{"url_path":"/sec/alot/10-k/2026/item-15","section_key":"item-15","section_title":"Item 15 Exhibits and Financial Statement Schedule","topic":"sec","document":{"doc_type":"10-K/A","doc_date":"2026-06-01","source_url":"https://www.sec.gov/Archives/edgar/data/8146/0001193125-26-251606-index.html","accession_number":"0001193125-26-251606","cik":"0000008146","ticker":"ALOT","issuer_name":"AstroNova, Inc.","edgar_url":"https://www.sec.gov/Archives/edgar/data/8146/0001193125-26-251606-index.html","primary_entity_key":"0000008146","primary_entity_name":"AstroNova, Inc."},"word_count":2700,"has_tables":true,"body_markdown":"Item 15. Exhibits and Financial Statement Schedule\n\n(a)(1) Financial Statements and Schedules: The financial statements required by Item 15(a)(1) are filed in Item 8 of our Original Filing.\n\n(a)(2) Financial Schedules: The financial statement schedules required by Item 15(a)(2) are omitted because they are not applicable, not required or the required information is included in the financial statements or notes thereto as filed in Item 8 of our Original Filing.\n\n(a)(3) Exhibits:\n\n \n\nExhibit\n\nNumber\n\n \n \n\n  (2.1)\n \n[Share Purchase Agreement, dated May 4, 2024, by and among AstroNova Portugal, Unipessoal, Lda., as Purchaser, AstroNova, Inc., as First Guarantor, Effort Premier Solutions Lda., as Seller, and Elói Serafim Alves Ferreira, as Guarantor filed as Exhibit 2.1 to the Company’s Current Report on Form 8-K, event date May 4, 2024, filed with the SEC on May 9, 2024 and incorporated by reference herein*](http://www.sec.gov/Archives/edgar/data/8146/000119312524134802/d836386dex21.htm)\n\n  (3.1)\n \n[Restated Articles of Incorporation of the Company and all amendments thereto filed as Exhibit 3A to our Quarterly Report on Form 10-Q for the quarter ended April 30, 2016 and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312516613905/d171895dex3a.htm)\n\n  (3.2)\n \n[By-laws of the Company as amended to date filed as Exhibit 3B to our Annual Report on Form 10-K for the fiscal year ended January 31, 2008 (File No. 000-13200) and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312508124748/dex3b.htm)\n\n  (4.1)\n \n[Specimen form of common stock certificate of the Company filed as Exhibit 4 to our Quarterly Report on Form 10-Q for the quarter ended April 30, 2016 and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312516613905/d171895dex41.htm)\n\n  (4.2)\n \n[Description of securities registered pursuant to Section 12 of the Exchange Act filed as Exhibit 4.2 to our Annual Report on Form 10-K for the fiscal year ended January 31, 2020 (File No. 000-13200) and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312520103834/d816550dex42.htm)\n\n (10.1)\n \n[Astro-Med, Inc. 2007 Equity Incentive Plan as filed as Appendix A to the Definitive Proxy Statement filed on April 25, 2007 on Schedule 14A (File No. 000-13200) for the 2007 annual shareholders meeting and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312507089841/ddef14a.htm)\n\n \n\n33\n\n##### Table of Contents\n\nExhibit\n\nNumber\n\n \n \n\n (10.2)\n \n[AstroNova Inc. 2015 Equity Incentive Plan filed as Exhibit A to the Definitive Proxy Statement filed on April 21, 2015 (File No. 000-13200) for the 2015 annual shareholders meeting and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312515138485/d874878ddef14a.htm)\n\n (10.3)\n \n[Form of Incentive Stock Option Agreement granted under the 2015 Equity Incentive Plan filed as Exhibit 10.3 to the Company’s Quarterly Report on Form 10-Q for the period ended July 30, 2016 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312516708330/d218619dex103.htm)\n\n (10.4)\n \n[Form of Non-Statutory Stock Option Agreement granted under the 2015 Equity Incentive Plan filed as Exhibit 10.4 to the Company’s Quarterly Report on Form 10-Q for the period ended July 30, 2016 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312516708330/d218619dex104.htm)\n\n (10.5)\n \n[Form of Non-Employee Director Non-Statutory Stock Option Agreement granted under the 2015 Equity Incentive Plan filed as Exhibit 10.5 to the Company’s Quarterly Report on Form 10-Q for the period ended July 30, 2016 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312516708330/d218619dex105.htm)\n\n (10.6)\n \n[Form of Restricted Stock Agreement granted under the 2015 Equity Incentive Plan filed as Exhibit 10.6 to the Company’s Quarterly Report on Form 10-Q for the period ended July 30, 2016 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312516708330/d218619dex106.htm)\n\n (10.7)\n \n[Form of Non-Employee Director Restricted Stock Agreement granted under the 2015 Equity Incentive Plan filed as Exhibit 10.7 to the Company’s Quarterly Report on Form 10-Q for the period ended July 30, 2016 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312516708330/d218619dex107.htm)\n\n (10.8)\n \n[Form of Time-Based Restricted Stock Unit Agreement granted under the 2015 Equity Incentive Plan filed as Exhibit 10.8 to the Company’s Quarterly Report on Form 10-Q for the period ended July 30, 2016 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312516708330/d218619dex108.htm)\n\n (10.9)\n \n[Form of Performance Restricted Stock Unit Agreement granted under the 2015 Equity Incentive Plan filed as Exhibit 10.9 to the Company’s Quarterly Report on Form 10-Q for the period ended July 30, 2016 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312516708330/d218619dex109.htm)\n\n(10.10)\n \n[Asset Purchase and License Agreement, dated September 28, 2017, by and between AstroNova, Inc. and Honeywell International, Inc. filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K, event date September 28, 2017, filed with the SEC on October 4, 2017 and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312517303507/d443813dex101.htm)\n\n(10.11)\n \n[Form of Performance-based Restricted Stock Unit Award Agreement filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K, event date June 4, 2018, filed with the SEC on June 4, 2018 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312518182806/d597940dex101.htm)\n\n(10.12)\n \n[Form of Restricted Stock Unit Agreement (time-based vesting) filed as Exhibit 10.2 to the Company’s Current Report on Form 8-K, event date June 4, 2018, filed with the SEC on June 4, 2018 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312518182806/d597940dex102.htm)\n\n(10.13)\n \n[Form of Incentive Stock Option filed as Exhibit 10.3 to the Company’s Current Report on Form 8-K, event date June 4, 2018, filed with the SEC on June 4, 2018 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312518182806/d597940dex103.htm)\n\n \n\n34\n\n##### Table of Contents\n\nExhibit\n\nNumber\n\n \n \n\n (10.14)\n \n[Form of Non-statutory Stock Option filed as Exhibit 10.4 to the Company’s Current Report on Form 8-K, event date June 4, 2018, filed with the SEC on June 4, 2018 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312518182806/d597940dex104.htm)\n\n (10.15)\n \n[Form of Non-statutory Stock Option (Non-employee Director) filed as Exhibit 10.5 to the Company’s Current Report on Form 8-K, event date June 4, 2018, filed with the SEC on June 4, 2018 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312518182806/d597940dex105.htm)\n\n (10.16)\n \n[Form of Restricted Stock Agreement filed as Exhibit 10.6 to the Company’s Current Report on Form 8-K, event date June 4, 2018, filed with the SEC on June 4, 2018 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312518182806/d597940dex106.htm)\n\n (10.17)\n \n[Form of Non-employee Director Restricted Stock Agreement filed as Exhibit 10.7 to the Company’s Current Report on Form 8-K, event date June 4, 2018, filed with the SEC on June 4, 2018 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312518182806/d597940dex107.htm)\n\n (10.18)\n \n[AstroNova, Inc. Amended and Restated Non-Employee Director Annual Compensation Program filed as Exhibit 10.19 to the Company’s Annual Report on Form 10-K for the year ended January 31, 2025, filed with the SEC on April 15, 2025 and incorporated by reference herein. **](http://www.sec.gov/Archives/edgar/data/8146/000095017025054163/alot-ex10_19.htm)\n\n (10.19)\n \n[AstroNova, Inc. 2018 Equity Incentive Plan Non-Employee Director Restricted Stock Agreement filed as Exhibit 10.41 to the Company’s Annual Report on Form 10-K for the fiscal year ended January 31, 2019 and incorporated by reference herein.*](http://www.sec.gov/Archives/edgar/data/8146/000119312519102788/d662203dex1041.htm)\n\n (10.20)\n \n[AstroNova, Inc. 2018 Equity Incentive Plan, as amended, filed as Appendix A to the Company’s Definitive Proxy Statement filed with the SEC on May 25, 2019 on Schedule 14A and incorporated by reference herein.*](http://www.sec.gov/Archives/edgar/data/8146/000119312519118219/d664700ddef14a.htm)\n\n (10.21)\n \n[Amended and Restated Credit Agreement dated as of July 30, 2020 among AstroNova, Inc., ANI ApS, TrojanLabel ApS, and Bank of America, N.A. filed as Exhibit 10.4 to the Company’s Quarterly Report on Form 10-Q for the quarter ended August 1, 2020 and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312520242198/d97585dex104.htm)\n\n (10.22)\n \n[Amended and Restated Security and Pledge Agreement dated as of July 30, 2020 among AstroNova, Inc. and Bank of America, N.A., filed as Exhibit 10.2 to the Company’s Current Report on Form 8-K, event date July 30, 2020, filed with the SEC on August 5, 2020 and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312520210639/d29798dex102.htm)\n\n (10.23)\n \n[Open-End Mortgage Deed to Secure Present and Future Loans under Chapter 25 of Title 34 of the Rhode Island General Laws, Assignment of Leases and Rents, Security Agreement and Fixture Filing dated as of July 30, 2020 among AstroNova, Inc. and Bank of America, N.A., filed as Exhibit 10.3 to the Company’s Current Report on Form 8-K, event date July 30, 2020, filed with the SEC on August 5, 2020 and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312520210639/d29798dex103.htm)\n\n (10.24)\n \n[First Amendment to Credit Agreement dated as of March 24, 2021 among AstroNova, Inc. ANI ApS, TrojanLabel ApS and Bank of America, N.A., filed as Exhibit 10.34 to the Company’s Annual Report on Form 10-K for the period ended January 31, 2021, and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312521114283/d56468dex1034.htm)\n\n (10.25)\n \n[First Amendment to Open-End Mortgage Deed to Secure Present and Future Loans under Chapter 25 of Title 34 of the Rhode Island General Laws, Assignment of Leases and Rents, Security Agreement and Fixture Filing dated as of March 24, 2021 among AstroNova, Inc. and Bank of America, N.A., filed as Exhibit 10.35 to the Company’s Annual Report on Form 10-K for the period ended January 31, 2021, and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312521114283/d56468dex1035.htm)\n\n \n\n35\n\n##### Table of Contents\n\nExhibit\n\nNumber\n\n \n \n\n (10.26)\n \n[Form of Indemnification Agreement for directors and officers, filed as Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q for the period ended October 30, 2021, and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312521352218/d236000dex101.htm)\n\n (10.27)\n \n[LIBOR Transition Amendment dated as of December 14, 2021 among AstroNova, Inc. and Bank of America, N.A., filed as Exhibit 10.33 to the Company’s Annual Report on Form 10-K for the period ended January 31, 2022, and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312522108120/d234033dex1033.htm)\n\n (10.28)\n \n[AstroNova, Inc. 2022 Employee Stock Purchase Plan, filed as Annex A to the AstroNova, Inc. Definitive Proxy Statement on Schedule 14A filed with the SEC on April 29, 2022 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312522131320/d226783ddef14a.htm)\n\n (10.29)\n \n[Transitional Management Agreement dated May 4, 2024, by and between AstroNova Portugal, Unipessoal, Lda., Effort Premier Solutions Lda., Elói Serafim Alves Ferreira, and MTEX New Solutions, S.A., filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K, event date May 4, 2024, filed with the SEC on May 9, 2024 and incorporated by reference herein](http://www.sec.gov/Archives/edgar/data/8146/000119312524134802/d836386dex101.htm)*\n\n (10.30)\n \n[Third Amendment to Amended and Restated Credit Agreement dated as of May 6, 2024 among AstroNova, Inc., Astro Machine Corporation and Bank of America, N.A., filed as Exhibit 10.2 to the Company’s Current Report on Form 8-K, event date May 4, 2024, filed with the SEC on May 9, 2024 and incorporated by reference herein*](http://www.sec.gov/Archives/edgar/data/8146/000119312524134802/d836386dex102.htm)\n\n (10.31)\n \n[Offer Letter dated May 31, 2024 between the Company and Thomas DeByle, filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K, event date June 17, 2024, filed with the SEC on June 20, 2024 and incorporated by reference herein](http://www.sec.gov/Archives/edgar/data/8146/000119312524164033/d821862dex101.htm).**\n\n (10.32)\n \n[Separation Agreement dated June 25, 2024 between the Company and David S. Smith, filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K, event date June 25, 2024, filed with the SEC on June 27, 2024 and incorporated by reference herein](http://www.sec.gov/Archives/edgar/data/8146/000119312524170550/d851706dex101.htm).**\n\n (10.33)\n \n[Amendment dated August 5, 2024 to Separation Agreement between the Company and David S. Smith, filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K, event dated August 5, 2024, filed with the SEC on August 8, 2024 and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312524197022/d527161dex101.htm)**\n\n (10.34)\n \n[Fourth Amendment to Amended and Restated Credit Agreement dated as of March 20, 2025 among AstroNova, Inc., Astro Machine Corporation and Bank of America, N.A., filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K, event date March 20, 2025, filed with the SEC on March 21, 2025 and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312525060225/d888857dex101.htm)\n\n (10.35)\n \n[Separation & Consulting Agreement and General Release dated March 24, 2025, between the Company and Stephen Petrarca, filed as Exhibit 10.2 to the Company’s Quarterly Report on Form 10-Q for the period ended April 30, 2025, filed with the SEC on June 6, 2025 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000095017025083139/alot-ex10_2.htm)\n\n (10.36)\n \n[Form of Stock-Settled Performance Award Agreement, filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K, event date June 12, 2025, filed with the SEC on June 12, 2025 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312525140034/d25795dex101.htm)\n\n (10.37)\n \n[Separation Agreement dated July 16, 2025 between the Company and Gregory A. Woods, filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K, event date July 16, 2025, filed with the SEC on July 21, 2025 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312525161494/d160672dex101.htm)\n\n (10.38)\n \n[Letter Agreement dated July 23, 2025 between the Company and Darius G. Nevin, filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K, event date July 23, 2025, filed with the SEC on July 29, 2025 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312525168025/d69077dex101.htm)\n\n (10.39)\n \n[Fifth Amendment to Amended and Restated Credit Agreement and Waiver Agreement dated as of September 8, 2025 among AstroNova, Inc., Astro Machine Corporation and Bank of America, N.A. filed as Exhibit 10.4 to the Company’s Quarterly Report on Form 10-Q for the period ended July 31, 2025, filed with the SEC on September 9, 2025 and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312525199051/alot-ex10_4.htm)\n\n \n\n36\n\n##### Table of Contents\n\nExhibit\n\nNumber\n\n \n \n\n (10.40)\n \n[Letter Agreement dated August 2, 2025 between the Company and Jorik Ittmann, filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K, event date July 31, 2025, filed with the SEC on August 4, 2025 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312525172259/d945777dex101.htm)\n\n (10.41)\n \n[Letter Agreement dated August 2, 2025 between the Company and Thomas DeByle, filed as Exhibit 10.2 to the Company’s Current Report on Form 8-K, event date July 31, 2025, filed with the SEC on August 4, 2025 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312525172259/d945777dex102.htm)\n\n (10.42)\n \n[Letter Agreement dated August 2, 2025 between the Company and Tom Carll, filed as Exhibit 10.3 to the Company’s Current Report on Form 8-K, event date July 31, 2025, filed with the SEC on August 4, 2025 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312525172259/d945777dex103.htm)\n\n (10.43)\n \n[Letter Agreement dated August 2, 2025 between the Company and Michael Natalizia, filed as Exhibit 10.4 to the Company’s Current Report on Form 8-K, event date July 31, 2025, filed with the SEC on August 4, 2025 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312525172259/d945777dex104.htm)\n\n (10.44)\n \n[Cooperation Agreement dated August 21, 2025 by and among the Company, Samir Patel and Askeladden Capital Management LLC, filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K, event date August 21, 2025, filed with the SEC on August 21, 2025 and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000119312525184678/d81040dex101.htm)\n\n (10.45)\n \n[Sixth Amendment to Amended and Restated Credit Agreement and Waiver Agreement dated as of October 31, 2025 among AstroNova, Inc., Astro Machine Corporation and Bank of America, N.A., filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K, event date October 31, 2025, filed with the SEC on November 6, 2025 and incorporated by reference herein](http://www.sec.gov/Archives/edgar/data/8146/000119312525269982/d32176dex101.htm)\n\n (10.46)\n \n[Amendment to Employment Contract dated August 11, 2025 between the Company and Padraig Finn, filed as Exhibit 10.7 to the Company’s Quarterly Report on Form 10-Q for the period ended October 31, 2025, filed with the SEC on December 10, 2025 and incorporated by reference herein.**](http://www.sec.gov/Archives/edgar/data/8146/000119312525314060/alot-ex10_7.htm)\n\n (19)\n \n[Statement of Policy Regarding Transaction in Securities of AstroNova, Inc. filed as Exhibit 19 to the Company’s Annual Report on Form 10-K for the period ended January 31, 2025, filed with the SEC on April 14, 2025 and incorporated by reference herein.](http://www.sec.gov/Archives/edgar/data/8146/000095017025054163/alot-ex19.htm)\n\n (21)\n \nList of Subsidiaries of the Company\n\n (23.1)\n \nConsent of Wolf & Company, P.C.\n\n (31.1)\n \nCertification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.\n\n (31.2)\n \nCertification of Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.\n\n (31.3)†\n \n[Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.](d154617dex313.htm)\n\n (31.4) †\n \n[Certification of Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.](d154617dex314.htm)\n\n (32.1)\n \nCertification of Chief Executive Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002\n\n (32.2)\n \nCertification of Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002\n\n (97)\n \n[AstroNova, Inc. Compensation Recovery Policy filed as Exhibit 97 to the Company’s Annual Report on Form 10-K for the period ended January 31, 2024, and incorporated by reference herein](http://www.sec.gov/Archives/edgar/data/8146/000095017024043875/alot-ex97.htm).\n\n(101.INS)\n \nXBRL Instance Document—the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document\n\n \n\n37\n\n##### Table of Contents\n\nExhibit\n\nNumber\n\n  \n \n\n(101.SCH)\n  \nInline XBRL Taxonomy Extension Schema Document\n\n(104)\n  \nCover Page Interactive Data File (embedded within the Inline XBRL document).\n\n \n\n*\n\nSchedules to this Exhibit have been omitted in reliance on Item 601(b)(2) of Regulation S-K. The Company will furnish copies of any such schedules to the SEC upon request.\n\n**\n\nManagement contract or compensatory plan or arrangement.\n\n†\n\nFiled herewith\n\n \n\n38\n\n##### Table of Contents\n\nSIGNATURES\n\nPursuant to the requirements of Section 13 or 15(d) 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.\n\n \n\n \n\n \n\nASTRONOVA, INC.\n\n(Registrant)\n\nDate: June 1, 2026\n \n\n \nBy:\n \n\n/s/ Jorik E. Ittmann\n\n \n\n \n\n \n(Jorik E. Ittmann, Chief Executive Officer and President)"}