| | |
Page
|
| |||
| | | | 7 | | | |
| | | | 11 | | | |
| | | | 18 | | | |
| | | | 19 | | | |
| | | | 36 | | | |
| | | | 37 | | | |
| | | | 38 | | | |
| | | | 39 | | | |
| | | | 40 | | | |
| | | | 42 | | | |
| | | | 46 | | | |
| | | | 49 | | | |
| | | | 51 | | | |
| | | | 52 | | | |
| | | | 60 | | | |
| | | | 61 | | | |
| | | | 62 | | | |
| | | | 63 | | | |
ANNEXES: | | ||||||
| | | | A-1 | | |
| | |
Summary Compensation Table
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||
Name and Principal Position
|
| |
Year
|
| |
Salary
($) |
| |
Bonus
($) |
| |
Stock
Awards ($)(1) |
| |
Option
Awards ($) |
| |
Non-Equity
Incentive Plan Compensation ($) |
| |
Non-Qualified
Deferred Compensation Earnings ($) |
| |
All Other
Compensation ($)(2) |
| |
Total
($) |
| |||||||||||||||||||||||||||
Lester R. Brafman
|
| | | | 2021 | | | | | | 630,000 | | | | | | 5,500,000 | | | | | | 4,586,673(6) | | | | | | — | | | | | | — | | | | | | — | | | | | | 1,754,559(12) | | | | | | 12,471,232 | | |
Chief Executive Officer(3)
|
| | | | 2020 | | | | | | 630,000 | | | | | | 2,120,000 | | | | | | 3,995,530(7) | | | | | | — | | | | | | — | | | | | | 1,124,000 | | | | | | 1,994,559(13) | | | | | | 9,864,089 | | |
Daniel G. Cohen Chairman(4)
|
| | | | 2021 | | | | | | 630,000 | | | | | | 5,500,000 | | | | | | 4,586,673(8) | | | | | | — | | | | | | — | | | | | | — | | | | | | 1,754,510(12) | | | | | | 12,471,183 | | |
| | | | | 2020 | | | | | | 630,000 | | | | | | 1,520,000 | | | | | | 3,995,530(9) | | | | | | — | | | | | | — | | | | | | 1,967,000 | | | | | | 1,996,798(13) | | | | | | 10,109,328 | | |
Joseph W. Pooler, Jr.
|
| | | | 2021 | | | | | | 463,000 | | | | | | 1,413,665 | | | | | | 254,665(10) | | | | | | — | | | | | | — | | | | | | — | | | | | | 290,618 | | | | | | 2,421,948 | | |
Executive Vice President, Chief Financial Officer & Treasurer(5)
|
| | | | 2020 | | | | | | 441,000 | | | | | | 775,860 | | | | | | 185,400(11) | | | | | | — | | | | | | — | | | | | | — | | | | | | 320,889 | | | | | | 1,723,149 | | |
| | |
Option Awards
|
| |
Stock Awards
|
| ||||||||||||||||||||||||||||||||||||||||||||||||
Name
|
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable |
| |
Number of
Securities Underlying Unexercised Options (#) Unexercisable |
| |
Equity
Incentive Plan Awards; Number of Securities Underlying Unexercised Unearned Options (#) |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| |
Number of
Shares of Stock or Units That Have Not Vested (#) |
| |
Market
Value of Shares of Stock or Units That Have Not Vested ($) (1) |
| |
Equity
Incentive Plan Awards; Number of Unearned Shares, Units or Other Rights That Have Not Vested (#) |
| |
Equity
Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested ($) |
| |||||||||||||||||||||||||||
Lester R. Brafman
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | |
|
(2)
|
| | | | | 6,901,504 | | | | | | — | | | | | | — | | |
Joseph W. Pooler, Jr.
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 34,160(3) | | | | | | 505,910 | | | | | | — | | | | | | — | | |
Daniel G. Cohen
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 4,660,040(4) | | | | | | 6,901,519 | | | | | | — | | | | | | — | | |
| | |
(a)
|
| |
(b)
|
| |
(c)
|
| |||||||||
Plan Category
|
| |
Number of
securities to be issued upon the exercise of outstanding options, warrants and rights(1) |
| |
Weighted-
average exercise price of outstanding options, warrants and rights |
| |
Number of securities
remaining available for future issuance under equity compensation plans (excluding securities reflected in column (a)) |
| |||||||||
Equity compensation plans approved by security holders
|
| | | | — | | | | | | — | | | | | | 195,924 | | |
Equity compensation plans not approved by security holders
|
| | | | — | | | | | | — | | | | | | — | | |
Total
|
| | | | | | | | | | | | | | | | 195,924 | | |
Name
|
| |
Fees
Earned or Paid in Cash ($)(1) |
| |
Stock
Awards ($) |
| |
Option
Awards ($) |
| |
Non-Equity
Incentive Plan Compensation ($) |
| |
Nonqualified
Deferred Compensation Earnings ($) |
| |
All Other
Compensation ($) |
| |
Total
($) |
| |||||||||||||||||||||
G. Steven Dawson
|
| | | | 95,000 | | | | | | 16,430 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 111,430 | | |
Jack DiMaio
|
| | | | 75,000 | | | | | | 16,430 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 91,430 | | |
Jack Haraburda
|
| | | | 78,750 | | | | | | 16,430 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 95,180 | | |
Diana Louise Liberto
|
| | | | 78,750 | | | | | | 16,430 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 95,180 | | |
| | |
Year Ended
December 31, 2021 |
| |
Year Ended
December 31, 2020 |
| ||||||
Audit Fees(1)
|
| | | $ | 614,130 | | | | | $ | 553,416 | | |
Audit-Related Fees(2)
|
| | | | 19,950 | | | | | | 19,950 | | |
Tax Fees
|
| | | | — | | | | | | — | | |
All Other Fees
|
| | | | 10,000 | | | | | | 59,000 | | |
Total Principal Accounting Firm Fees
|
| | | $ | 644,080 | | | | | $ | 632,366 | | |
Name
|
| |
Series E
Preferred Stock Beneficially Owned |
| |
Percent of
Class(1) |
| |
Series F
Preferred Stock Beneficially Owned |
| |
Percent of
Class(2) |
| |
Common
Stock Beneficially Owned |
| |
Percent of
Class(3) |
| ||||||||||||||||||
Greater than 5% owners: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Betsy Zubrow Cohen(4)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 83,595 | | | | | | 5.40% | | |
Edward E. Cohen(5)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 105,484 | | | | | | 6.81% | | |
EBC 2013 Family Trust(6)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 80,000 | | | | | | 5.17% | | |
Directors and Named Executive Officers: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Lester R. Brafman(7)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 145,952 | | | | | | 9.43% | | |
Daniel G. Cohen(8)
|
| | | | 4,983,557 | | | | | | 100% | | | | | | 22,429,541(9) | | | | | | 100% | | | | | | 4,140,951 | | | | | | 75.20% | | |
G. Steven Dawson(10)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 26,970 | | | | | | 1.74% | | |
Jack J. DiMaio, Jr.
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 17,633 | | | | | | 1.14% | | |
Jack Haraburda
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 8,284 | | | | | | * | | |
Diana Louise Liberto
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 12,338 | | | | | | * | | |
Joseph W. Pooler, Jr.(11)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 46,516 | | | | | | 3.00% | | |
All current executive officers and directors
as a group (7 persons)(12) |
| | | | 4,983,557 | | | | | | 100% | | | | | | 22,429,541 | | | | | | 100% | | | | | | 4,398,644 | | | | | | 79.88% | | |
Name
|
| |
Percent of
Class of Dioptra III Interests |
| |||
Directors and Named Executive Officers: | | | | | | | |
Daniel G. Cohen(1)
|
| | | | 3.41% | | |
Lester R. Brafman(2)
|
| | | | 3.41% | | |
Joseph W. Pooler, Jr.(3)
|
| | | | * | | |
All current executive officers and directors as a group (7 persons)
|
| | | | 7.33% | | |
Name
|
| |
Age
|
| |
Position
|
|
Lester R. Brafman | | |
59
|
| | Chief Executive Officer | |
Daniel G. Cohen | | |
52
|
| | President and Chief Executive, European Business | |
Joseph W. Pooler, Jr. | | |
56
|
| | Executive Vice President, Chief Financial Officer and Treasurer | |
SPAC
|
| |
Business
Combination Target |
| |
Post-Business
Combination Trading Symbol |
| |
Business
Combination Closing Date |
| |
Founder Shares
Allocable to Solomon Cohen |
| |
Trading Price as
of April 7, 2022 |
| ||||||
FTAC Olympus Acquisition Corp.
|
| | Payoneer Global Inc. | | |
NASDAQ: PAYO
|
| | June 25, 2021 | | | | | 339,979 | | | | | $ | 4.47 | | |
FinTech Acquisition Corp. IV
|
| |
Perella Weinberg Partners
|
| | NASDAQ: PWP | | | June 24, 2021 | | | | | 204,562 | | | | | $ | 8.26 | | |
10X Capital Venture Acquisition Corp.
|
| | REE Automotive Ltd. | | | NASDAQ: REE | | | July 22, 2021 | | | | | 440,427 | | | | | $ | 2.01 | | |
Atlas Crest Investment
Corp. |
| | Archer Aviation Inc. | | | NYSE: ACHR | | | September 16, 2021 | | | | | 155,957 | | | | | $ | 4.12 | | |
Virtuoso Acquisition Corp
|
| | Wejo Group Ltd. | | |
NASDAQ: WEJO
|
| | November 18, 2021 | | | | | 275,362 | | | | | $ | 3.48 | | |
SPAC
|
| |
Business
Combination Target |
| |
Post-Business
Combination Trading Symbol |
| |
Business
Combination Closing Date |
| |
Founder Shares
Allocable to Solomon Cohen |
| |
Trading Price as
of April 7, 2022 |
| ||||||
Athena Technology Acquisition Corp.
|
| | Heliogen, Inc. | | | NYSE: HLGN | | | December 30, 2021 | | | | | 578,093 | | | | | $ | 4.97 | | |
Healthcare Capital Corp.
|
| | Alpha Tau Medical Ltd. | | |
NASDAQ: DRTS
|
| | March 7, 2022 | | | | | 138,098* | | | | | $ | 11.20 | | |