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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 12/29/15 TX Holdings, Inc. 10-K 9/30/15 69:4M Toppan Vite NY Inc./FA |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 491K
2: EX-3.2 Articles of Incorporation/Organization or Bylaws HTML 23K
3: EX-10.6 Material Contract HTML 297K
4: EX-14.1 Code of Ethics HTML 29K
5: EX-21 Subsidiaries List HTML 19K
6: EX-31 Certification -- §302 - SOA'02 HTML 24K
7: EX-31.2 Certification -- §302 - SOA'02 HTML 24K
8: EX-32.1 Certification -- §906 - SOA'02 HTML 21K
9: EX-32.2 Certification -- §906 - SOA'02 HTML 22K
16: R1 Document and Entity Information HTML 50K
17: R2 Consolidated Balance Sheets HTML 95K
18: R3 Consolidated Balance Sheets (Parentheticals) HTML 40K
19: R4 Consolidated Statements of Operations HTML 85K
20: R5 Consolidated Statements of Changes in HTML 43K
Stockholders' Deficit
21: R6 Consolidated Statements of Cash Flows HTML 98K
22: R7 Summary of Significant Accounting Policies and HTML 76K
Activities
23: R8 Property and Equipment HTML 33K
24: R9 Acquisition HTML 29K
25: R10 Income Taxes HTML 49K
26: R11 Stockholders' Deficit HTML 61K
27: R12 Legal Proceedings HTML 29K
28: R13 Related Party Transactions HTML 51K
29: R14 Non Cash Investing and Financing Activities HTML 28K
30: R15 Bank Line of Credit HTML 26K
31: R16 Concentration of Risks HTML 38K
32: R17 Subsequent Events HTML 45K
33: R18 Summary of Significant Accounting Policies and HTML 104K
Activities (Policies)
34: R19 Summary of Significant Accounting Policies and HTML 26K
Activities (Tables)
35: R20 Property and Equipment (Tables) HTML 27K
36: R21 Income Taxes (Tables) HTML 45K
37: R22 Stockholders' Equity (Tables) HTML 51K
38: R23 Related Party Transactions (Tables) HTML 28K
39: R24 Non Cash Investing and Financing Activities HTML 27K
(Tables)
40: R25 Concentration of Risks (Tables) HTML 36K
41: R26 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES AND HTML 26K
ACTIVITIES - Calculation of diluted net loss per
share (Details)
42: R27 Summary of Significant Accounting Policies and HTML 60K
Activities (Detail Textuals)
43: R28 Summary of Significant Accounting Policies and HTML 30K
Activities (Detail Textuals 1)
44: R29 Summary of Significant Accounting Policies and HTML 29K
Activities (Detail Textuals 2)
45: R30 Summary of Significant Accounting Policies and HTML 37K
Activities (Detail Textuals 3)
46: R31 PROPERTY AND EQUIPMENT - Summary of Property and HTML 29K
equipment (Details)
47: R32 Property and Equipment (Detail Textuals) HTML 38K
48: R33 INCOME TAXES - Summary of Deferred tax assets and HTML 37K
liabilities (Details)
49: R34 INCOME TAXES - Reconciliation of tax benefit at HTML 49K
federal statutory (Details 1)
50: R35 Income Taxes (Detail Textuals) HTML 27K
51: R36 Income Taxes (Detail Textuals 1) HTML 29K
52: R37 STOCKHOLDERS' DEFICIT - Award assumptions HTML 37K
(Details)
53: R38 STOCKHOLDERS' DEFICIT - Summary of outstanding HTML 48K
stock warrants (Details 1)
54: R39 STOCKHOLDERS' DEFICIT - Summary of outstanding HTML 39K
warrants (Details 2)
55: R40 Stockholders' Deficit (Detail Textuals) HTML 49K
56: R41 Stockholders' Deficit (Detail Textuals 1) HTML 37K
57: R42 Legal Proceedings (Detail Textuals) HTML 33K
58: R43 RELATED PARTY TRANSACTIONS - Summary of advances HTML 33K
from stockholder/officer (Details)
59: R44 Related Party Transactions (Detail Textuals) HTML 51K
60: R45 Related Party Transactions (Detail Textuals 1) HTML 53K
61: R46 Related Party Transactions (Detail Textuals 2) HTML 43K
62: R47 NON CASH INVESTING AND FINANCING ACTIVITIES - HTML 24K
Summary of analysis of non-cash investing and
financing activities (Details)
63: R48 Bank Line of Credit (Detail Textuals) HTML 31K
64: R49 CONCENTRATION OF RISKS - Summary of customer HTML 46K
concentration (Details)
65: R50 Concentration of Risks (Detail Textuals) HTML 22K
66: R51 Subsequent Events (Details) HTML 44K
68: XML IDEA XML File -- Filing Summary XML 115K
67: EXCEL IDEA Workbook of Financial Reports XLSX 62K
10: EX-101.INS XBRL Instance -- txhg-20150930 XML 837K
12: EX-101.CAL XBRL Calculations -- txhg-20150930_cal XML 120K
13: EX-101.DEF XBRL Definitions -- txhg-20150930_def XML 366K
14: EX-101.LAB XBRL Labels -- txhg-20150930_lab XML 938K
15: EX-101.PRE XBRL Presentations -- txhg-20150930_pre XML 646K
11: EX-101.SCH XBRL Schema -- txhg-20150930 XSD 151K
69: ZIP XBRL Zipped Folder -- 0001571049-15-010367-xbrl Zip 99K
Exhibit 14.1
TX HOLDINGS, INC.
AMENDED AND RESTATED
CODE OF ETHICS FOR CHIEF EXECUTIVE OFFICER AND
SENIOR FINANCIAL OFFICERS
The Board of Directors of TX Holdings, Inc. (the “Company”), has adopted the following Amended and Restated Code of Ethics (the “Code”) to apply to the Company’s Chief Executive Officer, Chief Financial Officer, principal accounting officer or controller, and persons performing similar functions (collectively, “Senior Financial Officers”).
This Code is intended to focus Senior Financial Officers on areas of ethical risk, provide guidance to help them recognize and deal with ethical issues, provide a mechanism to report unethical conduct, foster a culture of honesty and accountability, deter wrongdoing and promote fair and accurate disclosure and financial reporting, deal with conflicts of interest, and compliance with law.
The Senior Financial Officers each owe a duty to the Company to adhere to a high standard of ethical conduct.
This Code is intended to serve as a source of guiding principles. Senior Financial Officers are encouraged to raise questions about particular circumstances that may involve one or more provisions of this Code to the attention of the Audit Committee (or in the absence thereof, to the independent directors on the Company’s Board of Directors), who may consult with legal counsel.
| 1. | The Senior Financial Officers are responsible for full, fair, accurate, timely and understandable disclosure in the periodic reports and other filings made by the Company with the Securities and Exchange Commission (“SEC”). The Senior Financial Officers are required to familiarize themselves with disclosure requirements applicable to the Company as well as the business and financial operations of the Company. In the performance of their duties, the Senior Financial Officers are prohibited from knowingly misrepresenting facts. |
| 2. | It is the Company’s policy to comply with all applicable laws, rules and regulations relating to its business and operations. It is the responsibility of the Senior Financial Officers to adhere to the standards and restrictions imposed by such laws, rules and regulations. |
| 3. | The Senior Financial Officers shall encourage open communication and full disclosure of financial information by providing well understood processes under which management is kept informed of financial information of importance, including any departures from sound policy, practice or accounting norms. However, such officers should refrain from disclosing confidential information acquired in the course of their work except where authorized, unless legally obligated to do so. They should also refrain from using confidential information acquired in the course of their work for unethical or illegal advantage, either personally or through others. |
| 4. | The Senior Financial Officers, among other things, have a supervisory role over the preparation of financial disclosure to be included in the Company’s periodic reports to be filed with the SEC. |
| 5. | It is the responsibility of the Senior Financial Officers to bring to the attention of the Board of Directors (“Board”) and the Audit Committee (or in the absence thereof, to the independent directors on the Board) any material information of which he or she may become aware that affects the disclosures made by the Company in its filings with the SEC or otherwise assist the Board and Audit Committee (or in the absence thereof, the independent members of the Board) in fulfilling their responsibilities. |
C:
| 6. | The Senior Financial Officers shall promptly bring to the attention of the Board and the Audit Committee (or in the absence thereof, the independent directors on the Board) any information he or she may have concerning (a) a significant deficiency in the design or operation of internal controls which could adversely affect the Company’s ability to record, process, summarize and report financial data or (b) any fraud, whether or not material, that involves management or other employees who have a significant role in the Company’s financial reporting, disclosures or internal controls. |
| 7. | The Senior Financial Officers shall promptly bring to the attention of the CEO or Audit Committee (or in the absence thereof, the independent directors on the Board) any information he or she may have concerning any violation of these procedures, including any actual or apparent conflict of interest between personal and professional relationships, involving any management or other employee who has a significant role in the Company’s financial reporting, disclosures or internal controls. |
| 8. | The Senior Financial Officers shall promptly bring to the attention of the CEO or Audit Committee (or in the absence thereof, to the independent directors on the Board) any information he or she may have concerning evidence of a violation of the securities or other laws, rules or regulations applicable to the Company and the operations of its business, by the Company or any agent thereof, or of violation of these procedures. |
| 9. | The Board shall determine, or designate an appropriate person to determine, appropriate actions to be taken in the event of violations of these procedures by the Senior Financial Officers. Such actions shall be reasonably designed to deter wrongdoing and to promote accountability for adherence to these procedures, and shall include written notices to the individual involved that the Board has determined there has been a violation, censure of the Board, demotion or re-assignment of the individual, suspension with or without pay or benefits (as determined by the Board) and termination of the individual’s employment. In determining what action is appropriate in a particular case, the Board or such designee shall take into account all relevant information, including the nature and severity of the violation, whether the violation was a single occurrence or repeated occurrences, whether the violation appears to have been intentional or inadvertent, whether the individual in question had been advised prior to the violation as to the proper course of action or whether or not the individual in question had committed other violations in the past. |
Approved by the Board of Directors,
C:
| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 12/29/15 | 8-K | ||
| For Period end: | 9/30/15 | 10-K/A | ||
| 2/21/14 | ||||
| List all Filings | ||||