Name and Address of Beneficial Owner
|
| |
Number of
Shares Owned Beneficially(1) |
| |
Percentage of
Class(2) |
| ||||||
Interested Directors: | | | | | | | | | | | | | |
Michael T. Moe
|
| | | | 70,144 | | | | | | * | | |
Mark D. Klein
|
| | | | 99,007(3) | | | | | | * | | |
Independent Directors: | | | | | | | | | | | | | |
Leonard A. Potter
|
| | | | 24,333 | | | | | | * | | |
Ronald M. Lott
|
| | | | None | | | | | | * | | |
Marc Mazur
|
| | | | 6,000 | | | | | | * | | |
David S. Pottruck
|
| | | | 10,000 | | | | | | * | | |
Executive Officers: | | | | | | | | | | | | | |
William F. Tanona
|
| | | | 10,000 | | | | | | * | | |
Carl M. Rizzo
|
| | | | None | | | | | | * | | |
Executive officers and directors as a group (8 persons)
|
| | | | 219,484 | | | | | | * | | |
Other: | | | | | | | | | | | | | |
Wellington Management Group LLP
|
| | | | 1,391,253(4) | | | | | | 6.60%(4) | | |
Division of Investment, Department of Treasury, State of New Jersey
|
| | | | 1,815,000(5) | | | | | | 8.53%(5) | | |
Name of Director
|
| |
Dollar Range of Equity
Securities Beneficially Owned(1)(2) |
|
Interested Directors | | | | |
Michael T. Moe
|
| |
Over $100,000
|
|
Mark D. Klein
|
| |
Over $100,000
|
|
Independent Directors | | | | |
Leonard A. Potter
|
| |
Over $100,000
|
|
Ronald M. Lott
|
| |
None
|
|
Marc Mazur
|
| |
$10,001 – $50,000
|
|
David S. Pottruck
|
| |
$50,001 – $100,000
|
|
Name
|
| |
Age
|
| |
Position
|
| |
Director
Since |
| |
Expiration of
Term |
|
Interested Directors | | | | | | | | | | | | | |
Michael T. Moe | | |
55
|
| |
Executive Chair of the Board of Directors
|
| |
2010
|
| |
2018
|
|
Mark D. Klein | | |
56
|
| | Chief Executive Officer and Director | | |
2011
|
| |
2020
|
|
Independent Directors | | | | | | | | | | | | | |
Leonard A. Potter | | |
56
|
| | Director | | |
2011
|
| |
2019
|
|
Ronald M. Lott | | |
58
|
| | Director | | |
2015
|
| |
2019
|
|
Marc Mazur | | |
58
|
| | Director | | |
2017
|
| |
2019
|
|
David S. Pottruck | | |
69
|
| | Director | | |
2017
|
| |
2018
|
|
Name
|
| |
Age
|
| |
Position
|
| |
Executive
Officer Since |
|
William F. Tanona | | |
44
|
| | President, Chief Financial Officer, Treasurer and Corporate Secretary | | |
2014
|
|
Carl M. Rizzo | | |
66
|
| | Chief Compliance Officer | | |
2014
|
|
Name
|
| |
Fees Earned
or Paid in Cash(1) |
| |
All Other
Compensation(2) |
| |
Total
|
| |||||||||
Interested Directors | | | | | | | | | | | | | | | | | | | |
Michael T. Moe
|
| | | | — | | | | | | — | | | | | | — | | |
Mark D. Klein
|
| | | | — | | | | | | — | | | | | | — | | |
Mark W. Flynn(3)
|
| | | | — | | | | | | — | | | | | | — | | |
Independent Directors | | | | | | | | | | | | | | | | | | | |
Leonard A. Potter
|
| | | $ | 88,958 | | | | | | — | | | | | $ | 88,958 | | |
Catherine J. Friedman(4)
|
| | | | 18,750 | | | | | | — | | | | | | 18,750 | | |
Bradford C. Koenig(4)
|
| | | | 17,708 | | | | | | — | | | | | | 17,708 | | |
Ronald M. Lott
|
| | | | 85,000 | | | | | | — | | | | | | 85,000 | | |
Marc Mazur(5)
|
| | | | 71,250 | | | | | | — | | | | | | 71,250 | | |
David S. Pottruck(6)
|
| | | | 46,813 | | | | | | — | | | | | | 46,813 | | |
| | |
Fiscal Year
Ended December 31, 2017 |
| |
Fiscal Year
Ended December 31, 2016 |
| ||||||
Audit Fees
|
| | | $ | 736,000 | | | | | $ | 700,000 | | |
Audit-Related Fees
|
| | | | — | | | | | | 52,500 | | |
Tax Fees
|
| | | | 25,000 | | | | | | 25,000 | | |
All Other Fees
|
| | | | — | | | | | | — | | |
Total Fees:
|
| | | $ | 761,000 | | | | | $ | 777,500 | | |
|