 35 Table of Contents PART II. OTHER INFORMATION 10.4* Amended and Restated Employment Agreement by and between Optical Cable Corporation and Neil D. Wilkin, Jr. effective April 11, 2011 (incorporated herein by reference to Exhibit 10.2 of the Company ’ s Current Report on Form 8-K filed April 15, 2011). 10.5* Amendment, effective December 18, 2012, to Amended and Restated Employment Agreement by and between Optical Cable Corporation and Neil D. Wilkin, Jr. effective April 11, 2011 (incorporated herein by reference to Exhibit 10.16 of the Company ’ s Quarterly Report on Form 10-Q for the period ended January 31, 2013 filed March 15, 2013). 10.6* Second Amendment, effective March 14, 2014, to Amended and Restated Employment Agreement by and between Optical Cable Corporation and Neil D. Wilkin, Jr. effective April 11, 2011, as amended December 18, 2012 (incorporated herein by reference to Exhibit 10.19 of the Company ’ s Quarterly Report on Form 10-Q for the period ended January 31, 2014 filed March 17, 2014). 10.7* Amended and Restated Employment Agreement by and between Optical Cable Corporation and Tracy G. Smith effective April 11, 2011 (incorporated herein by reference to Exhibit 10.1 of the Company ’ s Current Report on Form 8-K filed April 15, 2011). 10.8* Amendment, effective December 18, 2012, to Amended and Restated Employment Agreement by and between Optical Cable Corporation and Tracy G. Smith effective April 11, 2011 (incorporated herein by reference to Exhibit 10.18 of the Company ’ s Quarterly Report on Form 10-Q for the period ended January 31, 2013 filed March 15, 2013). 10.9* Second Amendment, effective March 14, 2014, to Amended and Restated Employment Agreement by and between Optical Cable Corporation and Tracy G. Smith effective April 11, 2011, as amended December 18, 2012 (incorporated herein by reference to Exhibit 10.22 of the Company ’ s Quarterly Report on Form 10-Q for the period ended January 31, 2014 filed March 17, 2014). 10.10* Form of vesting award agreement for non-employee Board members under the Optical Cable Corporation 2017 Stock Incentive Plan (incorporated herein by reference to Exhibit 10.21 of the Company ’ s Quarterly Report on Form 10-Q for the period ended April 30, 2017 filed June 13, 2017). 10.11* Form of operational performance (Company financial performance measure) vesting award agreement under the Optical Cable Corporation 2017 Stock Incentive Plan (incorporated herein by reference to Exhibit 10.15 of the Company ’ s Annual Report on Form 10-K for the period ended October 31, 2021 filed December 20, 2021). 10.12* Form of vesting award agreement for non-employee Board members under the Optical Cable Corporation 2017 Stock Incentive Plan, as amended (incorporated herein by reference to Exhibit 10.11 of the Company ’ s Quarterly Report on Form 10-Q for the period ended July 31, 2024 filed September 11, 2024). 36 Table of Contents PART II. OTHER INFORMATION 10.13* Form of operational performance (Company financial performance measure) vesting award agreement under the Optical Cable Corporation 2017 Stock Incentive Plan, as amended (incorporated herein by reference to Exhibit 10.12 of the Company ’ s Quarterly Report on Form 10-Q for the period ended July 31, 2024 filed September 11, 2024). 10.14 Stock Purchase Agreement dated July 7, 2025 by and between Optical Cable Corporation and Lightera, LLC (incorporated herein by reference to Exhibit 10.1 of the Company ’ s Current Report on Form 8-K filed July 10, 2025). 11.1 Statement regarding computation of per share earnings (incorporated by reference to note 9 of the Condensed Notes to Condensed Consolidated Financial Statements contained herein). 31.1 Certification of the Company’s Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. FILED HEREWITH. 31.2 Certification of the Company’s Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. FILED HEREWITH. 32.1 Certification of the Company’s Chief Executive Officer pursuant to 18 U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. FURNISHED HEREWITH. 32.2 Certification of the Company’s Chief Financial Officer pursuant to 18 U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. FURNISHED HEREWITH. 97 Optical Cable Corporation Compensation Recovery Policy, effective November 30, 2023 (incorporated herein by reference to Exhibit 97 of the Company ’ s Annual Report on Form 10-K for the period ended October 31, 2023 filed December 20, 2023). 101 The following materials from the Company’s Quarterly Report on Form 10-Q for the quarter ended July 31, 2026, formatted in iXBRL (Inline eXtensible Business Reporting Language): (i) Condensed Consolidated Balance Sheets at July 31, 2026 and October 31, 2025, (ii) Condensed Consolidated Statements of Operations for the three months and nine months ended July 31, 2026 and 2025, (iii) Condensed Consolidated Statements of Shareholders’ Equity for the three months and nine months ended July 31, 2026 and 2025, (iv) Condensed Consolidated Statements of Cash Flows for the nine months ended July 31, 2026 and 2025, and (v) Condensed Notes to Condensed Consolidated Financial Statements. FILED HEREWITH. 104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). * Management contract or compensatory plan or agreement. 37 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. OPTICAL CABLE CORPORATION (Registrant) Date: September 9, 2026 /s/ Neil D. Wilkin, Jr. Neil D. Wilkin, Jr. Chairman of the Board of Directors, President and Chief Executive Officer Date: September 9, 2026 /s/ Tracy G. Smith Tracy G. Smith Executive Vice President and Chief Financial Officer 38