Company: TOMZ
Filing Date: 2025-09-30
Form Type: DEF 14A
Source: 0001654954-25-011258
Chunk: 38

Company: TOMI Environmental Solutions, Inc.
Filing Date: 2025-09-30
Form: DEF 14A
Chunk 38
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 rules promulgated by the SEC. Currently, this review and approval requirement applies to any transaction to which we will be a party, in which the amount involved exceeds the lesser of $120,000 or one percent of the average of our total assets at year-end for the last two completed fiscal years, and in which any of the following persons will have a direct or indirect material interest: (a) any of our directors or executive officers; (b) any director nominee; (c) any security holder who is known to us to own, of record or beneficially, five percent or greater of any class of our voting securities; or (d) any member of the immediate family (as defined in Item 404 of Regulation S-K) of any of the persons described in the foregoing clauses (a)-(c).

In the event that management becomes aware of any related party transaction, management will present information regarding such transaction to the Audit Committee for review and approval. In addition, the Audit Committee periodically reviews and considers with management the disclosure requirements relating to transactions with related persons and the potential existence of any such transaction.

Certain Relationships

Elissa J. Shane is our Chief Operating Officer and a director. She is the daughter of Dr. Halden S. Shane, our Chief Executive Officer and Chairman of the Board.

Transactions with Related Persons

None.

<div align='center'>EQUITY COMPENSATION PLAN INFORMATION</div>

We currently maintain one compensation plan: the 2016 Equity Incentive Plan (the “2016 Plan”). The 2016 Plan was approved by the Board on January 29, 2016 and received shareholder approval on July 7, 2017. The 2016 Plan authorized the issuance of 625,000 shares of common stock. On August 25, 2015, the Board terminated the 2008 Plan, which we had maintained previously and which our shareholders had approved. Accordingly, we will issue future awards under the 2016 Plan.

On December 30, 2020, we received shareholder approval to amend and restate the 2016 Plan to increase the maximum number of shares of common stock authorized from issuance by 1,375,000, from 625,000 shares to 2,000,000.

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The following table provides information as of December 31, 2024 with respect to compensation plans under which our equity securities are authorized for issuance.

| Plan Category                                              |     | Number of securities to be issued upon exercise of outstanding