EXP World Holdings Inc
For the period ended Dec 31, 2023. Filed Feb 22, 2024.
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FY2023 · Filed Feb 22, 2024
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Item 15. Exhibits and Financial Statement Schedules
| Item 15. | EXHIBITS AND FINANCIAL STATEMENT SCHEDULES |
|---|
(a)(1) Financial Statements. See Consolidated Financial Statements in Part II, Item 8.
(a)(2) Financial Statements Schedule. All other schedules have been omitted because they are inapplicable, not required or because the information is presented in the Consolidated Financial Statements or notes thereto.
(a)(3) Exhibits. The exhibits listed in the Exhibit Index immediately below are filed as part of this Annual Report or are incorporated herein by reference.
EXHIBITS
| | | Incorporated by Reference |
|---|
| | | | | | | | | |
|---|---|---|---|---|---|---|---|---|
| Exhibit Number | | Exhibit Description | | Form | | Exhibit | | Filing Date/Period End Date |
| 3.1 | | Restated Certificate of Incorporation, effective February 21, 2023 | | 10-K | | 3.1 | | 2/28/2023 |
| 3.2 | | Restated Bylaws, effective January 13, 2022 | | 10-K | | 3.2 | | 2/28/2023 |
| 4.1* | | Description of Securities | | NA | | NA | | NA |
| 10.1† | | 2015 Equity Incentive Plan of eXp World Holdings, Inc. (fka eXp Realty International Corporation) | | 14C | | NA | | 4/2/2015 |
| 10.2† | | First Amendment to 2015 Equity Incentive Plan of eXp World Holdings, Inc. | | 14C | | NA | | 10/6/2017 |
| 10.3† | | Second Amendment to 2015 Equity Incentive Plan of eXp World Holdings, Inc. | | 14C | | NA | | 12/15/2019 |
| 10.4 | | eXp World Holdings, Inc. Stock Repurchase Program | | 8-K | | NA | | 12/27/2018 |
| 10.5 | | First Amendment to eXp World Holdings, Inc Stock Repurchase Program | | 8-K | | NA | | 11/27/2019 |
| 10.6 | | Second Amendment to eXp World Holdings, Inc. Stock Repurchase Program | | 10-K | | 10.8 | | 3/11/2021 |
| 10.7 | | Third Amendment to eXp World Holdings, Inc. Stock Repurchase Program | | 8-K | | NA | | 5/4/2022 |
| 10.8 | | Fourth Amendment to eXp World Holdings, Inc. Stock Repurchase Program | | 8-K | | NA | | 5/22/2023 |
| 10.9 | | Issuer Repurchase Plan, dated January 10, 2022, by and between eXp World Holdings, Inc. and Stephens Inc. (“Stock Repurchase Plan”) | | 8-K | | 10.3 | | 5/4/2022 |
| 10.10 | | First Amendment to eXp World Holdings, Inc. Stock Repurchase Plan | | 8-K | | 10.4 | | 5/4/2022 |
| 10.11 | | Second Amendment to eXp World Holdings, Inc. Stock Repurchase Plan | | 8-K | | 10.5 | | 9/29/2022 |
| 10.12 | | Third Amendment to eXp World Holdings, Inc. Stock Repurchase Plan | | 8-K | | 10.10 | | 12/27/2022 |
| 10.13 | | Fourth Amendment to eXp World Holdings, Inc. Stock Repurchase Plan | | 8-K | | 10.1 | | 5/12/2023 |
| 10.14 | | Fifth Amendment to eXp World Holdings, Inc. Stock Repurchase Plan | | 8-K | | 10.1 | | 6/26/2023 |
| 10.15 | | Sixth Amendment to eXp World Holdings, Inc. Stock Repurchase Plan | | 8-K | | 10.1 | | 11/17/2023 |
| 10.16 | | U.S. Form of Independent Contractor Agreement | | NA | | NA | | NA |
| 10.17 | | U.S. Form of Policies & Procedures | | NA | | NA | | NA |
| 10.18† | | U.S. Form of 2015 Agent Equity Program Participation Election Form | | NA | | NA | | NA |
| 14.1* | | Code of Business Conduct and Ethics | | NA | | NA | | NA |
| 21.1* | | Subsidiaries of the Registrant | | NA | | NA | | NA |
| 23.1 | | Consent of Deloitte & Touche LLP, Independent Registered Public Accounting Firm*** | | NA | | NA | | NA |
| 24.1* | | Power of Attorney (included on signature page hereto) | | NA | | NA | | NA |
| 31.1* | | Certification of the Chief Executive pursuant to Rule 13a‑14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | | NA | | NA | | NA |
|---|---|---|---|---|---|---|---|---|
| 31.2* | | Certification of the Chief Financial Officer pursuant to Rule 13a‑14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | | NA | | NA | | NA |
| 32.1** | | Certification of the Chief Executive Officer pursuant to 18 U.S.C. 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | | NA | | NA | | NA |
| 32.2** | | Certification of the Chief Financial Officer pursuant to 18 U.S.C. 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | | NA | | NA | | NA |
| 97* | | Policy Relating to Recovery of Erroneously Awarded Compensation | | NA | | NA | | NA |
| 101.INS* | | Inline XBRL Instance Document | | NA | | NA | | NA |
| 101.SCH* | | Inline XBRL Taxonomy Extension Schema Document | | NA | | NA | | NA |
| 101.CAL* | | Inline XBRL Taxonomy Extension Calculation Linkbase Document | | NA | | NA | | NA |
| 101.DEF* | | Inline XBRL Taxonomy Extension Definition Linkbase Document | | NA | | NA | | NA |
| 101.LAB* | | Inline XBRL Taxonomy Extension Label Linkbase Document | | NA | | NA | | NA |
| 101.PRE* | | Inline XBRL Taxonomy Extension Presentation Linkbase Document | | NA | | NA | | NA |
| 104* | | Cover Page Interactive Data File (embedded within the inline XBRL document) | | NA | | NA | | NA |
*Filed herewith
**Furnished herewith and not “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended.
† Management contract or compensatory plan or arrangement
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