What changed in this filing

/stocks — the workspaceLOADING

Item 9A. Controls and Procedures

2023-12-18 compared with 2022-12-19 · 29 added, 25 removed, 110 unchanged (33% of the section changed)

35 unchanged sentences

Other Information

December 16, 2022, our director Lawrence Hagenbuch notified us that he will not be standing for re-election at the 2023 annual meeting

of shareholders.

Directors, Executive Officers and Corporate Governance

15 unchanged sentences

are included in Part II, Item 8:

Report of Independent Registered Public Accounting Firm

of Independent Registered Public Accounting Firm (PCAOB ID 726 )

Consolidated Statements of Income for the years ended October 1, 2023 and October 2, 2022

7 unchanged sentences

Exhibit Index

Agreement and Plan of Reorganization, dated as of the March 30, 2009, by and between registrant, a Delaware corporation and Optex Systems, Inc., a Delaware corporation (1)

Certificate of Incorporation, as amended to date (1)

5 unchanged sentences

Third Amendment to Lease, between Aquiport DFWIP and Optex Systems, Inc., dated January 7, 2010 (7)

Restricted Stock Unit Plan (7)

Form of RSU Agreement (7)

Employment Agreement with Karen Hawkins, dated as of August 1, 2016 (8)

2 unchanged sentences

Form of Award/Contract between the Company and US DLA, dated July 3, 2017 (11)

Employment Agreement with Danny Schoening, dated December 1, 2021 (10)

Employment Agreement with Danny Schoening, dated November 28, 2022 (12)

Sixth Amendment to Lease Agreement (13)

First Amendment to Lease (13)

BBVA Business Loan Agreement (11)

BBVA Letter of Credit (13)

Amended and Restated Loan Agreement dated as of April 12, 2022 by and among Optex Systems Holdings, Inc., Optex Systems, Inc., and PNC Bank, National Association (12)

Amended and Restated Line of Credit Note dated as of November 21, 2022 by and among Optex Systems Holdings, Inc., Optex Systems, Inc.

and PNC Bank, National Association (14)

2009 Stock option Plan (4)

Optex Systems Holdings, Inc.

2023 Equity Incentive Plan (14)

of Performance Shares Agreement (Executives)

Form of Restricted Stock Agreement

Form of Incentive Stock Option Agreement

Form of Non-Qualified Stock Option Agreement

Form of Stock Appreciation Rights Agreement

Form of Restricted Stock Unit Agreement

Business Loan Agreement dated as of March 22, 2023 by and between Optex Sytems Holdings, Inc., Optex Systems, Inc., and Texas Capital Bank (including Note) (15)

Code of Ethics (16)

List of Subsidiaries — Optex Systems, Inc.

Consent of Independent Registered Public Accounting Firm – Whitley Penn

Certifications pursuant to Section 302 of Sarbanes Oxley Act of 2002

2 unchanged sentences

Certifications pursuant to Section 906 of Sarbanes Oxley Act of 2002

Clawback Policy

XBRL Instance Document

5 unchanged sentences

Page Interactive Data File (embedded within the Inline XBRL document)

by reference from our Annual Report on Form 10-K for the year ended October 3, 2021.

by reference from our Current Report on Form 8-K dated April 3, 2009.

by reference from our Amendment No.

1 to Registration Statement on Form S-1 filed on July 23, 2015.

by reference from our Annual Report on Form 10-K for the year ended October 3, 2021.

by reference from our Registration Statement on Form S-1 filed on May 19, 2009.

by reference from our Current Report on Form 8-K dated April 3, 2009.

by reference from our Amendment No.

4 to Registration Statement on Form S-1 filed on June 14, 2010.

by reference from our Current Report on Form 8-K dated April 3, 2009.

by reference from our Current Report on Form 8-K, filed on August 10, 2016.

by reference from our Amendment No.

1 to Registration Statement on Form S-1 filed on July 23, 2015.

by reference from our Current Report on Form 8-K, filed on June 17, 2016.

by reference from our Current Report on Form 8-K, filed on November 23, 2016.

by reference from our Current Report on Form 8-K, filed on July 10, 2017.

by reference from our Current Report on Form 8-K, dated December 7, 2021.

by reference from our Current Report on Form 8-K, dated April 20, 2020.

by reference from our Current Report on Form 8-K, dated April 12, 2022.

by reference from our Annual Report on Form 10-K for the year ended October 3, 2021.

by reference from our Current Report on Form 8-K, dated November 21, 2022.

by reference from our Annual Report on Form 10-K for the year ended October 3, 2021.

by reference from Annex B to our Definitive Proxy Statement on Schedule 14A, filed on January 17, 2023.

by reference from our Current Report on Form 8-K, dated March 22, 2023.

Incorporated by reference from our Registration Statement on Form S-1 filed on May 19, 2009.

Incorporated by reference from our Current Report

on Form 8-K dated April 3, 2009.

Management contracts and compensatory plans and arrangements.

Form 10-K Summary

1 unchanged sentence

on its behalf by the undersigned, thereunto duly authorized.

SYSTEMS HOLDINGS, INC.

Danny Schoening

OPTEX SYSTEMS HOLDINGS, INC.

/s/ Danny Schoening

Schoening, Principal Executive Officer and Director

December 18, 2023

Karen Hawkins

/s/ Karen Hawkins

Hawkins, Principal Financial Officer and Principal Accounting Officer

6 unchanged sentences

Financial Officer and Principal Accounting Officer

Larry Hagenbuch

Rimmy Malhotra

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-K

Item 9A. Controls and Procedures