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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-Q/A
(Amendment No. 1)
| (X) | QUARTERLY REPORT PURSUANT TO SECTION 13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
For the quarterly period ended June 30, 2026
OR
| ( ) | TRANSITION REPORT PURSUANT TO SECTION
13 or 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
For the transition period ___________________
to _____________________.
Commission file number 1-13810
SOCKET MOBILE, INC.
(Exact name of registrant
as specified in its charter)
| Delaware |
|
94-3155066 |
| (State of incorporation) |
|
(IRS Employer Identification No.) |
40675 Encyclopedia
Circle, Fremont, CA 94538
(Address of principal
executive offices including zip code)
(510) 933-3000
(Registrant’s
telephone number, including area code)
Securities registered pursuant to Section 12(b) of
the Act:
| Title of each class |
Trading Symbol(s) |
Name of each exchange on which registered |
| Common stock, $0.001 Par Value per Share |
SCKT |
NASDAQ |
Indicate
by check mark whether the registrant (1) has filed all reports required to be filed by Section
13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was
required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. YES
[ X ] NO [ ]
Indicate by check mark whether the registrant
has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405
of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). YES
[ X ] NO [ ]
Indicate by check mark whether the registrant is
a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company.
See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,”
and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer [ ] Accelerated filer [ ] Non-accelerated filer
[X]
Smaller reporting company [X] Emerging growth company [ ]
If an emerging growth company, indicate by check
mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting
standards provided pursuant to Section 13(a) of the Exchange Act. [ ]
Indicate by check mark whether the registrant
is a shell company (as defined in Rule 12b-2 of the Exchange Act). YES [ ] NO [X]
The number of shares of Common Stock ($0.001 par
value) outstanding as of August 10, 2026 was 8,291,681 shares.
EXPLANATORY NOTE
Socket Mobile, Inc. (the "Company") is filing this
Amendment No. 1 on Form 10-Q/A (this "Form 10-Q/A") to amend its Quarterly Report on Form 10-Q for the quarterly period ended
June 30, 2026, originally filed with the U.S. Securities and Exchange Commission (the "SEC") on August 13, 2026 (the "Original
Form 10-Q").
This Form 10-Q/A is being filed solely to refile Exhibit 10.2
(Amendment to Executive Employment Agreement between the Company and David Holmes, effective June 12, 2026) to correct an inadvertent
error in the Company's signature block. As filed with the Original Form 10-Q, Exhibit 10.2 incorrectly identified former Chief Executive
Officer Kevin J. Mills as the Company's signatory. The agreement was in fact executed on behalf of the Company by William Parnell, Chair
of the Compensation Committee, pursuant to the resolutions adopted by the Board of Directors on June 12, 2026.
This Form 10-Q/A refiles Exhibit 10.2 in its entirety with the
corrected Company signature block. In accordance with Rule 12b-15 under the Securities Exchange Act of 1934, as amended (the "Exchange
Act"), new certifications of the Company's current Principal Executive Officer and Principal Financial Officer pursuant to Section
302 of the Sarbanes-Oxley Act of 2002 are filed herewith as Exhibits 31.1 and 31.2.
Because this Form 10-Q/A does not include or amend any financial
statements or other financial information, certifications pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 are not included.
Except as described above, this Form 10-Q/A does not amend,
update, or modify any other disclosures, line items, or financial data contained in the Original Form 10-Q. This Form 10-Q/A continues
to speak as of the filing date of the Original Form 10-Q (August 13, 2026) and does not reflect events occurring after that date.
PART II
Item 6. Exhibits
| |
|
|
Exhibit
Number |
Exhibit
Description |
| 10.2* |
Amendment to Executive Employment Agreement between the Company and David Holmes, effective June 12, 2026 (refiled solely to correct the Company signature block). |
| 31.1* |
Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
| 31.2* |
Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
* Filed herewith.
SIGNATURES
Pursuant to the requirements 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.
SOCKET MOBILE, INC.
Registrant
| |
|
| Date: November 3, 2026 |
/s/
David Holmes |
| |
David Holmes |
| |
President and Chief Executive Officer |
| |
(Duly Authorized Officer and Principal Executive Officer) |
| |
|
| Date: November 3, 2026 |
/s/ Lynn Zhao |
| |
Lynn Zhao |
| |
Vice President of Finance and Administration and Chief Financial Officer (Duly
Authorized Officer and Principal Financial and Accounting Officer) |
