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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 4/29/20 Chicken Soup for the Soul En… Inc DEF 14A 6/10/20 1:4.5M Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: DEF 14A Definitive Proxy Statement HTML 225K
tm2016223-1_def14a - none - 2.6729542s |
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THE BOARD RECOMMENDS THAT YOU VOTE “FOR” EACH OF THE
DIRECTOR NOMINEES. |
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| | |
Year Ended December 31,
|
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| | | | |
2018
|
| |||||||
Audit Fees(1)
|
| | | $ | 200,000 | | | | | $ | 200,000 | | |
Audit-Related Fees(2)
|
| | | | 139,459 | | | | | | 146,527 | | |
Tax Fees(3)
|
| | | | 85,100 | | | | | | 37,500 | | |
All Other Fees
|
| | | | — | | | | | | — | | |
Total Fees
|
| | | $ | 424,559 | | | | | $ | 384,027 | | |
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THE BOARD RECOMMENDS A VOTE “FOR” THE RATIFICATION OF
THE APPOINTMENT OF ROSENFIELD AND COMPANY, PLLC AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM |
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Name
|
| |
Age
|
| |
Position
|
| |
Audit
Committee |
| |
Compensation
Committee |
| |
Nominating
Committee |
|
William J. Rouhana, Jr.* | | |
67
|
| |
Chairman of the Board and
Chief Executive Officer |
| | | | ||||||
Scott W. Seaton* | | |
60
|
| |
Vice Chairman and
Chief Strategy Officer |
| | | | | | | | | |
Christopher Mitchell* | | |
50
|
| | Chief Financial Officer | | | | | | | | | | |
Elana B. Sofko | | |
52
|
| | Chief Operating Officer | | | | | | | | | | |
Amy L. Newmark* | | |
63
|
| |
Senior Brand Advisor and
Director |
| | | | | | | | | |
Fred M. Cohen | | |
75
|
| | Director | | |
✓
|
| |
✓
|
| |
✓
|
|
Cosmo DeNicola | | |
65
|
| | Director | | |
✓
|
| | | | | | |
Martin Pompadur | | |
84
|
| | Director | | | | | | | | |
✓
|
|
Christina Weiss Lurie | | |
60
|
| | Director | | | | | |
✓
|
| |
✓
|
|
Diana Wilkin | | |
61
|
| | Director | | |
✓
|
| |
✓
|
| | | |
| | | |
Qualifications
|
| |
Experience
|
| ||||||||||||||||||||||||||||||||||||
| | | |
Executive
Leadership |
| |
Public
Company Director |
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Audit
Committee Financial Expert(1) |
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Finance
|
| |
Law
|
| |
M&A
|
| |
Media &
Entertainment Industry Experience |
| |||||||||||||||||||||
| | | | | ✓ | | | | | | | | | | | | | | | | | | ✓ | | | | | | ✓ | | | | | | ✓ | | | | | | ✓ | | | |
|
Scott W. Seaton
|
| | | | ✓ | | | | | | ✓ | | | | | | | | | | | | ✓ | | | | | | | | | | | | ✓ | | | | | | ✓ | | |
|
Amy L. Newmark
|
| | | | ✓ | | | | | | ✓ | | | | | | | | | | | | ✓ | | | | | | | | | | | | ✓ | | | | | | ✓ | | |
|
Fred M. Cohen
|
| | | | ✓ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ✓ | | |
|
Cosmo DeNicola
|
| | | | ✓ | | | | | | | | | | | | ✓ | | | | | | ✓ | | | | | | | | | | | | ✓ | | | | | | ✓ | | |
|
Martin Pompadur
|
| | | | ✓ | | | | | | ✓ | | | | | | | | | | | | | | | | | | ✓ | | | | | | ✓ | | | | | | ✓ | | |
|
Christina Weiss Lurie
|
| | | | ✓ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ✓ | | |
|
Diana Wilkin
|
| | | | ✓ | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ✓ | | |
Name
|
| |
Fees Earned or
Paid in Cash ($)(1) |
| |
Stock Awards ($)(2)
|
| |
Total ($)
|
| |||||||||
Amy L. Newmark
|
| | | | — | | | | | | — | | | | | | — | | |
Peter J. Dekom(3)
|
| | | | 12,500 | | | | | | 12,503 | | | | | | 25,003 | | |
Fred M. Cohen
|
| | | | 25,000 | | | | | | 25,053 | | | | | | 50,053 | | |
Christina Weiss Lurie
|
| | | | 25,000 | | | | | | 25,053 | | | | | | 50,053 | | |
Diana Wilkin
|
| | | | 25,000 | | | | | | 25,053 | | | | | | 50,053 | | |
Cosmo DeNicola(4)
|
| | | | 12,500 | | | | | | 12,550 | | | | | | 25,050 | | |
Martin Pompadur(4)
|
| | | | 12,500 | | | | | | 12,550 | | | | | | 25,050 | | |
| | |
Option Awards
|
| |||||||||||||||||||||
Name
|
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable |
| |
Number of
Securities Underlying Unexercised Options (#) Unexercisable |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| ||||||||||||
Amy L. Newmark
|
| | | | 100,000 | | | | | | 0 | | | | | | 6.50 | | | | | | 12/31/2022 | | |
Name and Position
|
| |
Year
|
| |
Salary ($)(1)
|
| |
Bonus ($)(1)
|
| |
Stock
Awards ($)(2) |
| |
All Other ($)(1)
|
| |
Total ($)
|
| ||||||||||||||||||
William J. Rouhana, Jr.
Chief Executive Officer |
| | | | 2019 | | | | | | 126,000 | | | | | | — | | | | | | — | | | | | | 9,326 | | | | | | 135,326 | | |
| | | 2018 | | | | | | 126,000 | | | | | | — | | | | | | — | | | | | | 9,326 | | | | | | 135,326 | | | ||
Scott W. Seaton
Vice Chairman |
| | | | 2019 | | | | | | 62,500 | | | | | | — | | | | | | — | | | | | | 10,314 | | | | | | 72,814 | | |
| | | 2018 | | | | | | 125,000 | | | | | | — | | | | | | 51,000 | | | | | | 20,628 | | | | | | 196,628 | | | ||
Daniel M. Pess
Former Chief Financial Officer |
| | | | 2018 | | | | | | 147,000 | | | | | | 135,000 | | | | | | 51,000 | | | | | | 17,135 | | | | | | 350,135 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
Christopher Mitchell
Chief Financial Officer |
| | | | 2019 | | | | | | 175,000 | | | | | | 108,750 | | | | | | 399,000 | | | | | | 22,332 | | | | | | 705,082 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
Elana B. Sofko
Chief Operating Officer |
| | | | 2019 | | | | | | 320,000 | | | | | | 160,000 | | | | | | 399,000 | | | | | | 15,611 | | | | | | 894,611 | | |
| | | 2018 | | | | | | 280,000 | | | | | | 140,000 | | | | | | — | | | | | | 18,879 | | | | | | 299,379 | | |
| | |
Potential Termination Payments
|
| |||||||||||||||
Name
|
| |
By the Executive ($)
|
| |
By Company for Cause ($)
|
| |
By Company without Cause ($)
|
| |||||||||
Elana B. Sofko
|
| | | | — | | | | | | — | | | | | $ | 160,000 | | |
| | |
Option Awards
|
| |||||||||||||||||||||
Name
|
| |
Number of Securities
Underlying Unexercised Options (#) Exercisable |
| |
Number of Securities
Underlying Unexercised Options (#) Unexercisable |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| ||||||||||||
William J. Rouhana, Jr.
Chief Executive Officer |
| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Scott W. Seaton
Vice Chairman |
| | | | 100,000 | | | | | | 0 | | | | | | 6.50 | | | | | | 1/1/2022 | | |
Daniel M. Pess*
Former Chief Financial Officer |
| | | | 100,000 | | | | | | 0 | | | | | | 6.50 | | | | | | 1/1/2022 | | |
Christopher Mitchell
Chief Financial Officer |
| | | | 33,332 | | | | | | 66,668 | | | | | | 8.08 | | | | | | 1/16/2023 | | |
Elana B. Sofko
Chief Operating Officer |
| | | | 75,000 | | | | | | 0 | | | | | | 7.50 | | | | | | 12/31/2022 | | |
| | | 33,332 | | | | | | 66,668 | | | | | | 8.08 | | | | | | 1/16/2024 | | |
| | |
Shares Beneficially Owned
|
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Name and Address of Beneficial Owner(1)
|
| |
Class A
|
| |
%
|
| |
Class B
|
| |
%
|
| |
Percent of
Total Voting Power(2) |
| |||||||||||||||
Current Directors and Officers: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | 157,500(4) | | | | | | 3.63 | | | | | | 7,813,938(5) | | | | | | 100 | | | | | | 95.11 | | | |
Scott W. Seaton
|
| | | | 119,660(6) | | | | | | 2.79 | | | | | | — | | | | | | 0 | | | | | | * | | |
Christopher Mitchell
|
| | | | 45,915(7) | | | | | | 1.09 | | | | | | — | | | | | | 0 | | | | | | * | | |
Elana B. Sofko
|
| | | | 116,665(8) | | | | | | * | | | | | | — | | | | | | 0 | | | | | | * | | |
Amy L. Newmark(3)
|
| | | | 161,464(9) | | | | | | 3.73 | | | | | | — | | | | | | 0 | | | | | | * | | |
Fred M. Cohen
|
| | | | 13,070 | | | | | | * | | | | | | — | | | | | | 0 | | | | | | * | | |
Cosmo DeNicola
|
| | | | 253,351(10) | | | | | | 5.98 | | | | | | — | | | | | | 0 | | | | | | * | | |
Martin Pompadur
|
| | | | 1,561 | | | | | | * | | | | | | — | | | | | | 0 | | | | | | * | | |
Christina Weiss Lurie
|
| | | | 31,823 | | | | | | * | | | | | | — | | | | | | 0 | | | | | | * | | |
Diana Wilkin
|
| | | | 20,153 | | | | | | * | | | | | | — | | | | | | 0 | | | | | | * | | |
All current directors and executive officers as a
group (ten persons) |
| | | | 921,162(11) | | | | | | 21.51 | | | | | | 7,813,938 | | | | | | 100 | | | | | | 96.03 | | |
Five Percent Holders: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Chicken Soup for the Soul Productions, LLC
|
| | | | — | | | | | | 0 | | | | | | 7,654,506 | | | | | | 97.96 | | | | | | 92.98 | | |
Trema, LLC
|
| | | | 157,500(4) | | | | | | 3.79 | | | | | | 159,432 | | | | | | 2.04 | | | | | | 2.13 | | |
Royce & Associates, LP(12)
|
| | | | 413,224 | | | | | | 9.87 | | | | | | — | | | | | | 0 | | | | | | * | | |
Greenhaven Road Investment Management,
L.P.(13) |
| | | | 813,714 | | | | | | 17.48 | | | | | | — | | | | | | 0 | | | | | | * | | |
Sony Corporation(14)
|
| | | | 4,000,000 | | | | | | 48.87 | | | | | | — | | | | | | 0 | | | | | | 4.63 | | |
This ‘DEF 14A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
6/15/21 | ||||
4/15/21 | ||||
3/15/21 | ||||
12/31/20 | ||||
For Period end: | 6/10/20 | |||
6/9/20 | ||||
6/8/20 | ||||
Filed on / Effective on: | 4/29/20 | |||
2/13/20 | SC 13G/A | |||
1/21/20 | SC 13G/A | |||
12/31/19 | 10-K | |||
11/4/19 | SC 13D/A | |||
8/1/19 | S-1/A | |||
6/12/19 | 3, 8-K | |||
3/31/19 | 10-Q | |||
2/6/19 | SC 13G, SC 13G/A | |||
1/1/19 | 4, 8-K | |||
12/31/18 | 10-K, 10-K/A | |||
9/30/18 | 10-Q | |||
11/6/17 | 10-Q, 8-K | |||
3/1/17 | D | |||
1/1/17 | ||||
12/31/16 | ||||
5/12/16 | ||||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 1/25/21 Chicken Soup for the Soul En… Inc S-1 4:410K Toppan Merrill/FA 12/18/20 Chicken Soup for the Soul En… Inc 424B1 1:406K Toppan Merrill/FA 12/08/20 Chicken Soup for the Soul En… Inc S-1 6:848K Toppan Merrill/FA 11/23/20 Chicken Soup for the Soul En… Inc 424B3 1:420K Toppan Merrill/FA 11/09/20 Chicken Soup for the Soul En… Inc S-1/A 11/06/20 8:816K Toppan Merrill/FA |