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| | | | A-1 | | | |
Name | | Age | | Position with the Company | | Director Since | | | Age | | Position with the Company | | Director Since | | ||||||||||||||||||
Nicholas Kovacevich | | | | 32 | | | Chairman | | | | 2010 | | | | | | 34 | | | Chairman and Chief Executive Officer | | | | 2010 | | | ||||||
Eric Baum(1)(2) | | | | 40 | | | Director | | | | 2016 | | | | | | 42 | | | Director | | | | 2016 | | | ||||||
Barbara Goodstein(1)(2)(3) | | | | 57 | | | Director | | | | 2017 | | | | | | 59 | | | Director | | | | 2017 | | | ||||||
Donald Hunter(1)(2)(3) | | | | 61 | | | Director | | | | 2018 | | | | | | 63 | | | Director | | | | 2018 | | | ||||||
Dallas Imbimbo | | | | 32 | | | Director | | | | 2010 | | | | | | 34 | | | Director | | | | 2010 | | |
Name | | | Age | | | Position | |
Nicholas Kovacevich | | | | | Chairman and Chief Executive Officer | | |
| | | | Chief Financial Officer | | ||
Rodrigo De Oliveira | | | 38 | | | Chief Operating Officer | |
Jason Vegotsky | | | 33 | | | Chief Revenue Officer | |
Name and Principal Position | | Year | | Salary ($) | | Bonus ($)(1) | | Stock Awards ($)(2) | | Option Awards ($)(3) | | Incentive Plan Compensation ($) | | Deferred Compensation Earnings ($) | | Other Compensation ($) | | Total ($) | | | Year | | Salary ($) | | Bonus ($)(1) | | Stock Awards ($)(2) | | Option Awards ($)(2) | | Non-Equity Incentive Plan Compensation ($) | | Other Compensation ($) | | Total ($) | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Nicholas Kovacevich Chairman and Chief Executive Officer | | | | | 2017 | | | | | 87,042 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 87,042 | | | | | | | 2019 | | | | | 250,000 | | | | | — | | | | | 75,000 | | | | | 494,683 | | | | | 50,000 | | | | | 500 | | | | | 870,183 | | | |||||||||||||||
| | | 2016 | | | | | 75,400 | | | | | 13,500 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 88,900 | | | | | | 2018 | | | | | 157,858 | | | | | — | | | | | — | | | | | 103,118 | | | | | — | | | | | — | | | | | 260,976 | | | ||||||||||||||||||
Jim McCormick Chief Financial Officer and Chief Operating Officer(4) | | | | | 2017 | | | | | 13,068 | | | | | — | | | | | — | | | | | 483,718 | | | | | — | | | | | — | | | | | — | | | | | 496,786 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | | 2016 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Ben Wu Former President and Chief Operating Officer(5) | | | | | 2017 | | | | | 135,417 | | | | | 25,000 | | | | | — | | | | | 1,635,288(6) | | | | | — | | | | | — | | | | | — | | | | | 1,795,705 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | | 2016 | | | | | 132,400 | | | | | 16,000 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 148,400 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Chris Martin Former Chief Financial Officer(7) | | | | | 2017 | | | | | 87,833 | | | | | 16,000 | | | | | — | | | | | 163,529(8) | | | | | — | | | | | — | | | | | 105,800(9) | | | | | 373,162 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | | 2016 | | | | | 86,400 | | | | | 15,000 | | | | | 32,270 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 133,670 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Christopher Tedford Chief Financial Officer(3) | | | | 2019 | | | | | 187,500 | | | | | 50,000 | | | | | 27,123 | | | | | 2,052,612 | | | | | 18,082 | | | | | 450 | | | | | 2,335,767 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Jason Vegotsky Chief Revenue Officer(4) | | | | 2019 | | | | | 237,500 | | | | | 30,000 | | | | | 502,500 | | | | | 718,380 | | | | | 38,000 | | | | | 500 | | | | | 1,526,880 | | |
Option Awards | | ||||||||||||||||||||||||
Name | | | Number of Securities Underlying Unexercised Options (#) Exercisable | | | Number of Securities Underlying Unexercised Options (#) Unexercisable | | | Option Exercise Price ($) | | | Option Expiration Date | | ||||||||||||
Nicholas Kovacevich | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Jim McCormick | | | | | 0 | | | | | | 600,000 | | | | | | | | | | | | 8/1/2027(1) | | |
Ben Wu | | | | | 1,000,000 | | | | | | — | | | | | $ | 0.05 | | | | | | 2/14/2019 | | |
| | | | | 0 | | | | | | 1,500,000 | | | | | $ | 2.64 | | | | | | 4/10/2027(2) | | |
Chris Martin | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | Options Awards | | | Stock Awards | | ||||||||||||||||||||||||||||||
Name | | | Number of Securities Underlying Unexercised Options (#) Exercisable | | | Number of Securities Underlying Unexercised Options (#) Unexercisable | | | Option Exercise Price ($) | | | Option Expiration Date | | | Number of Shares or Units of Stock That Have Not Vested (#) | | | Market Value of Shares or Units of Stock That Have Not Vested ($) | | ||||||||||||||||||
Nicholas Kovacevich | | | | | 105,000 | | | | | | 15,000(1) | | | | | $ | 2.39 | | | | | | 11/14/27 | | | | | | — | | | | | | — | | |
| | | | | 43,875 | | | | | | 77,625(2) | | | | | | 4.53 | | | | | | 07/31/28 | | | | | | — | | | | | | — | | |
| | | | | — | | | | | | 175,000(3) | | | | | | 5.21 | | | | | | 10/24/28 | | | | | | — | | | | | | — | | |
Christopher Tedford | | | | | — | | | | | | 600,000(4) | | | | | | 5.20 | | | | | | 11/26/28 | | | | | | — | | | | | | — | | |
| | | | | — | | | | | | 100,000(5) | | | | | | 5.94 | | | | | | 03/01/29 | | | | | | — | | | | | | — | | |
Jason Vegotsky | | | | | 222,222 | | | | | | 277,778(6) | | | | | | 5.24 | | | | | | 04/23/28 | | | | | | — | | | | | | — | | |
| | | | | 90,278 | | | | | | 159,722(7) | | | | | | 4.53 | | | | | | 07/05/28 | | | | | | — | | | | | | — | | |
| | | | | — | | | | | | 250,000(5) | | | | | | 5.94 | | | | | | 03/01/29 | | | | | | — | | | | | | — | | |
| | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 75,000(8) | | | | | $ | 281,250 | | |
Name | | | Fees earned or paid in cash ($) | | | Option awards ($)(1)(2) | | | Total ($) | | |||||||||
Dallas Imbimbo | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
Nicholas Kovacevich | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
Eric Baum(3) | | | | $ | — | | | | | $ | 66,177 | | | | | $ | 66,177 | | |
Greg Gamet(4) | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
Name | | | Fees Earned or Paid in Cash ($) | | | Option Awards ($)(1) | | | Total ($) | | |||||||||
Eric Baum | | | | $ | 47,500 | | | | | $ | 417,600 | | | | | $ | 465,100 | | |
Barbara Goodstein | | | | | 47,500 | | | | | | 417,600 | | | | | | 465,100 | | |
Donald Hunter | | | | | 52,500 | | | | | | 417,600 | | | | | | 470,100 | | |
Dallas Imbimbo | | | | | 30,000 | | | | | | 417,600 | | | | | | 447,600 | | |
| | | Common Stock Beneficially Owned | | |||||||||
Name of Beneficial Owner(1) | | | Shares | | | Percent(2) | | ||||||
5% or Greater Stockholders | | | | ||||||||||
John Kovacevich(3) | | | | | 2,784,064 | | | | | | 4.4% | | |
Jeffrey Meng (4) | | | | | 3,814,200 | | | | | | 6.0% | | |
Jason Manasse(5) | | | | | 3,700,000 | | | | | | 5.8% | | |
Theodore Nicols (6) | | | | | 3,700,000 | | | | | | 5.8% | | |
Executive Officers and Directors | | | | ||||||||||
Dallas Imbimbo | | | | | 11,126,601 | | | | | | 17.5% | | |
Nicholas Kovacevich | | | | | 11,500,000 | | | | | | 18.1% | | |
Jim McCormick | | | | | — | | | | | | * | | |
Eric Baum(7) | | | | | 755,612 | | | | | | 1.2% | | |
Barbara Goodstein | | | | | — | | | | | | * | | |
Donald Hunter | | | | | — | | | | | | * | | |
All current executive officers and directors as a group (total 6 persons)(8) | | | | | 23,382,213 | | | | | | 36.7% | | |
| | | Common Stock Beneficially Owned | | |||||||||
Name of Beneficial Owner(1) | | | Shares | | | Percent(2) | | ||||||
5% or Greater Stockholders | | | | | | | | | | | | | |
Adage Capital Partners, L.P.(3) | | | | | 6,860,252 | | | | | | 6.4% | | |
Executive Officers and Directors | | | | | | | | | | | | | |
Nicholas Kovacevich(4) | | | | | 8,932,271 | | | | | | 8.3% | | |
Jason Vegotsky(5) | | | | | 1,021,171 | | | | | | * | | |
Christopher Tedford(6) | | | | | 249,102 | | | | | | * | | |
Eric Baum(7) | | | | | 1,008,320 | | | | | | * | | |
Barbara Goodstein(8) | | | | | 252,708 | | | | | | * | | |
Donald Hunter(9) | | | | | 252,708 | | | | | | * | | |
Dallas Imbimbo(10) | | | | | 10,196,883 | | | | | | 9.4% | | |
All current executive officers and directors as a group (total 8 persons)(12) | | | | | 22,224,079 | | | | | | 20.2% | | |
Plan Category | | | Number of Securities to be Issued Upon Exercise of Outstanding Options, Restricted Stock Units, Warrants and Rights | | | Weighted Average Exercise Price of Outstanding Options, Warrants, and Rights | | | Number of Securities Remaining Available For Future Issuance Under Equity Compensation Plans (Excluding Securities Reflected in Column (a)) | | |||||||||
| | | (a) | | | (b) | | | (c) | | |||||||||
Equity compensation plans approved by security holders(1) | | | | | 4,275,500 | | | | | $ | 2.12 | | | | | | 511,318 | | |
Equity compensation plans not approved by security holders(2) | | | | | 1,000,000 | | | | | | 0.05 | | | | | | — | | |
Total | | | | | 5,275,500 | | | | | $ | 1.73 | | | | | | 511,318 | | |
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 Plans (excluding Securities Reflected in column (a)) | | |||||||||
| | | (a) | | | (b) | | | (c) | | |||||||||
Equity compensation plans approved by security holders | | | | | 14,760,619 | | | | | $ | 4.89 | | | | | | 1,139,550 | | |
Equity compensation plans not approved by security holders | | | | | — | | | | | | — | | | | | | — | | |
Total | | | | | 14,760,619 | | | | | $ | 4.89 | | | | | | 1,139,550 | | |
| | 2017 | | 2016 | | | 2019 | | 2018 | | ||||||||||||||||
Audit Fees | | | $ | 75,250 | | | | $ | 56,000 | | | | | $ | 279,400 | | | | $ | 224,170 | | | ||||
Audit-Related Fees | | | | 33,000 | | | | | — | | | | | | — | | | | | 28,500 | | | ||||
Tax Fees | | | | — | | | | | 13,000 | | | | | | — | | | | | — | | | ||||
All Other Fees | | | | — | | | | | — | | | | | | 359,900 | | | | | 75,000 | | | ||||
Total | | | $ | 108,250 | | | | $ | 69,000 | | | | | $ | 639,300 | | | | $ | 327,670 | | |