Name and Address of Beneficial Owner | | | Amount and Nature of Beneficial Ownership | | | Percent of Class | | |||||||
BlackRock, Inc. | | | | | | | | | | 15.0% | | | ||
Street | | | | |||||||||||
New York, NY | | | | |||||||||||
Renaissance Technologies LLC | | | | | | | | | | | | |||
800 Third Avenue | | | | |||||||||||
New York, NY 10022 | | | | |||||||||||
The Vanguard Group, Inc. | | | | | ||||||||||
| | | | | 6.2% | | | |||||||
100 Vanguard Boulevard | | | | |||||||||||
Malvern, PA 19355 | | | | |||||||||||
Brian E. Shore | | | | | | | | | | 5.8% | | | ||
| | | ||||||||||||
| | | ||||||||||||
Westbury, NY 11590 | | | |
Name of Beneficial Owner | | | Amount and Nature of Beneficial Ownership | | | Percent of Class | | ||||||
Dale Blanchfield | | | | | | | | | | * | | | |
Emily J. Groehl | | | | | | | | | | * | | | |
Yvonne Julian | | | | | 2,250(c) | | | | | | * | | |
Brian E. Shore | | | | | | | | | | 5.8% | | | |
Carl W. Smith | | | | | | | | | | * | | | |
D. Bradley Thress | | | | | 3,250(f) | | | | | | * | | |
Steven T. Warshaw | | | | | | | | | | | | ||
Mark A. Esquivel | | | | | | | | | | * | | | |
P. Matthew Farabaugh | | | | | |||||||||
| | | | | * | | | ||||||
All directors and executive officers as a group (9 persons) | | | | | | | | | | | |
Name | | Positions with the Company | | Age | | Director Since | | | Positions with the Company | | Age | | Director Since | | ||||||
Dale Blanchfield | | Director | | 82 | | 2004 | | | Director | | 84 | | 2004 | | ||||||
Emily J. Groehl | | Director | | 73 | | 2010 | | | Director | | 75 | | 2010 | | ||||||
Yvonne Julian | | Director | | 69 | | 2021 | | |||||||||||||
Brian E. Shore | | Director, Chairman of the Board and Chief Executive Officer | | 68 | | 1983 | | | Director, Chairman of the Board and Chief Executive Officer | | 70 | | 1983 | | ||||||
Carl W. Smith | | Director | | 72 | | 2015 | | | Director | | 74 | | 2015 | | ||||||
D. Bradley Thress | | Director | | 60 | | 2021 | | |||||||||||||
Steven T. Warshaw | | Director | | 71 | | 2004 | | | Director | | 73 | | 2004 | |
Name | | Fees Earned or Paid in Cash ($) | | Option Awards ($)(a) | | Total ($) | | | Fees Earned or Paid in Cash ($) | | Option Awards ($)(a) | | Total | | ||||||||||||||||||||||||
Dale Blanchfield | | | $ | 33,000 | | | | $ | 7,665 | | | | $ | 40,665 | | | | | $ | 34,500 | | | | $ | 9,520 | | | | $ | 44,020 | | | ||||||
Emily J. Groehl | | | $ | 22,000 | | | | $ | 7,665 | | | | $ | 29,665 | | | | | $ | 25,500 | | | | $ | 9,520 | | | | $ | 35,020 | | | ||||||
Yvonne Julian | | | $ | 18,000 | | | | $ | 9,520 | | | | $ | 27,520 | | | ||||||||||||||||||||||
Carl W. Smith | | | $ | 26,000 | | | | $ | 7,665 | | | | $ | 33,665 | | | | | $ | 28,500 | | | | $ | 9,520 | | | | $ | 38,020 | | | ||||||
D. Bradley Thress | | | $ | 23,500 | | | | $ | 9,520 | | | | $ | 33,020 | | | ||||||||||||||||||||||
Steven T. Warshaw | | | $ | 28,000 | | | | $ | 7,665 | | | | $ | 35,665 | | | | | $ | 28,500 | | | | $ | 9,520 | | | | $ | 38,020 | | |
Name and Principal Position | | Year(a) | | Salary | | Bonus(b) | | Option Awards(c) | | All Other Compensation(d)(e) | | Total | | | Year(a) | | Salary | | Bonus(b) | | Option Awards(c) | | All Other Compensation(d)(e) | | Total | | ||||||||||||||||||||||||||||||||||||||||||||||||
Brian E. Shore Chairman of the Board and Chief Executive Officer | | | | | 2020 | | | | $ | 250,000 | | | | $ | 0 | | | | $ | 65,700 | | | | $ | — | | | | $ | 315,700 | | | | | | | 2022 | | | | $ | 209,300 | | | | $ | 0 | | | | $ | 81,945 | | | | $ | 5,869 | | | | $ | 296,664 | | | ||||||||||
| | | 2019 | | | | | 254,808 | | | | | 0 | | | | | 100,750 | | | | | 7,007 | | | | | 362,565 | | | | | | 2021 | | | | | 220,000 | | | | | 0 | | | | | 90,000 | | | | | 6,125 | | | | | 316,125 | | | |||||||||||||
| | | 2018 | | | | | 357,760 | | | | | 0 | | | | | 0 | | | | | 0 | | | | | 357,760 | | | | | | 2020 | | | | | 250,000 | | | | | 0 | | | | | 65,700 | | | | | 6,875 | | | | | 322,575 | | | |||||||||||||
P. Matthew Farabaugh Senior Vice President and Chief Financial Officer | | | | | 2020 | | | | | 206,000 | | | | | 15,750 | | | | | 17,520 | | | | | — | | | | | 239,270 | | | | | | | 2022 | | | | | 211,000 | | | | | 20,000 | | | | | 24,000 | | | | | 6,399 | | | | | 272,713 | | | ||||||||||
| | | 2019 | | | | | 203,846 | | | | | 72,500 | | | | | 32,240 | | | | | 7,600 | | | | | 316,186 | | | | | | 2021 | | | | | 206,000 | | | | | 17,500 | | | | | 24,000 | | | | | 6,180 | | | | | 253,680 | | | |||||||||||||
| | | 2018 | | | | | 200,000 | | | | | 0 | | | | | 0 | | | | | 0 | | | | | 200,000 | | | | | | 2020 | | | | | 206,000 | | | | | 15,750 | | | | | 17,520 | | | | | 6,098 | | | | | 245,368 | | | |||||||||||||
Mark A. Esquivel Executive Vice President and Chief Operating Officer(f) | | | | | 2020 | | | | | 220,000 | | | | | 31,500 | | | | | 54,750 | | | | | — | | | | | 306,250 | | | ||||||||||||||||||||||||||||||||||||||||||
| | | 2019 | | | | | 194,970 | | | | | 90,000 | | | | | 60,450 | | | | | 7,844 | | | | | 353,264 | | | ||||||||||||||||||||||||||||||||||||||||||||
| | | 2018 | | | | | 177,265 | | | | | 0 | | | | | 0 | | | | | 0 | | | | | 177,265 | | | ||||||||||||||||||||||||||||||||||||||||||||
Benjamin W. Shore Senior Vice President for Sales, Marketing and Business Development | | | | | 2020 | | | | | 206,000 | | | | | 18,000 | | | | | 32,850 | | | | | — | | | | | 256,850 | | | ||||||||||||||||||||||||||||||||||||||||||
| | | 2019 | | | | | 185,241 | | | | | 85,000 | | | | | 60,450 | | | | | 7,436 | | | | | 338,127 | | | ||||||||||||||||||||||||||||||||||||||||||||
| | | 2018 | | | | | 69,195 | | | | | 0 | | | | | 0 | | | | | 0 | | | | | 69,195 | | | ||||||||||||||||||||||||||||||||||||||||||||
Constantine Petropoulos Senior Vice President and General Counsel | | | | | 2020 | | | | | 316,771 | | | | | 13,500 | | | | | 17,520 | | | | | — | | | | | 347,791 | | | ||||||||||||||||||||||||||||||||||||||||||
| | | 2019 | | | | | 313,549 | | | | | 85,000 | | | | | 40,300 | | | | | 10,958 | | | | | 449,717 | | | ||||||||||||||||||||||||||||||||||||||||||||
| | | 2018 | | | | | 307,545 | | | | | 0 | | | | | 0 | | | | | 0 | | | | | 307,545 | | | ||||||||||||||||||||||||||||||||||||||||||||
Mark A. Esquivel President and Chief Operating Officer (f) | | | | | 2022 | | | | | 230,000 | | | | | 35,000 | | | | | 75,000 | | | | | 7,309 | | | | | 326,639 | | | ||||||||||||||||||||||||||||||||||||||||||
| | | 2021 | | | | | 220,000 | | | | | 35,000 | | | | | 75,000 | | | | | 7,122 | | | | | 337,122 | | | ||||||||||||||||||||||||||||||||||||||||||||
| | | 2020 | | | | | 220,000 | | | | | 31,500 | | | | | 54,750 | | | | | 6,916 | | | | | 313,166 | | |
Named Executive Officer | | | Discretionary Annual Bonus | | | Special Performance Bonus | | | Aggregate Bonus | | |||||||||
M. Farabaugh | | | | $ | 17,500 | | | | | $ | 55,000 | | | | | $ | 72,500 | | |
M. Esquivel | | | | $ | 35,000 | | | | | $ | 55,000 | | | | | $ | 90,000 | | |
B. Shore | | | | $ | 20,000 | | | | | $ | 65,000 | | | | | $ | 85,000 | | |
C. Petropoulos | | | | $ | 20,000 | | | | | $ | 65,000 | | | | | $ | 85,000 | | |
Name | | Grant Date(a) | | All Option Awards: Number of Securities Underlying Options | | Exercise or Base Price of Option Awards $(/Sh)(b) | | Grant Date Closing Market Price(b) | | Grant Date Fair Value of Option Awards(c) | | | | Grant Date(a) | | All Option Awards: Number of Securities Underlying Options | | Exercise or Base Price of Option Awards $(/Sh)(b) | | Grant Date Closing Price(b) | | Grant Date Fair Value of Option Awards(c) | | ||||||||||||||||||||||||||||||||||||
Brian E. Shore | | 04/09/20 | | | | 30,000 | | | | $ | 12.58 | | | | $ | 13.23 | | | | $ | 65,700 | | | | | | 04/12/22 | | | | 30,000 | | | | $ | 12.06 | | | | $ | 12.08 | | | | $ | 81,495 | | | |||||||||||
P. Matthew Farabaugh | | 04/09/20 | | | | 8,000 | | | | | 12.58 | | | | | 13.23 | | | | | 17,520 | | | | | | 04/12/22 | | | | 13,000 | | | | | 12.06 | | | | | 12.08 | | | | | 35,314 | | | |||||||||||
Mark A. Esquivel | | 04/09/20 | | | | 25,000 | | | | | 12.58 | | | | | 13.23 | | | | | 54,750 | | | | | 04/12/22 | | | | 20,000 | | | | | 12.06 | | | | | 12.08 | | | | | 54,330 | | | ||||||||||||
Benjamin W. Shore | | 04/09/20 | | | | 15,000 | | | | | 12.58 | | | | | 13.23 | | | | | 32,850 | | | | |||||||||||||||||||||||||||||||||||
Constantine Petropoulos | | 04/09/20 | | | | 8,000 | | | | | 12.58 | | | | | 13.23 | | | | | 17,520 | | | | |
Name | | Option Grant Date | | Number of Securities Underlying Unexercised Options (#) Exercisable(a) | | Number of Securities Underlying Unexercised Options (#) Unexercisable(a) | | Option Exercise Price ($)(b) | | Option Expiration Date(c) | | | Option Grant Date | | Number of Securities Underlying Unexercised Options (#) Exercisable(a) | | Number of Securities Underlying Unexercised Options (#) Unexercisable(a) | | Option Exercise Price ($)(b) | | ||||||||||||||||||||||||||||||||||||
Brian E. Shore | | | | 10/05/11 | | | | | 35,000 | | | | | 0 | | | | | 9.94 | | | | | 10/05/21 | | | | | | 10/24/2012 | | | | | 35,000 | | | | | — | | | | $ | 12.00 | | | |||||||||
| | | | 10/24/12 | | | | | 35,000 | | | | | 0 | | | | | 12.00 | | | | | 10/24/22 | | | | | | 2/26/2014 | | | | | 35,000 | | | | | — | | | | $ | 17.63 | | | |||||||||
| | | | 02/26/14 | | | | | 35,000 | | | | | 0 | | | | | 17.63 | | | | | 02/26/24 | | | | | | 3/2/2015 | | | | | 30,000 | | | | | — | | | | $ | 13.46 | | | |||||||||
| | | | 03/02/15 | | | | | 30,000 | | | | | 0 | | | | | 13.46 | | | | | 03/02/25 | | | | | | 1/12/2016 | | | | | 35,000 | | | | | — | | | | $ | 6.23 | | | |||||||||
| | | | 01/12/16 | | | | | 35,000 | | | | | 0 | | | | | 6.23 | | | | | 01/12/26 | | | | | | 5/7/2019 | | | | | 18,750 | | | | | 6,250 | | | | $ | 15.44 | | | |||||||||
| | | | 05/07/19 | | | | | 6,250 | | | | | 18,750 | | | | | 15.44 | | | | | 05/07/29 | | | | | | 4/9/2020 | | | | | 15,000 | | | | | 15,000 | | | | $ | 12.58 | | | |||||||||
| | | | 04/09/20 | | | | | 0 | | | | | 30,000 | | | | | 12.58 | | | | | 04/09/30 | | | | | | 4/2/2021 | | | | | 7,500 | | | | | 22,500 | | | | $ | 13.80 | | | |||||||||
P. Matthew Farabaugh | | | | 09/04/12 | | | | | 10,000 | | | | | 0 | | | | | 13.73 | | | | | 09/04/22 | | | | | | 9/4/2012 | | | | | 10,000 | | | | | — | | | | $ | 13.73 | | | |||||||||
| | | | 02/26/14 | | | | | 8,000 | | | | | 0 | | | | | 17.63 | | | | | 02/26/24 | | | | | | 2/26/2014 | | | | | 8,000 | | | | | — | | | | $ | 17.63 | | | |||||||||
| | | | 03/02/15 | | | | | 9,000 | | | | | 0 | | | | | 13.46 | | | | | 03/02/25 | | | | | | 3/2/2015 | | | | | 9,000 | | | | | — | | | | $ | 13.46 | | | |||||||||
| | | | 01/12/16 | | | | | 10,000 | | | | | 0 | | | | | 6.23 | | | | | 01/12/26 | | | | | | 1/12/2016 | | | | | 10,000 | | | | | — | | | | $ | 6.23 | | | |||||||||
| | | | 05/07/19 | | | | | 2,000 | | | | | 6,000 | | | | | 15.44 | | | | | 05/07/29 | | | | | | 5/7/2019 | | | | | 6,000 | | | | | 2,000 | | | | $ | 15.44 | | | |||||||||
| | | | 04/09/20 | | | | | 0 | | | | | 8,000 | | | | | 12.58 | | | | | 04/09/30 | | | | | | 4/9/2020 | | | | | 4,000 | | | | | 4,000 | | | | $ | 12.58 | | | |||||||||
| | | | 4/2/2021 | | | | | 2,000 | | | | | 8,000 | | | | $ | 13.80 | | | |||||||||||||||||||||||||||||||||||
Mark A. Esquivel | | | | 10/05/11 | | | | | 2,500 | | | | | 0 | | | | | 9.94 | | | | | 10/05/21 | | | | | | 9/4/2012 | | | | | 2,625 | | | | | — | | | | $ | 13.73 | | | |||||||||
| | | | 09/04/12 | | | | | 2,625 | | | | | 0 | | | | | 13.73 | | | | | 09/04/22 | | | | | | 2/26/2014 | | | | | 3,500 | | | | | — | | | | $ | 17.63 | | | |||||||||
| | | | 02/26/14 | | | | | 3,500 | | | | | 0 | | | | | 17.63 | | | | | 02/26/24 | | | | | | 3/2/2015 | | | | | 4,500 | | | | | — | | | | $ | 13.46 | | | |||||||||
| | | | 03/02/15 | | | | | 4,500 | | | | | 0 | | | | | 13.46 | | | | | 03/02/25 | | | | | | 1/12/2016 | | | | | 15,000 | | | | | — | | | | $ | 6.23 | | | |||||||||
| | | | 01/12/16 | | | | | 15,000 | | | | | 0 | | | | | 6.23 | | | | | 01/12/26 | | | | | | 5/7/2019 | | | | | 11,250 | | | | | 3,750 | | | | $ | 15.44 | | | |||||||||
| | | | 05/07/19 | | | | | 3,750 | | | | | 11,250 | | | | | 15.44 | | | | | 05/07/29 | | | | | | 4/9/2020 | | | | | 12,500 | | | | | 12,500 | | | | $ | 12.58 | | | |||||||||
| | | | 04/09/20 | | | | | 0 | | | | | 25,000 | | | | | 12.58 | | | | | 04/09/30 | | | | | | 4/2/2021 | | | | | 6,250 | | | | | 18,750 | | | | $ | 13.80 | | | |||||||||
Benjamin W. Shore | | | | 05/07/19 | | | | | 3,750 | | | | | 11,250 | | | | | 15.44 | | | | | 05/07/19 | | | ||||||||||||||||||||||||||||||
| | | | 04/09/20 | | | | | 0 | | | | | 15,000 | | | | | 12.58 | | | | | 04/09/30 | | | ||||||||||||||||||||||||||||||
Constantine Petropoulos | | | | 10/15/14 | | | | | 10,000 | | | | | 0 | | | | | 12.91 | | | | | 10/15/24 | | | ||||||||||||||||||||||||||||||
| | | | 01/12/16 | | | | | 12,000 | | | | | 0 | | | | | 6.23 | | | | | 01/12/26 | | | ||||||||||||||||||||||||||||||
| | | | 05/07/19 | | | | | 2,500 | | | | | 7,500 | | | | | 15.44 | | | | | 05/07/29 | | | ||||||||||||||||||||||||||||||
| | | | 04/09/20 | | | | | 0 | | | | | 8,000 | | | | | 12.58 | | | | | 04/09/30 | | |
| | | Option Awards | | |||||||||
Name | | | Number of Shares Acquired On Exercise (#) | | | Value Realized On Exercise ($)(a) | | ||||||
Brian E. Shore | | | | | 35,000 | | | | | $ | 179,085 | | |
P. Matthew Farabaugh | | | | | -0- | | | | | | -0- | | |
Mark Esquivel | | | | | 2,500 | | | | | | 12,025 | | |
| | 2020 | | 2019 | | | 2022 | | 2021 | | ||||||||||||||||
Audit Fees(a) | | | $ | 281,752 | | | | $ | 484,000 | | | | | $ | 267,300 | | | | $ | 267,300 | | | ||||
Audit-Related Fees(b) | | | | 14,000 | | | | | 14,000 | | | | | | 15,750 | | | | | 14,000 | | | ||||
Tax Fees | | | | 0 | | | | | 0 | | | | | | 0 | | | | | 0 | | | ||||
All Other Fees | | | | 0 | | | | | 0 | | | | | | 0 | | | | | 0 | | | ||||
| | | $ | 295,752 | | | | $ | 498,000 | | | | | $ | 283,050 | | | | $ | 281,300 | | |
Plan Category | | Number of securities to be issued upon exercise of outstanding options, warrants and rights (1) | | Weighted- average exercise price of outstanding options, warrants and rights (2) | | Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column (1))(b) (3) | | | Number of securities to be issued upon exercise of outstanding options, warrants and rights (1) | | Weighted- average exercise price of outstanding options, warrants and rights (2) | | Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column (1))(b) (3) | | ||||||||||||||||||||||||
Equity compensation plans approved by security holders(a) | | | | 510,634 | | | | $ | 12.45 | | | | | 692,100 | | | | | | 648,300 | | | | $ | 12.96 | | | | | 475,150 | | | ||||||
Equity compensation plans not approved by security holders(a) | | | | -0- | | | | | -0- | | | | | -0- | | | | | | -0- | | | | | -0- | | | | | -0- | | | ||||||
Total | | | | 510,634 | | | | $ | 12.45 | | | | | 692,100 | | | | | | 648,300 | | | | $ | 12.96 | | | | | 475,150 | | |