and Salt Pond are co-trustees (the “Christiansted Trust”); the Frederiksted Trust, a United States Virgin Islands trust, of which Mr. Erbey, John Erbey and Salt Pond are co-trustees (the “Frederiksted Trust”); and Erbey Holding Corporation, Inc. (“Erbey Holding Corporation”), a Delaware corporation, wholly-owned by Carisma Trust, a Nevada trust, the trustee of which is Venia, LLC, a Nevada limited liability company; and 548,220 shares of common stock held by Mrs. Erbey. Mr. and Mrs. Erbey’s business address is P.O. Box 25437, Christiansted, United States Virgin Islands 00824.
(3)
Based on information contained in a Form 4 filed with the SEC on February 14, 2023, by Deer Park Road Management Company, LP (‘“Deer Park”), a limited partnership, on behalf of itself and Deer Park Road Management GP, LLC, Deer Park Road Corporation, Michael David Craig-Scheckman, AgateCreek LLC and Scott Edward Burg (collectively, the “Deer Park Reporting Persons”), Deer Park’s holdings consist of 4,236,774 shares (which Includes 125 restricted shares scheduled to vest within 60 days of March 24, 2023 to Mary Hickok) held for the account of STS Master Fund, Ltd., of which the Deer Park Reporting Persons share voting and dispositive power. Deer Park serves as investment adviser to STS Master Fund, Ltd., an exempted company organized under the laws of the Cayman Islands. The business address of the Deer Park Reporting Persons is 1195 Bangtail Way, Steamboat Springs, Colorado 80487.
(4)
Based on information contained in a Schedule 13D filed with the SEC on February 21, 2023, by Hoak Public Equities, L.P., a Texas limited partnership (“HPE”), on behalf of itself and Hoak Fund Management, L.P., a Texas limited partnership and HPE’s general partner (“Hoak Management”); Hoak & Co., a Texas corporation and the general partner of Hoak Management; J. Hale Hoak, President of Hoak & Co.; James M. Hoak, Jr., controlling shareholder and Chairman of Hoak & Co., and trustee of the GRAT (as defined below); and the Nancy Hoak 2023 GRAT Agreement, a grantor retained annuity trust established in the State of Texas (“GRAT”) (collectively, the “Hoak Reporting Persons”). Each of Hoak Management, Hoak & Co., James M. Hoak, Jr., and J. Hale Hoak may be deemed to be the beneficial owners of all shares of Common Stock held by HPE. The business address of each of the Reporting Persons is 3963 Maple Avenue, Suite 450, Dallas, TX 75219.
(5)
Based on information contained in a Schedule 13G filed with the SEC on February 21, 2023, by Steven R. Becker and includes (i) 45,000 shares of Common Stock held in the Steven Becker Roth IRA, (ii) 7,500 shares of Common Stock held in the Steven Becker Rollover IRA, and (iii) 40,000 shares of Common Stock held by Channels Holdings LLC, which is owned and controlled entirely by the Steven Becker Roth IRA. Mr. Becker’s business address is 500 Crescent Court, Suite 230, Dallas, Texas 75201.
(6)
Consists of options to purchase 252,400 shares exercisable on or within 60 days after March 24, 2023 and 645,133 shares held by the William B. Shepro Revocable Trust (as to which Mr. and Mrs. Shepro share voting and dispositive power).
(7)
Consists of options to purchase 49,466 shares exercisable on or within 60 days after March 24, 2023 and 81,504 shares held jointly by Ms. Esterman and her spouse, Gregory F. Esterman.
(8)
Includes options to purchase 35,142 shares exercisable on or within 60 days after March 24, 2023 and 42,801 shares held directly by Mr. Ritts.
(9)
Includes 125 restricted shares scheduled to vest within 60 days of March 24, 2023.
(10)
Shares received by Ms. Hickok’s as a Director were and are transferred to DPR CC LLC, a C-Corp 100% owned by Deer Park/STS Master Fund, Ltd.
Equity Compensation Plan Information
The following table sets forth information as of the end of the most recently completed fiscal year with respect to compensation plans under which our equity securities are authorized for issuance.
|
Plan category
|
|
|
Number of securities to be issued upon exercise of outstanding options, 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
|
|
|
Equity compensation plans
approved by security holders
|
|
|
|
|
745,277 |
|
|
|
|
$ |
27.03 |
|
|
|
|
|
2,528,307 |
|
|