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| | | | A-1 | | | |
Name | | Age | | Position with the Company | | Director Since | | | Age | | Position with the Company | | Director Since | | ||||||||||||||||||
Nicholas Kovacevich | | | | 32 | | | Chairman | | | | 2010 | | | | | | 33 | | | Chairman and Chief Executive Officer | | | | 2010 | | | ||||||
Eric Baum(1)(2) | | | | 40 | | | Director | | | | 2016 | | | | | | 41 | | | Director | | | | 2016 | | | ||||||
Barbara Goodstein(1)(2)(3) | | | | 57 | | | Director | | | | 2017 | | | | | | 58 | | | Director | | | | 2017 | | | ||||||
Donald Hunter(1)(2)(3) | | | | 61 | | | Director | | | | 2018 | | | | | | 62 | | | Director | | | | 2018 | | | ||||||
Dallas Imbimbo | | | | 32 | | | Director | | | | 2010 | | | | | | 33 | | | Director | | | | 2010 | | |
Name | | | Age | | | Position | |
Nicholas Kovacevich | | | | | Chairman and Chief Executive Officer | | |
Christopher Tedford | | | 45 | | | Chief Financial Officer | |
Jim McCormick | | | 51 | | | Chief | |
Jason Vegotsky | | | 32 | | | President, Kush Supply Co. | |
Name and Principal Position | | Year | | Salary ($) | | Bonus ($)(1) | | Stock Awards ($)(2) | | Option Awards ($)(3) | | Incentive Plan Compensation ($) | | Deferred Compensation Earnings ($) | | Other Compensation ($) | | Total ($) | | | Year | | Salary ($) | | Bonus ($)(1) | | Stock Awards ($)(2) | | Option Awards ($)(3) | | Incentive Plan Compensation ($) | | Deferred Compensation Earnings ($) | | Other Compensation ($) | | Total ($) | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Nicholas Kovacevich Chairman and Chief Executive Officer | | | | | 2017 | | | | | 87,042 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 87,042 | | | | | | | 2018 | | | | | 157,858 | | | | | — | | | | | — | | | | | 103,118 | | | | | — | | | | | — | | | | | — | | | | | 260,976 | | | ||||||||||||||||
| | | 2016 | | | | | 75,400 | | | | | 13,500 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 88,900 | | | | | | 2017 | | | | | 87,042 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 87,042 | | | |||||||||||||||||||
Jim McCormick Chief Financial Officer and Chief Operating Officer(4) | | | | | 2017 | | | | | 13,068 | | | | | — | | | | | — | | | | | 483,718 | | | | | — | | | | | — | | | | | — | | | | | 496,786 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | | 2016 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Jim McCormick Chief Operating Officer(4) | | | | | 2018 | | | | | 161,058 | | | | | 50,000 | | | | | — | | | | | 1,948,499 | | | | | — | | | | | — | | | | | — | | | | | 2,159,557 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | | 2017 | | | | | 13,068 | | | | | — | | | | | — | | | | | 483,718 | | | | | — | | | | | — | | | | | — | | | | | 496,786 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Ben Wu Former President and Chief Operating Officer(5) | | | | | 2017 | | | | | 135,417 | | | | | 25,000 | | | | | — | | | | | 1,635,288(6) | | | | | — | | | | | — | | | | | — | | | | | 1,795,705 | | | | | | | 2018 | | | | | 172,619 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 667,000 | | | | | 839,619 | | | ||||||||||||||||
| | | 2016 | | | | | 132,400 | | | | | 16,000 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 148,400 | | | | | | 2017 | | | | | 135,417 | | | | | 25,000 | | | | | — | | | | | 1,635,288(6) | | | | | — | | | | | — | | | | | — | | | | | 1,795,705 | | | |||||||||||||||||||
Chris Martin Former Chief Financial Officer(7) | | | | | 2017 | | | | | 87,833 | | | | | 16,000 | | | | | — | | | | | 163,529(8) | | | | | — | | | | | — | | | | | 105,800(9) | | | | | 373,162 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | | 2016 | | | | | 86,400 | | | | | 15,000 | | | | | 32,270 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | 133,670 | | |
Option Awards | | ||||||||||||||||||||||||
Name | | | Number of Securities Underlying Unexercised Options (#) Exercisable | | | Number of Securities Underlying Unexercised Options (#) Unexercisable | | | Option Exercise Price ($) | | | Option Expiration Date | | ||||||||||||
Nicholas Kovacevich | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Jim McCormick | | | | | 0 | | | | | | 600,000 | | | | | | | | | | | | 8/1/2027(1) | | |
Ben Wu | | | | | 1,000,000 | | | | | | — | | | | | $ | 0.05 | | | | | | 2/14/2019 | | |
| | | | | 0 | | | | | | 1,500,000 | | | | | $ | 2.64 | | | | | | 4/10/2027(2) | | |
Chris Martin | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Name | | | Number of Securities Underlying Unexercised Options (#) Exercisable | | | Number of Securities Underlying Unexercised Options (#) Unexercisable | | | Option Exercise Price ($) | | | Option Expiration Date | | ||||||||||||
Nicholas Kovacevich | | | | | — | | | | | | 120,000 | | | | | | 2.39 | | | | | | 11/14/2027(1) | | |
| | | | | — | | | | | | 150,000 | | | | | | 4.53 | | | | | | 7/31/2028(2) | | |
| | | | | — | | | | | | 175,000 | | | | | | 5.21 | | | | | | 10/24/2028(2) | | |
Jim McCormick | | | | | 200,000 | | | | | | 400,000 | | | | | | | | | | | | 8/1/2027(2) | | |
| | | | | — | | | | | | 200,000 | | | | | | | | | | | | 11/14/2027(1) | | |
| | | | | — | | | | | | 500,000 | | | | | | | | | | | | 4/5/2028(2) | | |
| | | | | — | | | | | | 150,000 | | | | | | | | | | | | 7/31/2028(2) | | |
Name | | | Fees earned or paid in cash ($) | | | Option awards ($)(1)(2) | | | Total ($) | | |||||||||
Dallas Imbimbo | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
Nicholas Kovacevich | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
Eric Baum(3) | | | | $ | — | | | | | $ | 66,177 | | | | | $ | 66,177 | | |
Greg Gamet(4) | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
Name | | | Fees earned or paid in cash ($) | | | Option awards ($)(1)(2) | | | Total ($) | | |||||||||
Eric Baum | | | | $ | 12,000 | | | | | $ | 103,118 | | | | | $ | 115,118 | | |
Barbara Goodstein | | | | $ | 12,000 | | | | | $ | 103,118 | | | | | $ | 115,118 | | |
Donald Hunter(3) | | | | $ | 8,000 | | | | | $ | 382,700 | | | | | $ | 390,700 | | |
Dallas Imbimbo | | | | $ | 12,000 | | | | | $ | 103,118 | | | | | $ | 115,118 | | |
| | | Common Stock Beneficially Owned | | |||||||||
Name of Beneficial Owner(1) | | | Shares | | | Percent(2) | | ||||||
5% or Greater Stockholders | | | | ||||||||||
John Kovacevich(3) | | | | | 2,784,064 | | | | | | 4.4% | | |
Jeffrey Meng (4) | | | | | 3,814,200 | | | | | | 6.0% | | |
Jason Manasse(5) | | | | | 3,700,000 | | | | | | 5.8% | | |
Theodore Nicols (6) | | | | | 3,700,000 | | | | | | 5.8% | | |
Executive Officers and Directors | | | | ||||||||||
Dallas Imbimbo | | | | | 11,126,601 | | | | | | 17.5% | | |
Nicholas Kovacevich | | | | | 11,500,000 | | | | | | 18.1% | | |
Jim McCormick | | | | | — | | | | | | * | | |
Eric Baum(7) | | | | | 755,612 | | | | | | 1.2% | | |
Barbara Goodstein | | | | | — | | | | | | * | | |
Donald Hunter | | | | | — | | | | | | * | | |
All current executive officers and directors as a group (total 6 persons)(8) | | | | | 23,382,213 | | | | | | 36.7% | | |
| | | Common Stock Beneficially Owned | | |||||||||
Name of Beneficial Owner(1) | | | Shares | | | Percent(2) | | ||||||
5% or Greater Stockholders | | | | | | | | | | | | | |
Jason Manasse(3) | | | | | 4,930,480 | | | | | | 6.1% | | |
Theodore Nicols(4) | | | | | 4,930,480 | | | | | | 6.1% | | |
Executive Officers and Directors | | | | | | | | | | | | | |
Nicholas Kovacevich(5) | | | | | 11,310,000 | | | | | | 14.1% | | |
Christopher Tedford | | | | | — | | | | | | * | | |
Jim McCormick(6) | | | | | 441,667 | | | | | | * | | |
Jason Vegotsky(7) | | | | | 189,870 | | | | | | * | | |
Eric Baum(8) | | | | | 860,612 | | | | | | 1.1% | | |
Barbara Goodstein(9) | | | | | 105,000 | | | | | | * | | |
Donald Hunter(10) | | | | | 90,000 | | | | | | * | | |
Dallas Imbimbo(11) | | | | | 10,942,427 | | | | | | 13.6% | | |
All current executive officers and directors as a group (total 8 persons)(12) | | | | | 23,939,576 | | | | | | 29.5% | | |
Plan Category | | Number of Securities to be Issued Upon Exercise of Outstanding Options, Restricted Stock Units, Warrants and Rights | | 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)) | | | Number of Securities to be Issued Upon Exercise of Outstanding Options, Restricted Stock Units, Warrants and Rights | | 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)) | | ||||||||||||||||||||||||
| | (a) | | (b) | | (c) | | | (a) | | (b) | | (c) | | ||||||||||||||||||||||||
Equity compensation plans approved by security holders(1) | | | | 4,275,500 | | | | $ | 2.12 | | | | | 511,318 | | | | | | 8,367,693 | | | | $ | 3.95 | | | | | 6,632,307 | | | ||||||
Equity compensation plans not approved by security holders(2) | | | | 1,000,000 | | | | | 0.05 | | | | | — | | | | | | 1,000,000 | | | | $ | 0.05 | | | | | — | | | ||||||
Total | | | | 5,275,500 | | | | $ | 1.73 | | | | | 511,318 | | | | | | 9,367,693 | | | | $ | 3.85 | | | | | 6,632,307 | | |
| | 2017 | | 2016 | | | 2018 | | 2017 | | ||||||||||||||||
Audit Fees | | | $ | 75,250 | | | | $ | 56,000 | | | | | $ | 224,170 | | | | $ | 75,250 | | | ||||
Audit-Related Fees | | | | 33,000 | | | | | — | | | | | | 28,500 | | | | | 33,000 | | | ||||
Tax Fees | | | | — | | | | | 13,000 | | | | | | — | | | | | — | | | ||||
All Other Fees | | | | — | | | | | — | | | | | | 75,000 | | | | | — | | | ||||
Total | | | $ | 108,250 | | | | $ | 69,000 | | | | | $ | 327,670 | | | | $ | 108,250 | | |
Name and Position | | | Number of Shares Underlying Awards | | |||
Nicholas Kovacevich — Chairman and Chief Executive Officer | | | | | | | |
Jim McCormick — Chief | | | | | | | |
Ben Wu — Former President and Chief Operating Officer | | | | | | | |
All executive officers as a group | | | | | | | |
All directors who are not executive officers, as a group | | | | | | | |
Employees as a group (excluding executive officers) | | | | | | | |
Totals | | | | | | |