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12 {JK01385352.10 }
(other than directors and executive officers)
(1)Includes 35,700 Common Stock warrants to purchase shares of Common Stock on a one-to-one basis at an exercise price of $0.80 per share that expire on October 29, 2025.
(2)Represents the following number of unvested shares received pursuant to restricted stock awards that are subject to forfeiture: Mr. McKinney – 658,138; Mr. Thomas – 221,685; Mr.
Brooks – 271,685; Mr. Baghdati – 271,685; Mr. Dyes – 271,685; Mr. Woodrum – 183,763; Mr. Petrelli – 183,763; Ms. Roesener – 183,763; Mr. Crum – 183,763; Mr. Harris – 183,763;
Mr. Mitchell – 183,763; and all directors and named executive officers as a group – 2,797,456.
(3)Based on a Form 4 filed with the SEC on November 13, 2020. Mr. Hoffman served as our Chief Executive Officer and Director until October 1, 2020. Open market purchases or
sales, if any, by Mr. Hoffman of our Common Stock since the date that he ceased serving as our Chief Executive Officer and Director are not known by us or reported in the
table.
(4)Mr. Broaddrick served as our Chief Financial Officer until March 24, 2021. Open market purchases or sales, if any, by Mr. Broadrick of our Common Stock since the date that he
ceased serving as our Chief Financial Officer and Director are not known by us or reported in the table. Includes 60,000 shares issuable upon the exercise of stock options that
are currently exercisable.
(5)Mr. Fowler served as our President until December 31, 2020. Open market purchases or sales, if any, by Mr. Fowler of our Common Stock since the date that he ceased serving as
our President are not known by us or reported in the table.
(6)Mr. Wilson served as our Executive Vice President until December 31, 2020. Open market purchases or sales, if any, by Mr. Wilson of our Common Stock since the date that he
ceased serving as our Executive Vice President are not known by us or reported in the table.
(7)Includes 85,000 shares issuable upon the exercise of stock options that are currently exercisable.
(8)Includes 50,000 shares issuable upon the exercise of stock options that are currently exercisable.
(9)Includes 8,000 shares of common stock held by Eugene Neidiger Life Insurance Trust. Does not include 850 shares of Common Stock held as custodian for minor-son but has no
pecuniary interest, or 850 shares of Common Stock held as custodian but has no pecuniary interest. Ms. Roesener disclaims beneficial ownership of such shares of Common Stock.
(10)Includes 195,000 shares issuable upon the exercise of stock options that are currently exercisable. Also includes 35,700 Common Stock warrants to purchase shares of Common
Stock on a one-to-one basis at an exercise price of $0.80 per share that expire on October 29, 2025.
(11)Based on a Schedule 13D/A filed with the SEC on April 1, 2021 reporting shares of Common Stock beneficially owned by Dr. Simon G. Kukes and Mr. J. Douglas Schick. Dr. Kukes
reports sole voting and dispositive power over 6,600,180 shares and Mr. Schick reports sole voting and dispositive power over 7,500 shares. The address of the reporting persons
is 575 N. Dairy Ashford, Energy Center II, Suite 210, Houston, Texas 77079.
(12) Based on a Schedule 13G filed with the SEC on June 1, 2021, reporting shares of Common Stock beneficially owned by Jack Yetiv reports sole voting and dispositive power over
7,650,310 shares. The address of the reporting person is 10120 Westview Drive, Suite 2110, Houston, Texas 77043.
(13)Based on a Schedule 13G/A filed with the SEC on February 9, 2021 and a Form 4 filed with the SEC on August 23, 2021 reporting shares of Common Stock beneficially owned by
William R. Kruse and Deborah L. Kruse. Mr. Kruse reports sole voting and dispositive power over 1,014,300 shares. Mr. and Mrs. Kruse report shared voting and dispositive
power over 9,036,382 shares in accounts as joint tenants with right of survivorship. Mr. Kruse also has 1,000,000 Common Stock warrants to purchase shares of Common Stock
on a one-to-one basis at an exercise price of $0.80 per share and expire on October 29, 2025. The address of the reporting persons is 1340 S. Main Street, Suite 300, Grapevine
Texas, 76051.
(14)Based on the Schedule 13G/A filed with the SEC on February 2, 2021 reporting shares of Common Stock beneficially owned by Empery Asset Management, LP (“Empery”), Ryan
M. Lane and Martin D. Hoe, reporting as a group. Each of Empery, Mr. Lane and Mr. Hoe have shared voting power and shares dispositive power over 398,077 shares of Common Stock,
SHARES OF COMMON STOCK BENEFICIALLY OWNED
NAME OF BENEFICIAL OWNER NUMBER APPROXIMATE PERCENT
Named Executive Officers and Directors
Paul D. McKinney(1)(2) 693,838 *
Kelly Hoffman(3) 309,041 *
Travis T. Thomas(2) 221,685 *
William R. Broaddrick(4) 161,360 *
Stephen D. Brooks(2) 271,685 *
Marinos Baghdati(2) 271,685 *
Alexander Dyes(2) 271,685 *
David A. Fowler(5) 294,100 *
Daniel D. Wilson(6) 181,200 *
Clayton E. Woodrum(2) 419,811(7) *
Anthony B. Petrelli(2) 494,963(8) *
Regina Roesener(2) 257,363(9) *
John A. Crum(2) 183,763 *
Richard E. Harris(2) 183,763 *
Thomas L. Mitchell(2) 183,763 *
All directors and executive officers as a group (15 persons) (2)(10) 4,399,705 [4.4]%
5% Stockholders or Greater Stockholders
Dr. Simon G. Kukes Group(11)
6,607,680 6.7%
Jack Yetiv(12) 7,650,310 7.7%
William R. Kruse(13) 12,939,734 13.0%
Empery Asset Management LP(14) 35,255,077 35.5%
* Represents beneficial ownership of less than 1%
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