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As Of Filer Filing For·On·As Docs:Size Issuer Agent 7/28/17 Standard Diversified Opportu… Inc DEF 14C 7/28/17 1:362K Toppan Vite NY Inc./FA |
Document/Exhibit Description Pages Size 1: DEF 14C Definitive Information Statement HTML 259K
t1702132-def14c - none - 1.619037s |
| | | | By Order of the Board of Directors, | |
| | | | ||
| | | | ||
| | | | /s/ Gregory H.A. Baxter | |
| | | | Gregory H.A. Baxter | |
| | | | Executive Chairman and Secretary | |
| | | | July 28, 2017 | |
Name and Address of Beneficial Owners
|
| |
Amount and
Nature of Beneficial Ownership of Class A Common Stock(1)(2) |
| |
Amount and
Nature of Beneficial Ownership of Class B Common Stock(1) |
| |
Options
Exercisable Within 60 Days After Record Date |
| |
Total Beneficial
Ownership(5) |
| |
Percent of
Class |
| ||||||||||||
Gregory H.A. Baxter | | | | | 36,362 | | | | | | 4,000 | | | | | | — | | | | | | * | | | |
*
|
|
Ian Estus | | | | | 97,086 | | | | | | 6,000 | | | | | | — | | | | | | 1.17% | | | |
1.10% (Class A)
* (Class B) |
|
Edward Sweeney | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | |
—
|
|
David M. Wurzer | | | | | 6,100 | | | | | | 3,050 | | | | | | — | | | | | | * | | | |
*
|
|
Thomas Helms(3) | | | | | 745,248 | | | | | | 372,624 | | | | | | — | | | | | | 8.62% | | | |
4.50% (Class A)
4.56% (Class B) |
|
Name and Address of Beneficial Owners
|
| |
Amount and
Nature of Beneficial Ownership of Class A Common Stock(1)(2) |
| |
Amount and
Nature of Beneficial Ownership of Class B Common Stock(1) |
| |
Options
Exercisable Within 60 Days After Record Date |
| |
Total Beneficial
Ownership(5) |
| |
Percent of
Class |
| ||||||||||||
David Glazek | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | |
—
|
|
All officers and directors as a group (six persons)
|
| | | | 882,061 | | | | | | 385,674 | | | | | | — | | | | | | 10.22% | | | |
6.03% (Class A)
4.72% (Class B) |
|
| | | | 14,505,192 | | | | | | 7,252,596 | | | | | | — | | | | | | 93.41%(6) | | | |
87.64% (Class A)
88.83% (Class B) |
|
Name and Principal Position
|
| |
Fiscal
Year |
| |
Salary
($) |
| |
Bonus
($) |
| |
Stock
Awards ($) |
| |
Option
Awards ($) |
| |
Non-Equity
Incentive Plan Compensation ($) |
| |
All Other
Compensation ($) |
| |
Total
($) |
| ||||||||||||||||||||||||
Kevin J. Bratton – Former Vice President and Chief Financial Officer
|
| | | | 2016 | | | | | | 126,072 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 126,072 | | |
| | | | | 2015 | | | | | | 126,072 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 126,072 | | |
| | | | | 2014 | | | | | | 140,619 | | | | | | 10,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | 252,144(1) | | | | | | 402,763 | | |
| | |
Option Awards
|
| |
Stock Awards
|
| | | | | | | ||||||||||||||||||||||||||||||||||||||||||
| | |
Number of Shares
Underlying Unexercised Options |
| | | | | | | | | | | | | |
Number of
Shares or Units or Stock That Have Not Vested |
| | | | | | | | |||||||||||||||||||||||||||||
Name
|
| |
Exercisable
|
| |
Unexercisable
|
| |
Option
Exercise Price |
| |
Option
Expiration Date |
| |
Market Value
of Shares or Units of Stock That Have Not Vested(1) |
| | | | | | | | | | | | | | | | | | | |||||||||||||||||||||
Kevin J. Bratton
|
| | | | 75,000 | | | | | | — | | | | | $ | 1.50 | | | | | | 6/1/2019 | | | | | | — | | | | | | — | | | | | | | | | ||||||||||||
| | | | | 25,000 | | | | | | — | | | | | $ | 1.69 | | | | | | 6/1/2020 | | | | | | — | | | | | | — | | | | | | | | | ||||||||||||
| | | | | 50,000 | | | | | | — | | | | | $ | 2.19 | | | | | | 3/1/2021 | | | | | | — | | | | | | — | | | | | | | | | ||||||||||||
| | | | | 15,000 | | | | | | — | | | | | $ | 2.10 | | | | | | 2/28/2022 | | | | | | — | | | | | | — | | | | | | | | |
Plan Category
|
| |
Number of securities to
be issued upon exercise of outstanding options, warrants, and rights (a) |
| |
Weighted-average
exercise price of outstanding options, warrants, and rights (b) |
| |
Number of securities
remaining available for issuance under equity compensation plans (excluding securities reflected in column (a)) (c) |
| |||||||||
Equity compensation plan approved by stockholders
|
| | | | 393,899 | | | | | $ | 1.86 | | | | | | 3,799,182 | | |
Equity compensation not approved by stockholders
|
| | | | 75,000 | | | | | $ | 1.50 | | | | | | — | | |
Total
|
| | | | 468,899 | | | | | $ | 1.81 | | | | | | 3,799,182 | | |
|
Audit Committee Chair
|
| | | $ | 10,000 | | |
|
Compensation and Nominating & Corporate Governance Committee Chairs
|
| | | $ | 5,000 | | |
|
Committee Membership (non-Chair)
|
| | | $ | 3,000 | | |
Name
|
| |
Fees Earned or
Paid in Cash |
| |
Share
Awards(1) |
| |
Option
Awards(1) |
| |
All Other
Compensation |
| |
Total
|
| |||||||||||||||
| | | $ | 22,500 | | | | | $ | 100,000 | | | | | | — | | | | | | — | | | | | $ | 122,500 | | | |
Ian Estus
|
| | | $ | 7,500 | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 7,500 | | |
Thomas J. Kelleher
|
| | | $ | 16,500 | | | | | $ | 60,000 | | | | | | — | | | | | | — | | | | | $ | 76,500 | | |
David M. Wurzer
|
| | | $ | 41,500 | | | | | $ | 60,000 | | | | | | — | | | | | | — | | | | | $ | 101,500 | | |
Wayne P. Yetter
|
| | | $ | 41,000 | | | | | $ | 60,000 | | | | | | — | | | | | | — | | | | | $ | 101,000 | | |
Kenneth M. Young
|
| | | $ | 16,500 | | | | | $ | 60,000 | | | | | | — | | | | | | — | | | | | $ | 76,500 | | |
| Dated: July 28, 2017 | | | By Order of the Board of Directors | |
| | | | ||
| | | |
Gregory H.A. Baxter
Executive Chairman of the Board of Directors and Secretary |
|
|
By:
Name: Ian W. Estus
Title: President and Chief Executive Officer |
|
This ‘DEF 14C’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on / Effective on / For Period End: | 7/28/17 | |||
7/14/17 | PRE 14C | |||
7/10/17 | ||||
7/3/17 | ||||
6/23/17 | ||||
6/21/17 | ||||
6/9/17 | 3, 4, 8-K | |||
6/2/17 | ||||
6/1/17 | 3, 4, 8-K | |||
5/30/17 | 8-K | |||
5/4/17 | 424B3, CORRESP, S-4/A | |||
5/3/17 | ||||
4/5/17 | 8-K | |||
3/17/17 | ||||
1/25/17 | ||||
12/31/16 | 10-K | |||
11/25/16 | 8-K, DEFA14A, SC 13D/A | |||
11/23/16 | 8-K | |||
3/19/13 | ||||
11/19/12 | ||||
6/1/09 | 3, 4 | |||
5/18/09 | ||||
4/20/06 | ||||
2/28/05 | 8-K | |||
6/19/02 | ||||
10/20/99 | ||||
10/7/99 | ||||
10/22/97 | ||||
6/25/97 | ||||
11/30/92 | ||||
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