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Name
|
| |
Age
|
| |
Position
|
|
Colin James Deller | | |
52
|
| | Chief Executive Officer and Director | |
Brian G. Fike | | |
51
|
| | Chief Financial Officer, Treasurer and Secretary | |
Robert T. Hoffman Sr. | | |
61
|
| | Director | |
Lon E. Bell, Ph.D.* | | |
79
|
| | Director | |
Susanne L. Meline | | |
52
|
| | Director | |
Bruce A. Pate | | |
62
|
| | Director | |
| | |
Fees Earned
or Paid in Cash |
| |
Stock
Awards |
| |
Option
Awards |
| |
Non-Equity
Incentive Plan Compensation |
| |
Nonqualified
Deferred Compensation Earnings |
| |
All Other
Compensation |
| |
Total
|
| |||||||||||||||||||||
Lon E. Bell
|
| | | $ | | | | | $ | | | | | $ | 24,457(1) | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | 24,457 | | | ||
James Simmons
|
| | | | | | | | | | | | | | | | 23,378(2) | | | | | | — | | | | | | — | | | | | | — | | | | | | 23,378 | | |
Bruce Pate
|
| | | | | | | | | | | | | | | | 25,356(3) | | | | | | — | | | | | | — | | | | | | — | | | | | | 25,356 | | |
Susanne Meline
|
| | | | | | | | | | | | | | | | 32,729(4) | | | | | | | | | | | | | | | | | | | | | | | | 32,729 | | |
Robert T. Hoffman
|
| | | | | | | | | | | | | | | | 31,108(5) | | | | | | | | | | | | | | | | | | | | | | | | 31,108 | | |
| | | | $ | — | | | | | $ | — | | | | | $ | 137,028 | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | 137,028 | | |
| | |
2019
|
| |
2018
|
| ||||||
Audit Fees
|
| | | $ | 60,500 | | | | | $ | 57,000 | | |
Audit Related Fees
|
| | | | — | | | | | | — | | |
Tax Fees
|
| | | $ | 14,912 | | | | | | — | | |
All Other Fees
|
| | | $ | 6,528 | | | | | $ | 21,912 | | |
Name and Principal Position
|
| |
Year
|
| |
Salary
|
| |
Bonus
|
| |
Option
Awards(1) |
| |
All Other
Compensation(2) |
| |
Total
|
| ||||||||||||||||||
Robert T. Hoffman
President, Chief Executive Officer, and Chairman of the Board of Directors |
| | | | 2019 | | | | | $ | 0 | | | | | $ | 0(3) | | | | | $ | 0 | | | | | $ | 0 | | | | | $ | 0 | | |
| | | 2018 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | ||
Colin J. Deller
Chief Executive Officer |
| | | | 2019 | | | | | | 306,250 | | | | | | 90,000(4) | | | | | | 206,992(5) | | | | | | 59,444 | | | | | | 662,686 | | |
| | | 2018 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | | ||
Brian G. Fike
Chief Financial Officer |
| | | | 2019 | | | | | | 174,250 | | | | | | 19,217(4) | | | | | | 50,098 | | | | | | 29,941 | | | | | | 273,506 | | |
| | | 2018 | | | | | | 170,000 | | | | | | 52,309(6) | | | | | | 13,446 | | | | | | 32,491 | | | | | | 268,246 | | |
Name
|
| |
Number of
Securities Underlying Unexercised Options(#) Exercisable |
| |
Equity Incentive
Plan Awards: Number of Securities Underlying Unexercised Unearned Options (#) Unexercisable |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| |
Equity Incentive
Plan Awards: Number of Unearned Shares, Units or Other Rights that have not Vested (#) |
| |
Equity Incentive
Plan Awards: Market of Payout Value of Unearned Shares, Units or Other Rights that have not Vested ($) |
| ||||||||||||||||||
Colin J. Deller
|
| | | | 66,667(1) | | | | | | 133,333(1) | | | | | $ | 2.25 | | | | | | 01-27-29 | | | | | | — | | | | | | — | | |
| | | | | 133,333(2) | | | | | | 266,667(2) | | | | | $ | 1.16 | | | | | | 01-27-29 | | | | | | — | | | | | | — | | |
Brian G Fike
|
| | | | 16,667(1) | | | | | | 33,333(1) | | | | | $ | 2.25 | | | | | | 12-31-28 | | | | | | — | | | | | | — | | |
| | | | | 16,667(1) | | | | | | 33,333(1) | | | | | $ | 1.21 | | | | | | 12-31-28 | | | | | | — | | | | | | — | | |
| | | | | 50,000(3) | | | | | | — (3) | | | | | $ | 1.21 | | | | | | 12-31-28 | | | | | | — | | | | | | — | | |
| | | | | 9,375(4) | | | | | | 15,625(4) | | | | | $ | 1.90 | | | | | | 03-31-28 | | | | | | — | | | | | | — | | |
| | | | | 6,250(5) | | | | | | 3,750(5) | | | | | $ | 3.80 | | | | | | 03-31-27 | | | | | | — | | | | | | — | | |
| | | | | 4,500(6) | | | | | | 500(6) | | | | | $ | 4.21 | | | | | | 03-31-26 | | | | | | — | | | | | | — | | |
Name and Address of Beneficial Owner(1)
|
| |
Amount of
Beneficial Ownership(2) |
| |
Percent
of Class |
| ||||||
Directors and Officers: | | | | | | | | | | | | | |
Colin J. Deller
|
| | | | 578,161(3) | | | | | | 2.1% | | |
Brian G. Fike
|
| | | | 182,667(4) | | | | | | 0.7% | | |
Robert T. Hoffman
|
| | | | 5,443,715(5) | | | | | | 20.3% | | |
Lon E. Bell, Ph.D.
|
| | | | 466,499(6) | | | | | | 1.7% | | |
Susanne Meline
|
| | | | 190,272(7) | | | | | | 0.7% | | |
Bruce A. Pate
|
| | | | 260,250(8) | | | | | | 1.0% | | |
All Directors and Executive Officers as a Group (6 persons)
|
| | | | 7,121,564 | | | | | | 25.6% | | |
5% Owners | | | | | | | | | | | | | |
CLIR SPV LLC
|
| | | | 5,213,543 | | | | | | 19.5% | | |
Directors and Officers
|
| |
Shares
Purchased |
| |||
Stephen E. Pirnat
|
| | | | 10,000 | | |
Brian G. Fike
|
| | | | 1,000 | | |
Lon E. Bell, Ph.D.
|
| | | | 111,000 | | |
Susanne Meline
|
| | | | 22,222 | | |
All Directors and Executive Officers as a Group (4 persons)
|
| | | | 144,222 | | |