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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/17/23 Phoenix Motor Inc. DEF 14A 12/11/23 1:985K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: DEF 14A Definitive Proxy Statement HTML 415K
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Name
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Age
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Position
|
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Xiaofeng Denton Peng | | |
48
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| | Director, Chairman of the Board | |
HoongKhoeng Cheong | | |
58
|
| | Director | |
John F. Perkowski | | |
75
|
| | Independent Director | |
Steven E. Stivers | | |
58
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| | Independent Director | |
Sam Van | | |
45
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| | Independent Director | |
|
Board Diversity Matrix as of November 8, 2023
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Total Number of Directors
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6
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Female
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Male
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Non-
Binary |
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Did not
Disclose Gender |
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Directors
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| | | | | | | | | | 5 | | | | | | — | | | | | | — | | |
Demographic Information:
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| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
African American or Black
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Alaskan or Native American
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Asian
|
| | | | — | | | | | | 3 | | | | | | — | | | | | | — | | |
Hispanic or Latinx
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| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Native Hawaiian or Pacific Islander
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
White
|
| | | | | | | | | | 2 | | | | | | — | | | | | | — | | |
Two or More Races or Ethnicities
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| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
LGBTQ+
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| |
—
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Persons with Disabilities | | | | | | | | | | | | | | | | | | | | | | | | | |
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Audit Committee
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| |
Compensation and
Management Resources Committee |
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Nominating and
Corporate Governance Committee |
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John F. Perkowski | | |
C
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| |
X
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X
|
|
Steven E. Stivers | | |
X
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C
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X
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|
Sam Van | | |
X
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X
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C
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FISCAL 2022 DIRECTOR COMPENSATION
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Name
|
| |
Fees
Earned or Paid in Cash ($)(1) |
| |
Stock
Awards ($) |
| |
Option
Awards ($) |
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Non-Equity
Incentive Plan Compensation ($) |
| |
Nonqualified
Deferred Compensation Earnings ($) |
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All Other
Compensation ($) |
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Total ($)
|
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John F. Perkowski
|
| | | | 14,028 | | | | | | — | | | | | | 2,252 | | | | | | — | | | | | | — | | | | | | — | | | | | | 16,280 | | |
Steven E. Stivers
|
| | | | 11,222 | | | | | | — | | | | | | 2,252 | | | | | | — | | | | | | — | | | | | | — | | | | | | 13,474 | | |
Sam Van
|
| | | | 11,222 | | | | | | — | | | | | | 2,252 | | | | | | — | | | | | | — | | | | | | — | | | | | | 13,474 | | |
Zhenxing Fu
|
| | | | 11,222 | | | | | | — | | | | | | 2,252 | | | | | | — | | | | | | — | | | | | | — | | | | | | 13,474 | | |
| | |
2022
|
| |
2021
|
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Audit fees
|
| | | $ | 285,000 | | | | | $ | 225,000 | | |
Audit-related fees
|
| | | | — | | | | | | — | | |
Tax fees
|
| | | | — | | | | | | — | | |
All other fees
|
| | | | — | | | | | | — | | |
Total
|
| | | $ | 285,000 | | | | | $ | 255,000 | | |
Name
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Age
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Position
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Xiaofeng Denton Peng | | |
48
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Chief Executive Officer and Chairman of the Board
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Wenbing Chris Wang | | |
52
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Chief Financial Officer
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Name and Principal Position
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Fiscal Year
Ended December 31, |
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Salary ($)
|
| |
Stock and
Options Awards ($) |
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All other
Compensations ($) |
| |
Total ($)
|
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Xiaofeng Denton Peng
(Director, Executive Chairman of Board Director) |
| | | | 2022 | | | | | | 156,000 | | | | | | 235,500(1) | | | | | | — | | | | | | 391,500 | | |
| | | 2021 | | | | | | — | | | | | | 42,000(1) | | | | | | — | | | | | | 42,000 | | | ||
Liang Lance Zhou
(Director, Former Chief Executive Officer) |
| | | | 2022 | | | | | | 166,667 | | | | | | 274,750(2) | | | | | | — | | | | | | 441,417 | | |
| | | 2021 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
Wenbing Chris Wang
(Chief Financial Officer) |
| | | | 2022 | | | | | | 200,000 | | | | | | 235,500(3) | | | | | | — | | | | | | 435,500 | | |
| | | 2021 | | | | | | 25,000 | | | | | | — | | | | | | | | | | | | 25,000 | | | ||
Tarek Helou
(Former Chief Operating Officer) |
| | | | 2022 | | | | | | 200,000 | | | | | | 7,850(4) | | | | | | — | | | | | | 207,850 | | |
| | | 2021 | | | | | | 195,092 | | | | | | — | | | | | | — | | | | | | 195,092 | | | ||
Joe Mitchell
(Former Chief Executive Officer) |
| | | | 2022 | | | | | | 79,322 | | | | | | 75,250(5) | | | | | | — | | | | | | 154,572 | | |
| | | 2021 | | | | | | 220,635 | | | | | | — | | | | | | — | | | | | | 220,635 | | |
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OUTSTANDING EQUITY AWARDS AT 2022 FISCAL YEAR END
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OPTION AWARDS
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STOCK AWARDS
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Name
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Number of
Securities Underlying Unexercised Options(#) Exercisable |
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Number of
Securities Underlying Unexercised Options(#) Unexercisable |
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Equity
Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Option (#) |
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Option
exercise Price ($) |
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Option
Expiration Date |
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Number
of Shares or Units of Stock That Have Not Vested (#) |
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Market
Value of Shares or Units of Stock That Have Not Vested ($) |
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Equity
Incentive Plan Awards: Number of Unearned Shares, Units or Other Rights That Have Not Vested ($) |
| |
Equity
Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested ($) |
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Liang Lance Zhou,
Former CEO |
| | | | — | | | | | | — | | | | | | 350,000 | | | | | | 1.72 | | | | | | 3/24/2032 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Wenbing Chris
Wang, CFO |
| | | | 31,250 | | | | | | — | | | | | | 93,750 | | | | | | 1.72 | | | | | | 3/30/2031 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Tarek Helou,
Former COO |
| | | | 34,375 | | | | | | — | | | | | | 103,125 | | | | | | 1.72 | | | | | | 3/30/2031 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Name of Beneficial Owner
|
| |
Shares
Beneficially Owned |
| |
Percentage
Beneficially Owned |
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5% Holders | | | | | | | | | | | | | |
EdisonFuture, Inc.(1)
|
| | | | 5,500,000 | | | | | | 25.83% | | |
Palo Alto Clean Tech Holding Limited(2)
|
| | | | 12,000,000 | | | | | | 56.36% | | |
Xiaofeng Denton Peng, Chairman of the Board and Chief Executive Officer(3)
|
| | | | 1,200,000 | | | | | | 5.4% | | |
Directors and Named Executive Officers (not otherwise included above): | | | | | | | | | | | | | |
Wenbing Chris Wang, Chief Financial Officer
|
| | | | 181,250 | | | | | | 0.9% | | |
HoongKhoeng Cheong, Director
|
| | | | 6,250 | | | | | | 0.0% | | |
Tarek Helou, Former Chief Operating Officer
|
| | | | 39,375 | | | | | | 0.2% | | |
Liang Lance Zhou, Director and Former Chief Executive Officer
|
| | | | 175,000 | | | | | | 0.8% | | |
John. F Perkowski, Independent Director
|
| | | | 2,813 | | | | | | 0.0% | | |
Steven E. Stivers, Independent Director
|
| | | | 2,813 | | | | | | 0.0% | | |
Sam Van, Independent Director
|
| | | | 2,813 | | | | | | 0.0% | | |
Zhenxing Fu, Independent Director
|
| | | | 2,813 | | | | | | 0.0% | | |
All Directors and Executive Officers as a Group(4)
|
| | | | 413,125 | | | | | | 1.9% | | |
This ‘DEF 14A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
4/26/26 | ||||
12/23/24 | ||||
9/7/24 | ||||
8/8/24 | ||||
12/31/23 | ||||
For Period end: | 12/11/23 | |||
12/10/23 | ||||
12/8/23 | ||||
Filed as of: | 11/17/23 | |||
Filed on: | 11/16/23 | |||
11/13/23 | 8-K | |||
11/10/23 | 8-K | |||
11/8/23 | ||||
10/27/23 | 8-K | |||
10/26/23 | 8-K | |||
6/26/23 | 8-K | |||
6/23/23 | 8-K | |||
6/16/23 | ||||
12/31/22 | 10-K | |||
3/31/22 | ||||
12/31/21 | ||||
11/22/21 | ||||
3/25/16 | ||||
1/10/11 | ||||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/29/24 Phoenix Motor Inc. DEF 14C 2/15/24 1:156K Toppan Merrill/FA 2/20/24 Phoenix Motor Inc. PRE 14C 2/16/24 1:153K Toppan Merrill/FA 2/08/24 Phoenix Motor Inc. 424B5 1:320K Toppan Merrill/FA 1/30/24 Phoenix Motor Inc. 424B5 1:329K Toppan Merrill/FA 12/14/23 Phoenix Motor Inc. 424B3 12/13/23 1:240K Toppan Merrill/FA 11/27/23 Phoenix Motor Inc. S-1 4:410K Toppan Merrill/FA |