CASH 2017 Annual Report

154 Plan Category Number of securities to be issued upon exercise of outstanding options, warrants and rights Weighted-average exercise price of outstanding options, warrants and rights Number of securities remaining available for future issuance under equity compensation plan excluding securities reflected in (a) Equity compensation plans approved by stockholders 75,757 $ 22.62 188,152 Equity compensation plans not approved by stockholders — $ — — Item 13. Certain Relationships and Related Transactions, and Director Independence The information required by this item will be included under the captions “Election of Directors,” “Meetings and Committees” and “Related Person Transactions” in the Company’s 2017 Proxy Statement and is incorporated herein by reference. Item 14. Principal Accountant Fees and Services The information required by this item will be included under the caption “Independent Registered Public Accounting Firm” in the Company’s 2017 Proxy Statement and is incorporated herein by reference. PART IV Item 15. Exhibits and Financial Statement Schedules The following is a list of documents filed as Part of this report: (a) Financial Statements: The following financial statements are included under Part II, Item 8 of this Annual Report on Form 10-K: 1. Report of Independent Registered Public Accounting Firm. 2. Consolidated Statements of Financial Condition as of September 30, 2017, and 2016. 3. Consolidated Statements of Operations for the Years Ended September 30, 2017, 2016, and 2015. 4. Consolidated Statements of Comprehensive Income for the Years ended September 30, 2017, 2016, and 2015. 5. Consolidated Statements of Changes in Stockholders’ Equity for the Years Ended September 30, 2017, 2016, and 2015. 6. Consolidated Statements of Cash Flows for the Years Ended September 30, 2017, 2016, and 2015. 7. Notes to Consolidated Financial Statements. (b) Exhibits: See Index to Exhibits. (c) Financial Statement Schedules: All financial statement schedules have been omitted as the information is not required under the related instructions or is inapplicable.