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Name | | | Age | | | Position(s) | |
William (Bill) Koeck | | | | | Chairman | | |
Garold Spindler | | | | | Managing Director and Chief Executive Officer | | |
Philip Christensen | | | | | Director | | |
Greg Pritchard | | | | | Director | | |
Laura Tyson | | | | | Director | | |
Sir Michael (Mick) Davis | | | | | Director | |
Service | | | Fee | | ||||||||||||||||
| Fee | | ||||||||||||||||||
Service | | | 2020 | | | 2021 | | 2020 | | |||||||||||
| | $ | 2,602,500 | | | | | $ | 2,425,000 | | | | $ | 2,602,500 | | | ||||
Audit-Related Fees(2) | | | $ | 190,380 | | | | | $ | 356,268 | | | | $ | 190,380 | | | |||
Tax Fees(3) | | | $ | 109,677 | | | | | $ | 104,663 | | | | $ | 109,677 | | | |||
All Other Fees | | | | ― | | | | | | — | | | | | — | | |
Service | | | Fee | | |||
| 2019 | | |||||
Audit Fees(1) | | | | $ | 1,831,400 | | |
Audit-Related Fees | | | | $ | 20,000 | | |
Tax Fees(2) | | | | $ | 191,000 | | |
All Other Fees(3) | | | | | ― | | |
Service | | | Fee 2020 | | |||
Audit Fees | | | | $ | — | | |
Audit-Related Fees(1) | | | | $ | 40,000 | | |
Tax Fees | | | | $ | — | | |
All Other Fees(2) | | | | $ | 265,000 | | |
Name | | | Age | | | Position(s) | |
Garold Spindler | | | | | Managing Director and Chief Executive Officer | | |
| | | | | |||
Douglas G. Thompson | | | 49 | | | Chief Operating Officer, Australia | |
Gerhard Ziems | | | | | Group Chief Financial Officer | | |
| | | | Vice President, Chief Legal Officer and Secretary | | ||
Emma Pollard | | | | | |
| | | ||
Garold Spindler | | | Managing Director and Chief Executive Officer | |
Gerhard Ziems | | | Group Chief Financial Officer | |
| | | ||
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Emma Pollard | | | | |
| | Former | |
Name | | Position | | As at December 31, 2020 | | As at December 31, 2019 | | | Position | | As at December 31, 2021 | | As at December 31, 2020 | | ||||||
Garold Spindler | | Chief Executive Officer | | $1,250,000 | | $1,250,000 | | | Chief Executive Officer | | $1,250,000 | | $1,250,000 | | ||||||
Gerhard Ziems | | Group Chief Financial Officer | | $538,135 (A$780,000) | | N/A | | | Group Chief Financial Officer | | $586,894 (A$780,937) | | $538,135 (A$780,000) | | ||||||
James Campbell | | Chief Operating Officer | | $650,000 | | $650,000 | | |||||||||||||
Richard Rose | | Chief Legal Officer | | $400,000 | | $400,000 | | |||||||||||||
Jeffrey Bitzer | | Chief Operating Officer, United States | | $425,000 | | — | | |||||||||||||
Douglas Thompson | | Chief Operating Officer, Australia | | $526,068 (A$700,000) | | — | | |||||||||||||
Emma Pollard | | Vice President, People and Culture | | $303,563 (A$440,000) | | $306,027 (A$440,000) | | | Chief People and Sustainability Officer | | $331,375 (A$440,937) | | $303,563 (A$440,000) | | ||||||
Ayten Saridas(1) | | Former Group Chief Financial Officer | | $524,336 (A$760,000) | | $528,293 (A$760,000) | | |||||||||||||
James Campbell(1) | | Former Chief Operating Officer | | $650,000 | | $650,000 | |
| | Weighting | | STI Award (75%) | | STI Award (100%) | | Actual FY2020 Results | | Resulting Percentage of Maximum Opportunity | | | Proportion | | | | STI Award (75%) | | STI Award (100%) | | FY21 Actual | | % Achieved | | ||||||||||||||||||||||||||||||||
Metrics | | | 1 Safety | | | | 30% | | | | | | AU | | | 10% reduction in TRIFR compared to prior year (5.90) | | 20% reduction in TRIFR compared to prior year (5.25) | | 9.39 | | | | 0% | | | ||||||||||||||||||||||||||||||
| | | US | | | TRIR = 80% of national average (2.46) | | TRIR = 60% of national average (1.85) | | 2.24 | | | | 82.5% | | | ||||||||||||||||||||||||||||||||||||||||
| 2 Production | | | | 35% | | | | | | | | 21.5mt | | 22.0mt | | 17.0mt | | | | 0% | | | |||||||||||||||||||||||||||||||||
| 3 Costs/ton | | | | 35% | | | | | | | | US$56.8/ton | | US$56.3/ton | | US$55.6/ton | | | | 100% | | | |||||||||||||||||||||||||||||||||
| | | | | | | | | | | | | | | | | Total | | | | 47.38% | | | |||||||||||||||||||||||||||||||||
Safety | | | | 30% | | | | AUS | | TRIFR 7.50 | | TRIFR 6.96 | | TRIFR 3.1 | | | | 15.0%* | | | ||||||||||||||||||||||||||||||||||||
| US | | TRIR 2.48 | | TRIR 2.15 | | TRIFR 2.5 | | | | 0.0% | | | |||||||||||||||||||||||||||||||||||||||||||
Production | | | | 35% | | | ALL | | 18.9 MT | | 19.9 MT | | 17.2 MT | | | | 0.0% | | | |||||||||||||||||||||||||||||||||||||
Cash cost per tonne | | | | 35% | | | ALL | | 59.9 | | 57.0 | | 65.7 | | | | 0.0% | | | |||||||||||||||||||||||||||||||||||||
| | | | 100.0% | | | | | | | | | | | | | 15.0%* | | |
NEO | | | Principal Performance Factor | |
Gerhard Ziems | | | Refinancing | |
| | | ||
| | |
NEO | | | Principal Performance Factor | |
Emma Pollard | | | Development and implementation of strategic HR programs and pandemic response | |
| | |
NEO | | | Maximum Opportunity Percentages (as a % of Base Salary / Total Employment Cost) | | | Maximum Payout Opportunity (in US$) | | | Actual Payout (in US$) | | |||||||||
Garold Spindler | | | | | 100% | | | | | $ | 1,250,000 | | | | | | — | | |
Gerhard Ziems | | | | | 50% | | | | | $ | 269,068 | | | | | | — | | |
James Campbell | | | | | 100% | | | | | $ | 650,000 | | | | | | — | | |
Richard Rose | | | | | 50% | | | | | $ | 200,000 | | | | | | — | | |
Emma Pollard | | | | | 50% | | | | | $ | 151,782 | | | | | | — | | |
NEO | | | Maximum Opportunity Percentages (as a % of Base Salary / Total Employment Cost) | | | Maximum Payout Opportunity (in US$) | | | Actual Payout (in US$) | | |||
Garold Spindler | | | | | 100% | | | | $1,250,000 | | | $1,250,000 | |
Gerhard Ziems | | | | | 75% | | | | $440,156 (A$585,703) | | | $300,610 (A$400,000) | |
Jeff Bitzer | | | | | 75% | | | | $318,750 | | | $350,000 | |
Douglas Thompson | | | | | 100% | | | | $526,050 (A$700,000) | | | $87,678 (A$116,667) | |
Emma Pollard | | | | | 75% | | | | $248,532 (A$330,703) | | | $187,881 (A$250,000) | |
James Campbell | | | | | 100% | | | | $650,000 | | | $162,500 | |
| | | | | | | | | | | | LTI Award (0%) | | | LTI Award (50%) | | | LTI Award (100%) | | | Outcome | | | % Achieved | | ||||||
Safety | | | | | 25% | | | | AUS | | | TRIFR > national average on a 3-year rolling basis | | | TRIFR < 80% of national average on a 3-year rolling basis | | | TRIFR < 60% of national average on a 3-year rolling basis | | | | | 67% | | | | | | 10.3% | | |
| | | | | | | | | US | | | TRIR > national average on a 3-year rolling basis | | | TRIR < 80% of national average on a 3-year rolling basis | | | TRIR < 60% of national average on a 3-year rolling basis | | | | | 76% | | | | | | 7.6% | | |
TSR | | | | | 25% | | | | ALL | | | < 50th percentile | | | = 50th percentile | | | >= 70th percentile | | | | | 8.3% | | | | | | 0% | | |
Production | | | | | 25% | | | | ALL | | | <21.1 mt | | | =23.1 mt | | | >23.1 mt | | | | | 18.2 | | | | | | 0% | | |
Cash cost per tonne | | | | | 25% | | | | ALL | | | >$52/t | | | =$52/t | | | <$52/t | | | | | 56.9 | | | | | | 0% | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | 17.9% | | |
| Performance Level | | | Achievement of Performance Metrics | | | Percentage of PSUs Earned | |
| Maximum | | | At or above 75th Percentile of Peer Group TSR | | | 100% | |
| Above Threshold and Below Maximum | | | Above 50th and below 75th Percentile of Peer Group TSR | | | interpolated on a straight-line basis | |
| Threshold | | | 50th Percentile of Peer Group TSR | | | 50% | |
| Below Threshold | | | Below 50th Percentile of Peer Group TSR | | | 0% | |
| Alliance Resource Partners | | | Hecla Mining | | | Regis Resources | |
| Alpha Metallurgical Resources Inc. | | | Iluka Resources | | | Reliance Steel & Aluminum | |
| Alumina | | | Incitec Pivot | | | Royal Gold | |
| Arch Coal | | | Independence Group | | | Saracen Mineral Holdings | |
| Beach Energy | | | Kaiser Aluminum | | | Seven Group Holdings | |
| BlueScope Steel | | | Lynas | | | Sims Metal Management | |
| Carpenter Technology | | | Materion | | | St Barbara | |
| Champion Iron | | | Mineral Resources | | | Unites States Steel | |
| Coeur Mining | | | Mount Gibson Iron | | | Warrior Met Coal | |
| Commercial Metals | | | New Hope | | | Washington H Soul Pattinson | |
| Compass Minerals Int | | | Northern Star Resources | | | Whitehaven Coal | |
| Enviva Partners | | | OZ Minerals | | | Worthington Industries | |
| Evolution Mining | | | Peabody Energy | | | Yancoal Australia | |
| GWA Group | | | Pilbara Minerals | | | | |
Name and Principal Position | | | Year | | | Salary ($)(1) | | | Bonus ($)(2) | | | Stock Awards ($)(3) | | | Option Awards ($)(4) | | | Non-Equity Incentive Compensation ($) | | | All Other Compensation ($)(5) | | | Total ($) | | ||||||||||||||||||||||||
Garold Spindler Chief Executive Officer | | | | | 2020 | | | | | | 1,250,000 | | | | | | — | | | | | | 428,550 | | | | | | — | | | | | | — | | | | | | 125,780 | | | | | | 1,804,330 | | |
| | | 2019 | | | | | | 1,064,886 | | | | | | 600,000 | | | | | | — | | | | | | — | | | | | | 1,054,875 | | | | | | 43,513 | | | | | | 2,763,274 | | | ||
| | | 2018 | | | | | | 921,347 | | | | | | — | | | | | | 189,033 | | | | | | 97,197 | | | | | | — | | | | | | 50,182 | | | | | | 1,257,759 | | | ||
Gerhard Ziems Group Chief Financial Officer | | | | | 2020 | | | | | | 245,980 | | | | | | — | | | | | | 66,937 | | | | | | — | | | | | | — | | | | | | 7,483 | | | | | | 320,400 | | |
James Campbell President and Chief Operating Officer | | | | | 2020 | | | | | | 650,000 | | | | | | — | | | | | | 222,846 | | | | | | — | | | | | | — | | | | | | 26,264 | | | | | | 899,110 | | |
| | | 2019 | | | | | | 650,407 | | | | | | — | | | | | | — | | | | | | — | | | | | | 274,278 | | | | | | 27,236 | | | | | | 951,921 | | | ||
| | | 2018 | | | | | | 626,763 | | | | | | 350,000 | | | | | | 122,872 | | | | | | 63,646 | | | | | | — | | | | | | 39,915 | | | | | | 1,203,196 | | | ||
Richard Rose Vice President, Chief Legal Officer & Secretary | | | | | 2020 | | | | | | 400,000 | | | | | | — | | | | | | 68,568 | | | | | | — | | | | | | — | | | | | | 24,114 | | | | | | 492,682 | | |
| | | 2019 | | | | | | 348,319 | | | | | | — | | | | | | — | | | | | | — | | | | | | 154,940 | | | | | | 23,914 | | | | | | 527,173 | | | ||
| | | 2018 | | | | | | 318,019 | | | | | | 155,000 | | | | | | 21,952 | | | | | | 11,371 | | | | | | — | | | | | | 40,726 | | | | | | 547,068 | | | ||
Emma Pollard Vice President, People and Culture | | | | | 2020 | | | | | | 288,828 | | | | | | — | | | | | | 50,346 | | | | | | — | | | | | | — | | | | | | 14,728 | | | | | | 353,902 | | |
| | | 2019 | | | | | | 272,990 | | | | | | 45,991 | | | | | | — | | | | | | — | | | | | | 115,755 | | | | | | 6,955 | | | | | | 441,691 | | | ||
| | | 2018 | | | | | | 267,072 | | | | | | 39,342 | | | | | | 15,313 | | | | | | 7,932 | | | | | | — | | | | | | 7,335 | | | | | | 336,994 | | | ||
Ayten Saridas(6) Former Group Chief Financial Officer | | | | | 2020 | | | | | | 315,676 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 116,619 | | | | | | 432,295 | | |
| | | 2019 | | | | | | 497,294 | | | | | | — | | | | | | — | | | | | | — | | | | | | 211,015 | | | | | | 15,049 | | | | | | 723,358 | | | ||
| | | 2018 | | | | | | 269,080 | | | | | | 187,018 | | | | | | 67,499 | | | | | | 34,963 | | | | | | — | | | | | | 18,155 | | | | | | 576,715 | | |
Name and Principal Position | | | Year | | | Salary ($)(1) | | | Bonus ($)(2) | | | Stock Awards ($)(3) | | | Option Awards ($)(4) | | | Non-Equity Incentive Compensation ($) | | | All Other Compensation ($)(5) | | | Total ($) | | ||||||||||||||||||||||||
Garold Spindler Chief Executive Officer | | | | | 2021 | | | | | | 1,250,000 | | | | | | — | | | | | | 490,602 | | | | | | — | | | | | | 1,250,000 | | | | | | 207,115 | | | | | | 3,197,717 | | |
| | | 2020 | | | | | | 1,250,000 | | | | | | — | | | | | | 428,550 | | | | | | — | | | | | | — | | | | | | 125,780 | | | | | | 1,804,330 | | | ||
| | | 2019 | | | | | | 1,064,886 | | | | | | 600,000 | | | | | | — | | | | | | — | | | | | | 1,054,875 | | | | | | 43,513 | | | | | | 2,763,274 | | | ||
Gerhard Ziems Group Chief Financial Officer | | | | | 2021 | | | | | | 569,886 | | | | | | — | | | | | | 177,413 | | | | | | — | | | | | | 300,610 | | | | | | 27,259 | | | | | | 1,075,168 | | |
| | | 2020 | | | | | | 245,980 | | | | | | — | | | | | | 66,937 | | | | | | — | | | | | | — | | | | | | 7,483 | | | | | | 320,400 | | | ||
Jeffrey Bitzer Chief Operating Officer, United States | | | | | 2021 | | | | | | 391,667 | | | | | | 16,850 | | | | | | 48,078 | | | | | | — | | | | | | 350,000 | | | | | | 53,015 | | | | | | 859,610 | | |
Douglas Thompson Chief Operating Officer, Australia | | | | | 2021 | | | | | | 166,500 | | | | | | 450,915 | | | | | | — | | | | | | — | | | | | | 87,678 | | | | | | 8,855 | | | | | | 713,948 | | |
Emma Pollard Vice President, People and Culture | | | | | 2021 | | | | | | 314,367 | | | | | | — | | | | | | 66,719 | | | | | | — | | | | | | 187,881 | | | | | | 17,008 | | | | | | 585,975 | | |
| | | 2020 | | | | | | 288,828 | | | | | | — | | | | | | 50,346 | | | | | | — | | | | | | — | | | | | | 14,728 | | | | | | 353,902 | | | ||
| | | 2019 | | | | | | 272,990 | | | | | | 45,991 | | | | | | — | | | | | | — | | | | | | 115,755 | | | | | | 6,955 | | | | | | 441,691 | | | ||
James Campbell(6) Former President and Chief Operating Officer | | | | | 2021 | | | | | | 433,333 | | | | | | — | | | | | | 225,113 | | | | | | — | | | | | | 162,500 | | | | | | 165,739 | | | | | | 986,685 | | |
| | | 2020 | | | | | | 650,000 | | | | | | — | | | | | | 222,846 | | | | | | — | | | | | | — | | | | | | 26,264 | | | | | | 899,110 | | | ||
| | | 2019 | | | | | | 650,407 | | | | | | — | | | | | | — | | | | | | — | | | | | | 274,278 | | | | | | 27,236 | | | | | | 951,921 | | |
Name | | Type of Award(1) | | Grant Date | | | Estimated Possible Payouts Under Non-Equity Incentive Plan Awards($) (2) | | Estimated Future Payouts Under Equity Incentive Plan Awards (3) | | | Grant Date Fair Value of Stock and Option Awards ($) | | | | Type of Award(1) | | Grant Date | | | Estimated Possible Payouts Under Non-Equity Incentive Plan Awards ($)(2) | | Estimated Future Payments Under Equity Incentive Plan Awards (3) | | | Grant Date Fair Value of Stock and Option Awards ($) | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| Threshold ($) | | Target ($) | | Maximum ($) | | Threshold (#) | | Target (#) | | Maximum (#) | | | | Threshold ($) | | Target ($) | | Maximum ($) | | Threshold (#) | | Target (#) | | Maximum (#) | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Garold Spindler | | PSU(4) | | | | 10/31/2020 | | | | | | | | | | | | | | | | | | | 45,060 | | | | | 90,119 | | | | | 428,550 | | | | | | PSU(4) | | | | 6/07/2021 | | | | | | | | | | | | | | | | | | | 74,514 | | | | | 149,028 | | | | | 490,602 | | | |||||||||||||||||||
| | FY20 STI | | | | | | | | | | | 781,250 | | | | | 1,250,000 | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Garold Spindler | | | FY21 STI | | | | | | | | | | | 781,250 | | | | | 1,250,000 | | | | | | | | | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| PSU(4) | | | | 10/31/2020 | | | | | | | | | | | | | | | | | | | 7,038 | | | | | 14,076 | | | | | 66,937 | | | | | PSU(4) | | | | 6/07/2021 | | | | | | | | | | | | | | | | | | | 26,946 | | | | | 53,892 | | | | | 177,413 | | | |||||||||||||||||||||
| | FY20 STI | | | | | | | | | | | 41,095 | | | | | 126,447 | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Gerhard Ziems | | | FY21 STI | | | | | | | | | | | 275,097 | | | | | 440,156 | | | | | | | | | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| PSU(4) | | | | 6/07/2021 | | | | | | | | | | | | | | | | | | | 7,302 | | | | | 14,604 | | | | | 48,078 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Jeffrey Bitzer | | | FY21 STI | | | | | | | | | | | 199,219 | | | | | 318,750 | | | | | | | | | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| FY21 STI | | | | | | | | | | | 328,781 | | | | | 526,050 | | | | | | | | | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Emma Pollard | | | PSU(4) | | | | 6/07/2021 | | | | | | | | | | | | | | | | | | | 10,134 | | | | | 20,267 | | | | | 66,719 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| FY21 STI | | | | | | | | | | | 155,327 | | | | | 248,523 | | | | | | | | | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
James Campbell | | PSU(4) | | | | 10/31/2020 | | | | | | | | | | | | | | | | | | | 23,431 | | | | | 46,862 | | | | | 222,846 | | | | | | PSU(4) | | | | 6/07/2021 | | | | | | | | | | | | | | | | | | | 38,748 | | | | | 77,495 | | | | | 255,113 | | | |||||||||||||||||||
| | FY20 STI | | | | | | | | | | | 406,250 | | | | | 650,000 | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Richard Rose | | PSU(4) | | | | 10/31/2020 | | | | | | | | | | | | | | | | | | | 7,210 | | | | | 14,429 | | | | | 68,568 | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | FY20 STI | | | | | | | | | | | 65,000 | | | | | 200,000 | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Emma Pollard | | PSU(4) | | | | 10/31/2020 | | | | | | | | | | | | | | | | | | | 5,294 | | | | | 10,587 | | | | | 50,346 | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | FY20 STI | | | | | | | | | | | 49,329 | | | | | 151,782 | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Ayten Saridas | | FY20 STI | | | | | | | | | | | — | | | | | — | | | | | | | — | | | | | — | | | | | — | | | | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
James Campbell | | | FY21 STI | | | | | | | | | | | 406,250 | | | | | 650,000 | | | | | | | | | | | | | | | | | | | |
Name | | | Grant date | | | Option Awards | | | Stock Awards | | |||||||||||||||||||||||||||
| Equity Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Options (#)(1) | | | Option Exercise Price ($)(2) | | | Option Expiration Date | | | Equity Incentive Plan Awards: Number of Unearned Shares 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 ($)(3) | | |||||||||||||||||||||||
Garold Spindler | | | | | 10/23/2018 | | | | | | 58,636 | | | | | | 28.42 | | | | | | 10/23/28 | | | | | | 17,591(4) | | | | | | 153,776 | | |
| | | | | 10/31/2020 | | | | | | | | | | | | | | | | | | | | | | | | 90,119(5) | | | | | | 787,800 | | |
Gerhard Ziems | | | | | 10/31/2020 | | | | | | | | | | | | | | | | | | | | | | | | 14,076(5) | | | | | | 123,049 | | |
James Campbell | | | | | 10/23/2018 | | | | | | 38,113 | | | | | | 28.42 | | | | | | 10/23/28 | | | | | | 11,434(4) | | | | | | 99,953 | | |
| | | | | 10/31/2020 | | | | | | | | | | | | | | | | | | | | | | | | 46,862(5) | | | | | | 409,657 | | |
Richard Rose | | | | | 10/23/2018 | | | | | | 6,809 | | | | | | 28.42 | | | | | | 10/23/28 | | | | | | 2,042(4) | | | | | | 17,851 | | |
| | | | | 10/31/2020 | | | | | | | | | | | | | | | | | | | | | | | | 14,419(5) | | | | | | 126,048 | | |
Emma Pollard | | | | | 10/23/2018 | | | | | | 4,750 | | | | | | 28.42 | | | | | | 10/23/28 | | | | | | 1,425(4) | | | | | | 12,457 | | |
| | | | | 10/31/2020 | | | | | | | | | | | | | | | | | | | | | | | | 10,587(5) | | | | | | 92,549 | | |
Ayten Saridas | | | | | 10/23/2018 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | | | | | Option Awards | | | Stock Awards | | ||||||||||||||||||||||||||||||||||||||||||||||||
Name(1) | | | Grant Date | | | Number of Securities Underlying Unexercised Options (#) Exercisable | | | Number of Securities Underlying Unexercised Options (#) Unexercisable | | | Equity Incentive Plan Awards: Number of Securities Underlying Unsecured Unearned Options ($) | | | Option Exercise Price ($)(2) | | | Option Expiration Date | | | Number of Shares of Units of Stock that Have Not Vested (#) | | | Market Value of Shares or Units of Stock that have not Vested ($) | | | Equity Incentive Plan Awards: Number of Unearned Shares 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 ($)(3) | | ||||||||||||||||||||||||||||||
Garold Spindler | | | | | 10/23/2018 | | | | | | — | | | | | | 10,496(4) | | | | | | — | | | | | | 28.42 | | | | | | 10/23/28 | | | | | | 3,148(5) | | | | | | 28,324 | | | | | | — | | | | | | — | | |
| | | 10/31/2020 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 90,119(6) | | | | | | 810,840 | | | ||
| | | 06/07/2021 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | | | | | | | | | | | | 149,029(7) | | | | | | 1,340,870 | | | ||
Gerhard Ziems | | | | | 10/31/2020 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 14,076(6) | | | | | | 126,648 | | |
| | | 06/07/2021 | | | | | | | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 53,892(7) | | | | | | 484,890 | | | ||
Jeffrey Bitzer | | | | | 10/23/2018 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 771 | | | | | | 6,937 | | | | | | — | | | | | | — | | |
| | | 10/31/2020 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 8,832(6) | | | | | | 79,463 | | | ||
| | | 06/07/2021 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 14,605(7) | | | | | | 131,406 | | | ||
Emma Pollard | | | | | 10/23/2018 | | | | | | — | | | | | | 850(4) | | | | | | — | | | | | | 28.42 | | | | | | 10/23/28 | | | | | | 255(5) | | | | | | 2,294 | | | | | | — | | | | | | — | | |
| | | 10/31/2020 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 10,587(6) | | | | | | 95,256 | | | ||
| | | 06/07/2021 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 20,267(7) | | | | | | 182,351 | | | ||
James Campbell | | | | | 10/23/2018 | | | | | | — | | | | | | 6,822(4) | | | | | | — | | | | | | 28.42 | | | | | | 10/23/28 | | | | | | 2,046(5) | | | | | | 18,409 | | | | | | — | | | | | | — | | |
| | | 10/31/2020 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 46,862(6) | | | | | | 421,638 | | | ||
| | | 06/07/2021 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 77,495(7) | | | | | | 697,257 | | |
Name and Benefits | | | Severance Benefits | | |||
Garold Spindler | | | | | | | |
Cash severance | | | | $ | 1,250,000 | | |
Consultation Services | | | | $ | 625,000 | | |
Gerhard Ziems | | | | | | | |
Cash severance | | | | $ | 403,650 | | |
James Campbell | | | | | | | |
Cash severance | | | | $ | 650,000 | | |
Consultation Services | | | | $ | 325,000 | | |
Richard Rose | | | | | | | |
Cash severance | | | | $ | 400,000 | | |
Consultation Services | | | | $ | 200,000 | | |
Emma Pollard | | | | | | | |
Cash severance | | | | $ | 227,700 | | |
Name and Benefits | | | Severance Benefits | | |||
Garold Spindler | | | | | | | |
Cash severance | | | | $ | 1,250,000 | | |
Consultation Services | | | | $ | 625,000 | | |
Gerhard Ziems | | | | | | | |
Cash severance | | | | $ | 424,986 | | |
Jeffrey Bitzer | | | | | | | |
Cash severance | | | | $ | 425,000 | | |
Consultation Services | | | | $ | 221,500 | | |
Douglas Thompson | | | | | | | |
Cash severance | | | | $ | 380,940 | | |
Emma Pollard | | | | | | | |
Cash severance | | | | $ | 239,958 | | |
Name | | | | | | | Fees Earned or Paid in Cash ($)(1) | | Stock Awards ($) | | Option Awards ($) | | Non-Equity Incentive Plan Compensation ($) | | Change in Pension Value and Nonqualified Deferred Compensation Earnings | | All Other Compensation ($) | | Total ($) | | | | | | | | Fees Earned or Paid in Cash ($)(1) | | Stock Awards ($) | | Option Awards ($) | | Non-Equity Incentive Plan Compensation ($) | | Change in Pension Value and Nonqualified Deferred Compensation Earnings | | All Other Compensation ($) | | Total ($) | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Sir Michael (Mick) Davis (2) | | | | 2020 | | | | | 70,989 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 70,989 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Sir Michael (Mick) Davis | | | | 2021 | | | | $ | 134,506 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | $ | 134,506 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Philip Christensen | | | | 2020 | | | | | 131,081 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 131,081 | | | | | | 2021 | | | | $ | 142,790 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | $ | 142,790 | | | ||||||||||||||||
William (Bill) Koeck | | | | 2020 | | | | | 227,667 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 227,667 | | | | | | 2021 | | | | $ | 248,003 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | $ | 248,003 | | | ||||||||||||||||
Greg Pritchard | | | | 2020 | | | | | 131,081 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 131,081 | | | | | | 2021 | | | | $ | 142,790 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | $ | 142,790 | | | ||||||||||||||||
Ernie Thrasher | | | | 2020 | | | | | 120,733 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 120,733 | | | | | | 2021 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | ||||||||||||||||
Laura Tyson(3) | | | | 2020 | | | | | 121,438 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 121,438 | | | | | | 2021 | | | | $ | 131,517 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | $ | 131,517 | | |
Position | | | Year | | | Fee* | | ||||||
Board Member (other than Chairman of the Board of Directors) | | | | | | | | $ | | ||||
Chairman of the Board of Directors | | | | | | | | $ | | ||||
Chairman of the Audit, Governance & Risk Committee (Additional Fee) | | | | | | | | $ | | ||||
Chairman of the Compensation and Nominating Committee (Additional Fee) | | | | | | | | $ | | ||||
Chairman of the Health Safety, Environment and Community Committee (Additional Fee) | | | | | | | | $ | |
Name and Address of Beneficial Owner | | Number of Shares of Common Stock(1) | | Percentage of Common Stock | | | Number of Shares of Common Stock(1) | | Percentage of Common Stock | | ||||||||||||||||
5% Stockholder | | | | | | | | | | | | | | | | | | | | | | | ||||
Coronado Group LLC(2) | | | | 77,308,103.6 | | | | | 55.9% | | | | | | 84,506,139.9 | | | | | 50.4% | | | ||||
AustralianSuper Pty Ltd(3) | | | | 11,064,875.8 | | | | | 8.1% | | | | | | 14,862,568.8 | | | | | 8.87% | | | ||||
L1 Capital Pty Ltd(4) | | | | 9,168,974.7 | | | | | 6.6% | | | |||||||||||||||
Directors and Named Executive Officers | | | | | | | | | | | | | | | | | | | | | | | ||||
Garold Spindler(5) | | | | 180,000.0 | | | | | — | | | | | | 180,000.0 | | | | | * | | | ||||
William (Bill) Koeck(6) | | | | 14,302.3 | | | | | * | | | | | | 17,326.1 | | | | | * | | | ||||
Philip Christensen | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
Greg Pritchard(7) | | | | 5,909.0 | | | | | * | | | | | | 7,158.2 | | | | | * | | | ||||
Ernie Thrasher(8) | | | | 5,468.0 | | | | | * | | | |||||||||||||||
Laura Tyson | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
Sir Michael (Mick) Davis | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
James Campbell(9) | | | | 30,000.0 | | | | | — | | | |||||||||||||||
Gerhard Ziems(10) | | | | 33,435.8 | | | | | * | | | |||||||||||||||
Ayten Saridas(11) | | | | 4,700.0 | | | | | — | | | |||||||||||||||
Richard Rose(12) | | | | 2,000.0 | | | | | — | | | |||||||||||||||
Jeffrey Bitzer | | | | — | | | | | — | | | |||||||||||||||
Douglas P. Thompson(8) | | | | 6,020.1 | | | | | * | | | |||||||||||||||
Gerhard Ziems(9) | | | | 40,504.7 | | | | | * | | | |||||||||||||||
Christopher P. Meyering | | | | — | | | | | — | | | |||||||||||||||
Emma Pollard | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
All current directors and executive officers (11 persons) as a group | | | | 271,115.8 | | | | | * | | | | | | 251,009.1 | | | | | * | | |
Proposal | | | Voting Options | | | Board of Directors | | | Voting Standard | | | Treatment of Abstentions & | |
| | | | | | For the Holder of our Series A Share | | | | | | | |
Election of the Two Directors Designated by the EMG Group | | | The holder of the Series A Share may vote “FOR ALL” or withhold your vote for any one or more of the director nominees. | | | “FOR ALL” | | | Plurality (i.e. most affirmative votes received among votes properly cast at the Annual General Meeting or by proxy). | | | Abstentions and broker non-votes will have no effect. | |
| | | | | | For Holders of our Common Stock | | | | | | | |
Election of the Four Directors of the Company | | | You may vote “FOR ALL” or withhold your vote for any one or more of the director nominees. | | | “FOR ALL” | | | Plurality | | | Abstentions and broker non-votes will have no effect. | |
NEO Compensation | | | You may vote “FOR”, “AGAINST” or abstain. | | | “FOR” | | | Affirmative vote of the majority of shares present at the Annual General Meeting or represented by proxy at the Annual General Meeting and entitled to vote on the matter. | | | Abstentions will have the effect of a vote against the proposal. Broker non-votes will have no effect. | |
Auditor Ratification | | | You may vote “FOR”, “AGAINST” or abstain. | | | “FOR” | | | Affirmative vote of the majority of shares present at the Annual General | | | Abstentions will have the effect of a vote against the proposal. As this | |
Proposal | | | Voting Options | | | Board of Directors Recommendations | | | Voting Standard | | | Treatment of Abstentions & Broker Non-Voters | |
| | | | | | | | | Meeting or represented by proxy at the Annual General Meeting and entitled to vote on the matter. | | | |