Company: IIIV
Filing Date: 2025-01-10
Form Type: DEF 14A
Source: 0001728688-25-000006
Chunk: 47

Company: i3 Verticals, Inc.
Filing Date: 2025-01-10
Form: DEF 14A
Chunk 47
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 consistent with Nasdaq listing standards and includes accounting restatements to correct an error in previously issued financial statements that is material to previously issued financial statements (“Big R” restatements), as well as restatements that would result in a material misstatement if the errors were corrected in the current period or left uncorrected in the current period (“Little r” restatements). The Recoupment Policy does not provide for enforcement discretion by the Compensation Committee (subject to the impracticability exceptions referenced above), and requires recovery regardless of whether a covered person has engaged in any misconduct or is at fault. The Recoupment Policy is overseen and administered by the Compensation Committee. The full text of the Recoupment Policy was included as Exhibit 97 to our annual report on Form 10-K for the fiscal year ended September 30, 2024, filed with the SEC on November 25, 2024. These remedies would be in addition to, and not in lieu of, any penalties imposed by law enforcement agencies, regulators or other authorities, such as pursuant to Section 304 of the Sarbanes-Oxley Act.

#### Insider Trading Policy
The Board has adoptedan Insider Trading Policy (the “Insider Trading Policy”) governing transactions in our securities by our directors, officers and employees, as well as by the Company itself, that the Company believes are reasonably designed to promote compliance with insider trading laws, rules, and regulations, and Nasdaq listing standards. Our Insider Trading Policy was filed as Exhibit 19.1 to the Company’s annual report on Form 10-K for the year ended September 30, 2024, filed with the SEC on November 25, 2024.

#### Anti-Hedging Policy
The Insider Trading Policy prohibits Company personnel from engaging in any transaction in which they may profit from short-term speculative swings in the value of Company shares, including short sales of Company securities and using “put” or “call” options or similar products. A “short sale” is defined by the Insider Trading Policy as selling borrowed securities that the seller hopes can be purchased at a lower price in the future. The Insider Trading Policy also prohibits directors, Section 16 officers and certain other Company personnel designated by our General Counsel from engaging in hedging or monetization transactions, such as prepaid variable forwards, equity swaps, collars and exchange funds. In addition, while not prohibited, the Insider Trading Policy discourages Company personnel from placing standing or limit orders on Company securities.

Compensation Policies and Practices as