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Name and Address of Beneficial Owner
|
| |
Number of Shares
Owned Beneficially(1) |
| |
Percentage of
Class(2) |
| ||||||
Interested Directors: | | | | | | | | | | | | | |
Mark D. Klein
|
| | | | 443,612(3) | | | | | | 1.83% | | |
Independent Directors: | | | | | | | | | | | | | |
Leonard A. Potter
|
| | | | 39,773(4) | | | | | | * | | |
Ronald M. Lott
|
| | | | 5,540(4) | | | | | | * | | |
Marc Mazur
|
| | | | 11,440(4) | | | | | | * | | |
Lisa Westley
|
| | | | 5,440(5) | | | | | | * | | |
Executive Officers: | | | | | | | | | | | | | |
Allison Green
|
| | | | 45,133(6) | | | | | | * | | |
Executive officers and directors as a group (6 persons)
|
| | | | 550,938 | | | | | | 2.28% | | |
Other: | | | | | | | | | | | | | |
Robert S. Birch
|
| | | | 1,991,263(7) | | | | | | 8.23% | | |
Name of Director
|
| |
Dollar Range of Equity Securities
Owned Beneficially(1)(2) |
|
Interested Directors: | | | | |
Mark D. Klein
|
| |
Over $100,000(3)
|
|
Independent Directors: | | | | |
Leonard A. Potter
|
| |
Over $100,000(4)
|
|
Ronald M. Lott
|
| |
$50,001 – $100,000(4)
|
|
Marc Mazur
|
| |
Over $100,000(4)
|
|
Lisa Westley
|
| |
$50,001 – $100,000(5)
|
|
Name
|
| |
Age
|
| |
Position
|
| |
Director
Since |
| |
Expiration
of Term |
|
Interested Directors: | | | | | | | | | | | | | |
Mark D. Klein | | |
59
|
| | Chief Executive Officer, President, and Chairman and Director | | |
2011
|
| |
2023
|
|
Independent Directors: | | | | | | | | | | | | | |
Leonard A. Potter | | |
59
|
| | Director | | |
2011
|
| |
2021
|
|
Ronald M. Lott | | |
61
|
| | Director | | |
2015
|
| |
2022
|
|
Marc Mazur | | |
61
|
| | Director | | |
2017
|
| |
2022
|
|
Lisa Westley | | |
55
|
| | Director | | |
2019
|
| |
2023
|
|
Name
|
| |
Age
|
| |
Position
|
| |
Executive
Officer Since |
|
Allison Green | | |
36
|
| | Chief Financial Officer, Chief Compliance Officer, Treasurer, and Corporate Secretary | | |
2018
|
|
Name
|
| |
Fees Earned or
Paid in Cash |
| |
Stock Awards(1)
|
| |
Total(2)
|
| |||||||||
Leonard A. Potter
|
| | | $ | 110,000 | | | | | $ | 50,000 | | | | | $ | 160,000 | | |
Ronald M. Lott
|
| | | | 110,000 | | | | | | 50,000 | | | | | | 160,000 | | |
Marc Mazur
|
| | | | 115,000 | | | | | | 50,000 | | | | | | 165,000 | | |
Lisa Westley
|
| | | | 110,000 | | | | | | 50,000 | | | | | | 160,000 | | |
Name and Principal Position
|
| |
Year
|
| |
Salary(1)
|
| |
Bonus
|
| |
Stock
Awards* |
| |
All Other
Compensation(2) |
| |
Total
|
| ||||||||||||||||||
Mark D. Klein
Chairman and Member of the Board of Directors, Chief Executive Officer, and President |
| | | | 2020 | | | | | $ | 850,000 | | | | | $ | 3,150,000(3) | | | | | $ | — | | | | | $ | 425 | | | | | $ | 4,000,425 | | |
| | | 2019(4) | | | | | $ | 680,914 | | | | | $ | 1,050,000(5) | | | | | $ | 2,442,326 * | | | | | $ | 315 | | | | | $ | 4,155,555* | | | ||
Allison Green
Chief Financial Officer, Chief Compliance Officer, Treasurer, and Corporate Secretary(6) |
| | | | 2020 | | | | | $ | 450,000 | | | | | $ | 740,000(3) | | | | | $ | — | | | | | $ | 16,467 | | | | | $ | 1,206,467 | | |
| | | 2019(4) | | | | | $ | 356,855 | | | | | $ | 415,000(5) | | | | | $ | 449,902 * | | | | | $ | 5,566 | | | | | $ | 1,227,323* | | |
Name
|
| |
Benefit
|
| |
Upon Death
or Disability(1) |
| |
Voluntary
Resignation(1)(2) |
| |
Termination
for Cause(1) |
| |
Termination
without Cause or Resignation for Good Reason Prior to a Change in Control(1) |
| |
Termination
without Cause or Resignation for Good Reason After a Change in Control(1) |
| |||||||||||||||
Mark D. Klein | | |
Salary(3)
|
| | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | 1,700,000(4) | | | | | $ | 2,550,000(4) | | |
| | |
Bonus(5)
|
| | | | — | | | | | | — | | | | | | — | | | | | | 1,700,000(6) | | | | | | 2,550,000(6) | | |
| | |
Accelerated Equity
Award Vesting(7) |
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | |
Other(8)
|
| | | | — | | | | | | — | | | | | | — | | | | | | 54,000 | | | | | | 54,000 | | |
| | |
Total
|
| | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | 3,454,000 | | | | | $ | 5,154,000 | | |
Allison Green | | |
Salary(3)
|
| | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | 450,000(4) | | | | | $ | 900,000(4) | | |
| | |
Bonus(5)
|
| | | | — | | | | | | — | | | | | | — | | | | | | 450,000(6) | | | | | | 900,000(6) | | |
| | |
Accelerated Equity
Award Vesting(7) |
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | |
Other(8)
|
| | | | — | | | | | | — | | | | | | — | | | | | | 36,000 | | | | | | 36,000 | | |
| | |
Total
|
| | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | 936,000 | | | | | $ | 1,836,000 | | |
| | |
Fiscal Year Ended
December 31, 2020 |
| |
Fiscal Year Ended
December 31, 2019 |
| ||||||
Audit Fees
|
| | | $ | 688,748 | | | | | $ | 117,300 | | |
Audit-Related Fees
|
| | | | 58,995 | | | | | | — | | |
Tax Fees
|
| | | | 38,174 | | | | | | — | | |
All Other Fees
|
| | | | — | | | | | | — | | |
Total Fees
|
| | | $ | 785,917 | | | | | $ | 117,300 | | |
| | |
Fiscal Year Ended
December 31, 2019 |
| |||
Audit Fees
|
| | | $ | 872,376 | | |
Audit-Related Fees
|
| | | | — | | |
Tax Fees
|
| | | | 31,000 | | |
All Other Fees
|
| | | | — | | |
Total Fees
|
| | | $ | 903,376 | | |