TOMI Environmental Solutions Amends 2023 10-K Filing

TL;DR

TOMI Environmental Solutions filed an amendment to its 2023 10-K, tweaking internal controls and adding exec certs.

AI Summary

TOMI Environmental Solutions, Inc. filed an Amendment No. 1 to its Annual Report on Form 10-K for the fiscal year ended December 31, 2023. This amendment, filed on November 12, 2024, primarily modifies language within Item 9A, "Controls and Procedures," and includes new certifications from its principal executive and financial officers.

Why It Matters

This amendment clarifies internal controls and procedures, which is crucial for investor confidence and regulatory compliance.

Risk Assessment

Risk Level: low — This filing is an amendment to a previous report, primarily for procedural and disclosure adjustments, rather than a significant new event.

Key Numbers

• 2023 — Fiscal Year End (The reporting period for the amended 10-K)

Key Players & Entities

• TOMI Environmental Solutions, Inc. (company) — Filer of the 10-K/A
• December 31, 2023 (date) — Fiscal year end for the original 10-K
• April 1, 2024 (date) — Date the original 10-K was filed
• November 12, 2024 (date) — Filing date of the 10-K/A amendment
• Item 9A. Controls and Procedures (document_section) — Section being amended

FAQ

Key Financial Figures

• $0.001 — ch registered Common Stock, par value $0.001 per share TOMZ The Nasdaq Capital M

Filing Documents

• tomz_10ka.htm (10-K/A) — 70KB
• tomz_ex313.htm (EX-31.3) — 9KB
• tomz_ex314.htm (EX-31.4) — 12KB
• 0001654954-24-014186.txt ( ) — 270KB
• tomz-20231231.xsd (EX-101.SCH) — 6KB
• tomz-20231231_lab.xml (EX-101.LAB) — 21KB
• tomz-20231231_cal.xml (EX-101.CAL) — 1KB
• tomz-20231231_pre.xml (EX-101.PRE) — 13KB
• tomz-20231231_def.xml (EX-101.DEF) — 2KB
• tomz_10ka_htm.xml (XML) — 7KB

Controls and Procedures

Controls and Procedures 4 PART IV 15. Exhibits, Financial Statement Schedules 5

Signatures

Signatures 6 3 Table of Contents PART II

CONTROLS AND PROCEDURES

Item 9A. CONTROLS AND PROCEDURES Evaluation of Disclosure Controls and Procedures Our management conducted an evaluation of the effectiveness of our disclosure controls and procedures (as is defined in Rules 13a-15(e) and 15d-15(e) under the Exchange Act) as of the end of the period covered by this Annual Report on Form 10-K. Our disclosure controls and procedures are intended to ensure that the information we are required to disclose in the reports that we file or submit under the Exchange Act is (i) recorded, processed, summarized and reported within the time periods specified in the SEC's rules and forms and (ii) accumulated and communicated to our management, including the Principal Executive Officer and Principal Financial Officer, to allow timely decisions regarding required disclosures. Based on that evaluation, our Principal Executive Officer and Principal Financial Officer have concluded that our disclosure controls and procedures were effective as of December 31, 2023. Our management has concluded that the financial statements included in this Annual Report on Form 10-K present fairly, in all material respects, our financial position, results of operations and cash flows for the periods presented in conformity with generally accepted accounting principles. Our disclosure controls and procedures are designed to provide reasonable assurance of achieving the desired control objectives. Our management recognizes that any control system, no matter how well designed and operated, is based upon certain judgments and assumptions and cannot provide absolute assurance that its objectives will be met. In addition, the design of disclosure controls and procedures must reflect the fact that there are resource constraints and that management is required to apply judgment in evaluating the benefits of possible controls and procedures relative to their costs. Similarly, an evaluation of controls cannot provide absolute assurance that misstatements due to error or fr

EXHIBITS AND FINANCIAL STATEMENT SCHEDULES

Item 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES Exhibits The following Exhibits are filed as part of this Annual Report on Form 10-K/A. Exhibit Number Description of Exhibit Form File No. Date Exhibit Filed Herewith 31.3 Certification of Chief Executive Officer pursuant to Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 X 31.4 Certification of Chief Financial Officer pursuant to Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 X 101.INS XBRL Instance Document X 101.SCH XBRL Taxonomy Extension Schema X 101.CAL XBRL Taxonomy Extension Calculation Linkbase X 101.DEF XBRL Taxonomy Extension Definition Linkbase X 101.LAB XBRL Taxonomy Extension Label Linkbase X 101.PRE XBRL Taxonomy Extension Presentation Linkbase X 104 Cover Page Interactive Data File X 5 Table of Contents

SIGNATURES

SIGNATURES Pursuant 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. DATED: November 12, 2024 TOMI ENVIRONMENTAL SOLUTIONS, INC. /s/ HALDEN S. SHANE Halden S Shane Chairman of the Board and Chief Executive Officer (Principal Executive Officer) Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated. Signature Title Date /s/ HALDEN S. SHANE Chairman of the Board and Chief Executive Officer (Principal Executive Officer) November 12, 2024 Halden S. Shane /s/ JOE RZEPKA Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer) November 12, 2024 JOE RZEPKA /s/ ELISSA J. SHANE Director November 12, 2024 Elissa J. Shane /s/ WALTER C. JOHNSEN Director November 12, 2024 Walter C. Johnsen /s/ KELLY J. ANDERSON Director November 12, 2024 Kelly J. Anderson /s/ LIM BOH SOON Director November 12, 2024 Lim Boh Soon 6

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View this 10-K/A filing on SEC EDGAR