Name | | | Age | | | Positions with the Company and Bank | |
| | | | Class | |||
|
Name | | | Age | | | Positions with the Company and Bank | |
Directors: | | | | ||||
| | | | Class | | ||
| | | | Class | |||
| |||||||
Georgia S. Derrico | | | | | Class III Director of the Company; Director of the Bank; Chairman of the Board and Chief Executive Officer of each of the Company and the Bank | | |
Charles A. Kabbash | | | | | Class III Director of the Company; Director of the Bank | | |
Robert Y. Clagett | | | | | Class III Director of the Company; Director of the Bank | | |
Executive Officers: | | | | ||||
Thomas P. Baker | | | | | Senior Vice President and Chief Credit Officer of each of the Company and the Bank | | |
William H. Lagos | | | | | Senior Vice President and Chief Financial Officer of each of the Company and the Bank | | |
William H. Stevens | | | | | Executive Vice President and Chief Credit Risk Officer of each of the Company and the Bank | |
Name | | Fees Earned or Paid in Cash ($) | | Option Awards ($)(1) | | All Other Compensation ($)(2) | | Total ($) | | | Fees Earned or Paid in Cash ($) | | Option Awards ($)(1) | | All Other Compensation ($)(2) | | Total ($) | | ||||||||||||||||||||||||||||||||
Frederick L. Bollerer | | | | 32,500 | | | | | — | | | | | 4,900 | | | | | 37,400 | | | | | | 29,500 | | | | | — | | | | | 10,000 | | | | | 39,500 | | | ||||||||
Neil J. Call | | | | 33,950 | | | | | — | | | | | 4,900 | | | | | 38,850 | | | | | | 30,250 | | | | | — | | | | | 10,000 | | | | | 40,250 | | | ||||||||
Robert Y. Clagett | | | | 29,675 | | | | | — | | | | | 4,900 | | | | | 34,575 | | | | | | 32,250 | | | | | — | | | | | 10,000 | | | | | 42,250 | | | ||||||||
John J. Forch | | | | 33,825 | | | | | — | | | | | 4,900 | | | | | 38,725 | | | | | | 36,000 | | | | | — | | | | | 10,000 | | | | | 46,000 | | | ||||||||
W. Bruce Jennings | | | | 30,350 | | | | | — | | | | | 4,900 | | | | | 35,250 | | | | | | 34,000 | | | | | — | | | | | — | | | | | 34,000 | | | ||||||||
Charles A. Kabbash | | | | 31,400 | | | | | — | | | | | 4,900 | | | | | 36,300 | | | | | | 34,500 | | | | | — | | | | | 10,000 | | | | | 44,500 | | |
Name | | Year | | Salary ($) | | Bonus ($) | | Option Awards ($)(1) | | Change in Pension Value and Nonqualified Deferred Compensation Earnings ($)(2) | | All Other Compensation ($)(3) | | Total ($) | | | Year | | Salary ($) | | Bonus ($) | | Option Awards ($)(1) | | Change in Pension Value and Nonqualified Deferred Compensation Earnings ($)(2) | | All Other Compensation ($)(3) | | Total ($) | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Thomas P. Baker Senior Vice President and Chief Credit Officer | | | | | 2015 | | | | | 197,062 | | | | | 5,000 | | | | | 2,040 | | | | | — | | | | | — | | | | | 204,102 | | | | | | | 2016 | | | | | 204,500 | | | | | 6,000 | | | | | 3,150 | | | | | — | | | | | — | | | | | 213,650 | | | ||||||||||||
| | | 2014 | | | | | 191,296 | | | | | 5,000 | | | | | 14,400 | | | | | — | | | | | — | | | | | 210,696 | | | | | | 2015 | | | | | 197,062 | | | | | 5,000 | | | | | 2,040 | | | | | — | | | | | — | | | | | 204,102 | | | |||||||||||||||
| | | 2013 | | | | | 186,171 | | | | | 4,000 | | | | | 17,950 | | | | | — | | | | | — | | | | | 208,121 | | | | | | 2014 | | | | | 191,296 | | | | | 5,000 | | | | | 14,400 | | | | | — | | | | | — | | | | | 210,696 | | | |||||||||||||||
Georgia S. Derrico Chairman of the Board and Chief Executive Officer | | | | | 2015 | | | | | 388,080 | | | | | 313,000 | | | | | 12,240 | | | | | 240,127 | | | | | 21,850 | | | | | 975,297 | | | | | | | 2016 | | | | | 426,888 | | | | | 268,330 | | | | | 15,120 | | | | | 294,481 | | | | | 27,780 | | | | | 1,032,599 | | | ||||||||||||
| | | 2014 | | | | | 360,800 | | | | | 62,400 | | | | | 69,120 | | | | | 203,435 | | | | | 24,066 | | | | | 719,821 | | | | | | 2015 | | | | | 388,080 | | | | | 313,000 | | | | | 12,240 | | | | | 240,127 | | | | | 21,850 | | | | | 975,297 | | | |||||||||||||||
| | | 2013 | | | | | 317,476 | | | | | 52,000 | | | | | 71,800 | | | | | 127,033 | | | | | 26,030 | | | | | 594,339 | | | | | | 2014 | | | | | 360,800 | | | | | 62,400 | | | | | 69,120 | | | | | 203,435 | | | | | 24,066 | | | | | 719,821 | | | |||||||||||||||
William H. Lagos Senior Vice President Chief Financial Officer | | | | | 2015 | | | | | 166,500 | | | | | 6,000 | | | | | 2,805 | | | | | — | | | | | — | | | | | 175,305 | | | | | | | 2016 | | | | | 173,825 | | | | | 6,000 | | | | | 3,780 | | | | | — | | | | | — | | | | | 183,605 | | | ||||||||||||
| | | 2014 | | | | | 158,999 | | | | | 5,000 | | | | | 14,400 | | | | | — | | | | | — | | | | | 178,399 | | | | | | 2015 | | | | | 166,500 | | | | | 6,000 | | | | | 2,805 | | | | | — | | | | | — | | | | | 175,305 | | | |||||||||||||||
| | | 2013 | | | | | 152,017 | | | | | 5,000 | | | | | 14,360 | | | | | — | | | | | — | | | | | 171,377 | | | | | | 2014 | | | | | 158,999 | | | | | 5,000 | | | | | 14,400 | | | | | — | | | | | — | | | | | 178,399 | | | |||||||||||||||
R. Roderick Porter President and Chief Operating Officer | | | | | 2015 | | | | | 276,324 | | | | | 193,000 | | | | | 12,240 | | | | | 162,432 | | | | | 29,050 | | | | | 673,046 | | | | | | | 2016 | | | | | 294,906 | | | | | 182,100 | | | | | 15,120 | | | | | 200,536 | | | | | 34,980 | | | | | 727,642 | | | ||||||||||||
| | | 2014 | | | | | 259,995 | | | | | 52,400 | | | | | 69,120 | | | | | 137,042 | | | | | 31,267 | | | | | 549,824 | | | | | | 2015 | | | | | 276,324 | | | | | 193,000 | | | | | 12,240 | | | | | 162,432 | | | | | 29,050 | | | | | 673,046 | | | |||||||||||||||
| | | 2013 | | | | | 247,614 | | | | | 42,000 | | | | | 71,800 | | | | | 98,339 | | | | | 33,230 | | | | | 492,983 | | | | | | 2014 | | | | | 259,995 | | | | | 52,400 | | | | | 69,120 | | | | | 137,042 | | | | | 31,267 | | | | | 549,824 | | | |||||||||||||||
William H. Stevens Executive Vice President and Chief Credit Risk Officer | | | | | 2015 | | | | | 175,696 | | | | | 4,500 | | | | | 2,040 | | | | | — | | | | | — | | | | | 182,236 | | | | | | | 2016 | | | | | 184,500 | | | | | 5,000 | | | | | 2,835 | | | | | — | | | | | — | | | | | 192,335 | | | ||||||||||||
| | | 2014 | | | | | 168,896 | | | | | 3,500 | | | | | 8,640 | | | | | — | | | | | — | | | | | 181,036 | | | | | | 2015 | | | | | 175,696 | | | | | 4,500 | | | | | 2,040 | | | | | — | | | | | — | | | | | 182,236 | | | |||||||||||||||
| | | 2013 | | | | | 163,200 | | | | | 3,000 | | | | | 8,975 | | | | | — | | | | | — | | | | | 175,175 | | | | | | 2014 | | | | | 168,896 | | | | | 3,500 | | | | | 8,640 | | | | | — | | | | | — | | | | | 181,036 | | |
Name | | Grant Date | | All Other Option Awards: Number of Securities Underlying Options (#)(1) | | Exercise or Base Price of Option Awards ($/sh) | | Grant Date Fair Value of Option Awards ($)(2) | | | Grant Date | | All Other Option Awards: Number of Securities Underlying Options (#)(1) | | Exercise or Base Price of Option Awards ($/sh) | | Grant Date Fair Value of Option Awards ($)(2) | | ||||||||||||||||||||||||||||||||
Thomas P. Baker | | | | 06/19/2015 | | | | | 4,000 | | | | | 11.43 | | | | | 2,040 | | | | | | 06/17/16 | | | | | 5,000 | | | | | 11.99 | | | | | 3,150 | | | ||||||||
Georgia S. Derrico | | | | 06/19/2015 | | | | | 24,000 | | | | | 11.43 | | | | | 12,240 | | | | | | 06/17/16 | | | | | 24,000 | | | | | 11.99 | | | | | 15,120 | | | ||||||||
William H. Lagos | | | | 06/19/2015 | | | | | 5,500 | | | | | 11.43 | | | | | 2,805 | | | | | | 06/17/16 | | | | | 6,000 | | | | | 11.99 | | | | | 3,780 | | | ||||||||
R. Roderick Porter | | | | 06/19/2015 | | | | | 24,000 | | | | | 11.43 | | | | | 12,240 | | | | | | 06/17/16 | | | | | 24,000 | | | | | 11.99 | | | | | 15,120 | | | ||||||||
William H. Stevens | | | | 06/19/2015 | | | | | 4,000 | | | | | 11.43 | | | | | 2,040 | | | | | | 06/17/16 | | | | | 4,500 | | | | | 11.99 | | | | | 2,835 | | |
Name | | Number of Securities Underlying Unexercised Options (#) Exercisable | | Number of Securities Underlying Unexercised Options (#) Unexercisable | | Option Exercise Price ($) | | Option Expiration Date | | | Number of Securities Underlying Unexercised Options (#) Exercisable | | Number of Securities Underlying Unexercised Options (#) Unexercisable | | Option Exercise Price ($) | | Option Expiration Date | | ||||||||||||||||||||||||||||||||
Thomas P. Baker | | | | | 2,000 | | | | | — | | | | | 9.20 | | | | | 01/23/2018 | | | ||||||||||||||||||||||||||||
| | | | 2,000 | | | | | — | | | | | 9.20 | | | | | 01/23/2018 | | | | | | 2,000 | | | | | — | | | | | 5.50 | | | | | 01/27/2019 | | | ||||||||
| | | 2,000 | | | | | — | | | | | 5.50 | | | | | 01/27/2019 | | | | | | 2,000 | | | | | — | | | | | 8.02 | | | | | 07/29/2019 | | | |||||||||
| | | 2,000 | | | | | — | | | | | 8.02 | | | | | 07/29/2019 | | | | | | 3,000 | | | | | — | | | | | 7.04 | | | | | 07/27/2020 | | | |||||||||
| | | 3,000 | | | | | — | | | | | 7.04 | | | | | 07/27/2020 | | | | | | 15,000 | | | | | — | | | | | 7.20 | | | | | 03/21/2021 | | | |||||||||
| | | 12,000 | | | | | 3,000(1) | | | | | 7.20 | | | | | 03/21/2021 | | | | | | 4,000 | | | | | 1,000(1) | | | | | 7.92 | | | | | 12/05/2022 | | | |||||||||
| | | 3,000 | | | | | 2,000(2) | | | | | 7.92 | | | | | 12/05/2022 | | | | | | 3,000 | | | | | 2,000(2) | | | | | 9.14 | | | | | 06/21/2023 | | | |||||||||
| | | 2,000 | | | | | 3,000(3) | | | | | 9.14 | | | | | 06/21/2023 | | | | | | 2,000 | | | | | 3,000(3) | | | | | 10.47 | | | | | 07/22/2024 | | | |||||||||
| | | 1,000 | | | | | 4,000(4) | | | | | 10.47 | | | | | 07/22/2024 | | | | | | 1,000 | | | | | 3,000(4) | | | | | 11.43 | | | | | 06/19/2025 | | | |||||||||
| | | — | | | | | 4,000(5) | | | | | 11.43 | | | | | 06/19/2025 | | | | | | — | | | | | 5,000(5) | | | | | 11.99 | | | | | 06/17/2026 | | | |||||||||
Georgia S. Derrico | | | | | 10,000 | | | | | — | | | | | 9.20 | | | | | 01/23/2018 | | | | | | | 10,000 | | | | | — | | | | | 9.20 | | | | | 01/23/2018 | | | ||||||
| | | 11,000 | | | | | — | | | | | 5.50 | | | | | 01/27/2019 | | | | | | 11,000 | | | | | — | | | | | 5.50 | | | | | 01/27/2019 | | | |||||||||
| | | 5,000 | | | | | — | | | | | 8.02 | | | | | 07/29/2019 | | | | | | 5,000 | | | | | — | | | | | 8.02 | | | | | 07/29/2019 | | | |||||||||
| | | 5,000 | | | | | — | | | | | 7.04 | | | | | 07/27/2020 | | | | | | 5,000 | | | | | — | | | | | 7.04 | | | | | 07/27/2020 | | | |||||||||
| | | 16,000 | | | | | 4,000(1) | | | | | 7.20 | | | | | 03/21/2021 | | | | | | 20,000 | | | | | — | | | | | 7.20 | | | | | 03/21/2021 | | | |||||||||
| | | 12,000 | | | | | 8,000(2) | | | | | 7.92 | | | | | 12/05/2022 | | | | | | 16,000 | | | | | 4,000(1) | | | | | 7.92 | | | | | 12/05/2022 | | | |||||||||
| | | 8,000 | | | | | 12,000(3) | | | | | 9.14 | | | | | 06/21/2023 | | | | | | 12,000 | | | | | 8,000(2) | | | | | 9.14 | | | | | 06/21/2023 | | | |||||||||
| | | 4,800 | | | | | 19,200(4) | | | | | 10.47 | | | | | 07/22/2024 | | | | | | 9,600 | | | | | 14,400(3) | | | | | 10.47 | | | | | 07/22/2024 | | | |||||||||
| | | — | | | | | 24,000(5) | | | | | 11.43 | | | | | 06/19/2025 | | | | | | 4,800 | | | | | 19,200(4) | | | | | 11.43 | | | | | 06/19/2025 | | | |||||||||
Georgia S. Derrico | | | | — | | | | | 24,000(5) | | | | | 11.99 | | | | | 06/17/2026 | | | |||||||||||||||||||||||||||||
| | | | 3,500 | | | | | — | | | | | 9.20 | | | | | 01/23/2018 | | | |||||||||||||||||||||||||||||
| | | | 3,500 | | | | | — | | | | | 9.20 | | | | | 01/23/2018 | | | | | | 2,000 | | | | | — | | | | | 5.50 | | | | | 01/27/2019 | | | ||||||||
| | | 2,000 | | | | | — | | | | | 5.50 | | | | | 01/27/2019 | | | | | | 2,000 | | | | | — | | | | | 8.02 | | | | | 07/29/2019 | | | |||||||||
| | | 2,000 | | | | | — | | | | | 8.02 | | | | | 07/29/2019 | | | | | | 2,500 | | | | | — | | | | | 7.04 | | | | | 07/27/2020 | | | |||||||||
| | | 2,500 | | | | | — | | | | | 7.04 | | | | | 07/27/2020 | | | | | | 4,000 | | | | | — | | | | | 7.20 | | | | | 03/21/2021 | | | |||||||||
| | | 3,200 | | | | | 800(1) | | | | | 7.20 | | | | | 03/21/2021 | | | | | | 3,200 | | | | | 800(1) | | | | | 7.92 | | | | | 12/05/2022 | | | |||||||||
| | | 2,400 | | | | | 1,600(2) | | | | | 7.92 | | | | | 12/05/2022 | | | | | | 2,400 | | | | | 1,600(2) | | | | | 9.14 | | | | | 06/21/2023 | | | |||||||||
| | | 1,600 | | | | | 2,400(3) | | | | | 9.14 | | | | | 06/21/2023 | | | | | | 2,000 | | | | | 3,000(3) | | | | | 10.47 | | | | | 07/22/2024 | | | |||||||||
| | | 1,000 | | | | | 4,000(4) | | | | | 10.47 | | | | | 07/22/2024 | | | | | | 1,100 | | | | | 4,400(4) | | | | | 11.43 | | | | | 06/19/2025 | | | |||||||||
William H. Lagos | | | | — | | | | | 5,500(5) | | | | | 11.43 | | | | | 06/19/2025 | | | | | | — | | | | | 6,000(5) | | | | | 11.99 | | | | | 06/17/2026 | | | ||||||||
| | | | 10,000 | | | | | — | | | | | 9.20 | | | | | 01/23/2018 | | | | | | | 10,000 | | | | | — | | | | | 9.20 | | | | | 01/23/2018 | | | |||||||
| | | 11,000 | | | | | — | | | | | 5.50 | | | | | 01/27/2019 | | | | | | 11,000 | | | | | — | | | | | 5.50 | | | | | 01/27/2019 | | | |||||||||
| | | 5,000 | | | | | — | | | | | 8.02 | | | | | 07/29/2019 | | | | | | 5,000 | | | | | — | | | | | 8.02 | | | | | 07/29/2019 | | | |||||||||
| | | 5,000 | | | | | — | | | | | 7.04 | | | | | 07/27/2020 | | | | | | 5,000 | | | | | — | | | | | 7.04 | | | | | 07/27/2020 | | | |||||||||
| | | 16,000 | | | | | 4,000(1) | | | | | 7.20 | | | | | 03/21/2021 | | | | | | 20,000 | | | | | — | | | | | 7.20 | | | | | 03/21/2021 | | | |||||||||
| | | 12,000 | | | | | 8,000(2) | | | | | 7.92 | | | | | 12/05/2022 | �� | | | | | 16,000 | | | | | 4,000(1) | | | | | 7.92 | | | | | 12/05/2022 | | | |||||||||
| | | 8,000 | | | | | 12,000(3) | | | | | 9.14 | | | | | 06/21/2023 | | | | | | 12,000 | | | | | 8,000(2) | | | | | 9.14 | | | | | 06/21/2023 | | | |||||||||
| | | 4,800 | | | | | 19,200(4) | | | | | 10.47 | | | | | 07/22/2024 | | | | | | 9,600 | | | | | 14,400(3) | | | | | 10.47 | | | | | 07/22/2024 | | | |||||||||
R. Roderick Porter | | | | — | | | | | 24,000(5) | | | | | 11.43 | | | | | 06/19/2025 | | | | | | 4,800 | | | | | 19,200(4) | | | | | 11.43 | | | | | 06/19/2025 | | | ||||||||
| | | — | | | | | 24,000(5) | | | | | 11.99 | | | | | 06/17/2026 | | | ||||||||||||||||||||||||||||||
| | | | 1,500 | | | | | — | | | | | 9.20 | | | | | 01/23/2018 | | | | | | | 1,500 | | | | | — | | | | | 9.20 | | | | | 01/23/2018 | | | |||||||
| | | 1,500 | | | | | — | | | | | 5.50 | | | | | 01/27/2019 | | | | | | 1,500 | | | | | — | | | | | 5.50 | | | | | 01/27/2019 | | | |||||||||
| | | 1,500 | | | | | — | | | | | 7.04 | | | | | 07/27/2020 | | | | | | 1,500 | | | | | — | | | | | 7.04 | | | | | 07/27/2020 | | | |||||||||
| | | 1,500 | | | | | 1,000(2) | | | | | 7.92 | | | | | 12/05/2022 | | | | | | 2,000 | | | | | 500(1) | | | | | 7.92 | | | | | 12/05/2022 | | | |||||||||
| | | 1,000 | | | | | 1,500(3) | | | | | 9.14 | | | | | 06/21/2023 | | | | | | 1,500 | | | | | 1,000(2) | | | | | 9.14 | | | | | 06/21/2023 | | | |||||||||
| | | 600 | | | | | 2,400(4) | | | | | 10.47 | | | | | 07/22/2024 | | | | | | 1,200 | | | | | 1,800(3) | | | | | 10.47 | | | | | 07/22/2024 | | | |||||||||
| | | — | | | | | 4,000(5) | | | | | 11.43 | | | | | 06/19/2025 | | | | | | 800 | | | | | 3,200(4) | | | | | 11.43 | | | | | 06/19/2025 | | | |||||||||
William H. Stevens | | | | — | | | | | 4,500(5) | | | | | 11.99 | | | | | 06/17/2026 | | |
Name | | | Number of Shares Acquired on Exercise (#) | | | Option Awards Value Realized on Exercise ($)(1) | | ||||||
Thomas P. Baker | | | | | 22,000 | | | | | | 51,920 | | |
Georgia S. Derrico | | | | | — | | | | | | — | | |
William H. Lagos | | | | | 14,300 | | | | | | 43,527 | | |
R. Roderick Porter | | | | | — | | | | | | — | | |
William H. Stevens | | | | | 16,500 | | | | | | 50,985 | | |
Name | | Plan Name | | Number of Years of Credited Service (#) | | Present Value of Accumulated Benefit ($)(1) | | Payments During Last Fiscal Year ($) | | | Plan Name | | Number of Years of Credited Service (#) | | Present Value of Accumulated Benefit ($)(1) | | Payments During Last Fiscal Year ($) | | ||||||||||||||||||||||||||||||||
Thomas P. Baker | | | | — | | | | | — | | | | | — | | | | | — | | | | | | — | | | | | — | | | | | — | | | | | — | | | ||||||||
Georgia S. Derrico | | | | SERP | | | | | 8.42 | | | | | 1,167,919 | | | | | — | | | | | | SERP | | | | | 9.42 | | | | | 1,462,400 | | | | | — | | | ||||||||
William H. Lagos | | | | — | | | | | — | | | | | — | | | | | — | | | | | | — | | | | | — | | | | | — | | | | | — | | | ||||||||
R. Roderick Porter | | | | SERP | | | | | 8.42 | | | | | 860,229 | | | | | — | | | | | | SERP | | | | | 9.42 | | | | | 1,060,765 | | | | | — | | | ||||||||
William H. Stevens | | | | — | | | | | — | | | | | — | | | | | — | | | | | | — | | | | | — | | | | | — | | | | | — | | |
Name | | Salary and Bonus ($)(1) | | Health Insurance Benefits ($)(2) | | Value of Unvested Equity Awards ($)(3) | | 280G Gross- Up Payment ($)(4) | | Sum of Termination Benefits under Change in Control Agreement ($) | | | Salary and Bonus ($)(1) | | Health Insurance Benefits ($)(2) | | Value of Unvested Equity Awards ($)(3) | | 280G Gross- Up Payment ($)(4) | | Sum of Termination Benefits under Change in Control Agreement ($) | | ||||||||||||||||||||||||||||||||||||||||
Georgia Derrico | | | | 1,406,880 | | | | | 14,621 | | | | | 200,448 | | | | | 748,351 | | | | | 2,370,300 | | | | | | 2,280,648 | | | | | 16,541 | | | | | 374,480 | | | | | 1,273,207 | | | | | 3,944,876 | | | ||||||||||
R. Roderick Porter | | | | 677,422 | | | | | 14,621 | | | | | 200,448 | | | | | 333,264 | | | | | 1,225,755 | | | | | | 993,000 | | | | | 16,541 | | | | | 374,480 | | | | | 489,354 | | | | | 1,873,375 | | | ||||||||||
Thomas P. Baker | | | | 307,500 | | | | | 14,621 | | | | | 56,500 | | | | | — | | | | | 378,621 | | | | | | 321,000 | | | | | 16,541 | | | | | 76,910 | | | | | — | | | | | 414,451 | | |
| | 2015 | | 2014 | | | 2016 | | 2015 | | ||||||||||||||||
Audit fees(1) | | | $ | 242,500 | | | | $ | 235,000 | | | | | $ | 252,000 | | | | $ | 242,500 | | | ||||
Audit related fees(2) | | | | 20,000 | | | | | 29,000 | | | | | | 22,500 | | | | | 20,000 | | | ||||
Tax fees | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
All other fees | | | | — | | | | | — | | | | | | — | | | | | — | | |
Name | | Position With the Company and the Bank | | Number of Shares of Common Stock Owned | | Percentage Beneficially Owned (1) | | | Position With the Company and the Bank | | Number of Shares of Common Stock Owned | | Percentage Beneficially Owned(1) | | ||||||||||||||||||
5% or Greater Holders: | | | | | | | ||||||||||||||||||||||||||
Wellington Management Group LLP 280 Congress Street Boston, MA 02210 | | Investor | | | | 884,413(2) | | | | | 7.2% | | | |||||||||||||||||||
Banc Fund VI L.P. 20 North Wacker Drive, Suite 3300 Chicago, IL 60606 | | Investor | | | | 880,790(3) | | | | | 7.2% | | | |||||||||||||||||||
E.S. Barr & Company 1999 Richmond Road, Suite 1B Lexington, Kentucky 40502 | | Investor | | | | 650,739(2) | | | | | 5.3% | | | |||||||||||||||||||
Corbyn Investment Management, Inc., et al Suite 108 2330 W. Joppa Road Lutherville, Maryland 21093 | | Investor | | | | 620,776(4) | | | | | 5.1% | | | | Investor | | | | 613,394(3) | | | | | 5.0% | | | ||||||
Directors and Executive Officers: | | | | | | | ||||||||||||||||||||||||||
Georgia S. Derrico(5) | | Chairman of the Board and Chief Executive Officer of the Company and the Bank | | | | 685,332(6) | | | | | 5.6% | | | |||||||||||||||||||
R. Roderick Porter(5) | | Vice Chairman of the Board and President and Chief Operating Officer of the Company and the Bank | | | | 685,332(7) | | | | | 5.6% | | | |||||||||||||||||||
Georgia S. Derrico(4) | | Chairman of the Board and Chief Executive Officer of the Company and the Bank | | | | 726,143(5) | | | | | 5.9% | | | |||||||||||||||||||
R. Roderick Porter(4) | | Vice Chairman of the Board and President and Chief Operating Officer of the Company and the Bank | | | | 726,143(6) | | | | | 5.9% | | | |||||||||||||||||||
Neil J. Call | | Director of the Company and the Bank | | | | 121,972(8) | | | | | 1.0% | | | | Director of the Company and the Bank | | | | 126,598(7) | | | | | 1.0% | | | ||||||
Charles A. Kabbash | | Director of the Company and the Bank | | | | 101,790(9) | | | | | * | | | | Director of the Company and the Bank | | | | 107,070(8) | | | | | * | | | ||||||
John J. Forch | | Director of the Company and the Bank | | | | 53,737(10) | | | | | * | | | | Director of the Company and the Bank | | | | 57,311(9) | | | | | * | | | ||||||
Frederick L. Bollerer | | Director of the Company and the Bank | | | | 23,142(11) | | | | | * | | | | Director of the Company and the Bank | | | | 27,746(10) | | | | | * | | | ||||||
W. Bruce Jennings | | Director of the Company and the Bank | | | | 35,635(12) | | | | | * | | | | Director of the Company and the Bank | | | | 39,833(11) | | | | | * | | | ||||||
Robert Y. Clagett | | Director of the Company and the Bank | | | | 20,256 | | | | | * | | | | Director of the Company and the Bank | | | | 23,795 | | | | | * | | | ||||||
William H. Lagos | | Senior Vice President and Chief Financial Officer of the Company and the Bank | | | | 54,794(13) | | | | | * | | | | Senior Vice President and Chief Financial Officer of the Company and the Bank | | | | 58,652(12) | | | | | * | | | ||||||
William H. Stevens | | Executive Vice President and Chief Credit Risk Officer of the Bank | | | | 18,542(14) | | | | | * | | | | Executive Vice President and Chief Credit Risk Officer of the Bank | | | | 24,017(13) | | | | | * | | | ||||||
Thomas P. Baker | | Senior Vice President and Chief Credit Officer of the Bank | | | | 56,375(15) | | | | | * | | | | Senior Vice President and Chief Credit Officer of the Bank | | | | 61,139(14) | | | | | * | | | ||||||
Directors, Director Nominees and Named Executive Officers as a Group (11 persons) | | | | | | 1,171,575 | | | | | 9.6% | | | | | | | | 1,252,304 | | | | | 10.2% | | |
| | | 2004 Plan and 2010 Plan(1) | |
Total shares underlying outstanding stock options | | | 757,000 | |
Weighted-average exercise price of outstanding stock options | | | $9.56 | |
Weighted-average remaining contractual life of outstanding stock options | | | 74.7 months | |
Total shares underlying full value awards outstanding | | | 0 | |
Total shares currently available for grant | | | 29,850(2) | |
Plan category | | | Number of securities to be issued upon exercise of outstanding options, warrants and rights A | | | Weighted average exercise price of outstanding options, warrants and rights B | | | Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column A) C | | |||||||||
Equity compensation plans approved by security holders | | | | | 782,200 | | | | | $ | 9.56 | | | | | | 27,650 | | |
Equity compensation plans not approved by security holders | | | | | — | | | | | | — | | | | | | — | | |
Total | | | | | 782,200 | | | | | $ | 9.56 | | | | | | 27,650 | | |
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| | | | SOUTHERN NATIONAL BANCORP OF VIRGINIA, INC. | | |||
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