| | | | By Order of the Board of Directors, | |
| May 7, 2019 | | |
/s/ Dennis Lacey
Dennis Lacey,
Chief Executive Officer |
|
Name
|
| |
Fees Earned or
Paid in Cash |
| |
Option
Awards (1) |
| |
Totals
|
| |||||||||
Ian Bowles
|
| | | $ | 50,600 | | | | | $ | 50,200 | | | | | $ | 100,800 | | |
Robert L. Scott
|
| | | $ | 44,600 | | | | | $ | 50,200 | | | | | $ | 94,800 | | |
Pavel Bouska
|
| | | $ | 30,200 | | | | | $ | 50,200 | | | | | $ | 80,400 | | |
John Schaeffer
(2)
|
| | | $ | 9,000 | | | | | | — | | | | | $ | 9,000 | | |
Name
|
| |
Age
|
| |
Position
|
|
Dennis Lacey | | |
65
|
| | Chief Executive Officer and Director | |
Alan Fine | | |
65
|
| | Chief Financial Officer, Chief Administrative Officer and Treasurer | |
Nicolle Dorsey | | |
40
|
| | Principal Accounting Officer and Controller | |
Name and Address of Beneficial Owner
|
| |
Amount and
Nature of Beneficial Ownership (1) |
| |
Percent of
Class |
| ||||||
Hudson Bay Master Fund, Ltd.
(2)
|
| | | | 9,116,707 | | | | | | 7.77 % | | |
Intracoastal Capital, LLC
(3)
|
| | | | 8,942,342 | | | | | | 7.75 % | | |
Dennis Lacey
(4)
|
| | | | 436,662 | | | | | | * | | |
Alan Fine
(5)
|
| | | | 122,478 | | | | | | * | | |
Nicolle Dorsey
(6)
|
| | | | 14,150 | | | | | | * | | |
Pavel Bouska
(7)
|
| | | | 35,829 | | | | | | * | | |
Ian Bowles
(8)
|
| | | | 165,830 | | | | | | * | | |
Robert L. Scott
(9)
|
| | | | 65,825 | | | | | | * | | |
George Neble
(10)
|
| | | | 20,000 | | | | | | * | | |
All directors and executive officers as a group (6 persons)
(11)
|
| | | | 840,771 | | | | | | 0.91 % | | |
Name and Principal Position
|
| |
Year
|
| |
Salary
|
| |
Option Awards
(1)
|
| |
Totals
|
| ||||||||||||
Dennis Lacey
Chief Executive Officer and Director |
| | | | 2018 | | | | | $ | 375,972 | | | | | $ | 211,600 | | | | | $ | 587,572 | | |
| | | 2017 | | | | | $ | 375,000 | | | | | $ | | | | | | $ | 375,000 | | | ||
Alan Fine
Chief Financial and Administrative Officer |
| | | | 2018 | | | | | $ | 191,346 | | | | | $ | 85,800 | | | | | $ | 277,146 | | |
| | | 2017 | | | | | $ | 185,000 | | | | | $ | | | | | | $ | 185,000 | | | ||
Nicolle Dorsey
(2)
Principal Accounting Officer and Controller |
| | | | 2018 | | | | | $ | 127,914 | | | | | $ | 42,600 | | | | | $ | 170,514 | | |
| | | 2017 | | | | | $ | 100,346 | | | | | $ | | | | | | $ | 100,346 | | |
| | |
Option Awards
|
| | | |||||||||||||||||||||||||
| | |
Number of Securities
Underlying Unexercised Options (1) |
| |
Option
Exercise Price (1) |
| |
Option
Expiration Date (1) |
| | | |||||||||||||||||||
| | |
Exercisable
|
| |
Unexercisable
|
| | | | | | | ||||||||||||||||||
Dennis Lacey
|
| | | | 12 | | | | | | — | | | | | $ | 45,120 | | | | | | 02/28/2021 | | | | | ||||
| | | | | 4 | | | | | | — | | | | | $ | 26,520 | | | | | | 07/17/2021 | | | | | ||||
| | | | | 25 | | | | | | — | | | | | $ | 24,720 | | | | | | 08/18/2021 | | | | | ||||
| | | | | 24 | | | | | | 10 (2) | | | | | $ | 1,428 | | | | | | 06/1/2022 | | | | | ||||
| | | | | 47,500 | | | | | | 142,500 | | | | | $ | 1.08 | | | | | | 6/21/2025 | | | | | ||||
| | | | | 1,667 | | | | | | 18,333 | | | | | $ | 0.32 | | | | | | 10/15/2025 | | | | | ||||
Alan Fine
|
| | | | 1 | | | | | | — | | | | | $ | 31,800 | | | | | | 07/07/2021 | | | | | ||||
| | | | | 2 | | | | | | — | | | | | $ | 14,760 | | | | | | 10/19/2021 | | | | | ||||
| | | | | 5 | | | | | | — | | | | | $ | 1,428 | | | | | | 06/1/2022 | | | | | ||||
| | | | | 18,750 | | | | | | 56,250 | | | | | $ | 1.08 | | | | | | 6/21/2025 | | | | | ||||
| | | | | 1,250 | | | | | | 13,750 | | | | | $ | 0.32 | | | | | | 10/15/2025 | | | | | ||||
Nicolle Dorsey
(3)
|
| | | | 8,750 | | | | | | 26,250 | | | | | $ | 1.08 | | | | | | 6/21/2025 | | | | | ||||
| | | | | 1,250 | | | | | | 13,750 | | | | | $ | 0.32 | | | | | | 10/15/2025 | | | | |
| | |
Number of securities
to be issued upon exercise of outstanding options, and rights |
| |
Weighted average
exercise price of outstanding options, and rights |
| |
Number of securities
remaining available for future issuance under equity compensation plans |
| |||||||||
Equity compensation plans approved by
security holders |
| | | | 1,206,645 | | | | | $ | 3.22 | | | | | | 93,500 | | |
|
Audit and Non-Audit Fees (in $000’s)
|
| |
2018
|
| |
2017
|
| ||||||
Audit fees
(1)
|
| | | $ | 338 | | | | | $ | — | | |