Name of Shareholder
|
| |
Number of Votes Held
|
| |
Percentage of Total Eligible
Votes(1) |
| ||||||
Jason Wild
|
| | | | 90,168,853(2) | | | | | | 35.8% | | |
Name, Age, Province
or State and Country of Residence |
| |
Principal
Occupation |
| |
Current Position(s)
with the Corporation |
| |
Director
Since |
| |
Number of
Common Shares Beneficially Owned, or Controlled or Directed, Directly or Indirectly |
|
Craig Collard, 56
North Carolina, United Sates |
| |
Director
|
| |
Lead Independent Director,
Member of the Audit Committee and Compensation Committee |
| |
December 6, 2018
|
| |
111,022
Common Shares(1) |
|
Kara DioGuardi, 51
Maine, United States |
| |
Co-Founder, Arthouse Entertainment
|
| |
Director
|
| |
March 3, 2022
|
| |
Nil(2)
|
|
Name, Age, Province
or State and Country of Residence |
| |
Principal
Occupation |
| |
Current Position(s)
with the Corporation |
| |
Director
Since |
| |
Number of
Common Shares Beneficially Owned, or Controlled or Directed, Directly or Indirectly |
|
Ed Schutter, 71
Georgia, United States |
| |
Director
|
| |
Director,
Chair of the Compensation Committee |
| |
November 2, 2020
|
| |
1,241,801
Common Shares(3) |
|
Lisa Swartzman, 52
Ontario, Canada |
| |
Director
|
| |
Director,
Member of the Audit Committee |
| |
April 15, 2019
|
| |
88,928
Common Shares(4) |
|
Jason Wild, 49
New York, United States |
| |
President and Chief Investment Officer, JW Asset Management, LLC
|
| |
Executive Chairman, Chairman of the Board, Director
|
| |
December 8, 2017
|
| |
90,168,853
Common Shares(5) |
|
Nature of Services
|
| |
December 31,
2021(1) |
| |
December 31,
2020(1) |
| ||||||
Audit Fees(2)
|
| | | $ | 1,412,303 | | | | | $ | 1,020,699 | | |
Audit-Related Fees(3)
|
| | | $ | 113,982 | | | | | $ | 77,328 | | |
Tax Fees(4)
|
| | | $ | 48,525 | | | | | $ | 83,992 | | |
All Other Fees
|
| | | $ | — | | | | | $ | — | | |
Total | | | | $ | 1,574,810 | | | | | $ | 1,182,019 | | |
Name
|
| |
Age
|
| |
Title
|
| |||
Jason Wild
|
| | | | 49 | | | | Executive Chairman | |
Jason Ackerman
|
| | | | 54 | | | |
Former Chief Executive Officer(1)
|
|
Keith Stauffer
|
| | | | 52 | | | | Chief Financial Officer | |
Ryan McWilliams
|
| | | | 34 | | | |
Executive Vice President, Northeast Region(2)
|
|
Greg Rochlin
|
| | | | 57 | | | |
Former Chief Executive Officer, Ilera Health(3)
|
|
Jason Marks
|
| | |
|
46
|
| | | Former Chief Legal Officer(4) | |
Name and principal position
|
| |
Year
|
| |
Salary,
consulting fee, retainer or commission ($)(1) |
| |
Bonus
($)(2) |
| |
Stock
awards ($)(3) |
| |
Option
awards ($)(4) |
| |
Non-equity
incentive plan compensation ($) |
| |
Change in
pension value and nonqualified deferred compensation earnings ($) |
| |
Value of
all other compensation ($) |
| |
Total
($) |
| |||||||||||||||||||||||||||
Jason Wild(5)
Executive Chairman |
| | | | 2021 | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | Nil | | |
| | | 2020 | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | ||
Jason Ackerman(6)
Former Chief Executive Officer, Former Executive Chairman and Former Director |
| | | | 2021 | | | | | | 115,705 | | | | | | 134,795 | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | 401,477(7) | | | | | | 651,977 | | |
| | | 2020 | | | | | | 493,333 | | | | | | 578,630 | | | | | | Nil | | | | | | 7,613,839 | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | 8,685,802 | | | ||
Keith Stauffer(8)
Chief Financial Officer |
| | | | 2021 | | | | | | 400,000 | | | | | | 137,989 | | | | | | 140,299 | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | 678,288 | | |
| | | 2020 | | | | | | 272,820 | | | | | | 122,301 | | | | | | Nil | | | | | | 1,396,625 | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | 1,791,746 | | | ||
Ryan McWilliams(9)
Executive Vice President, Northeast Region |
| | | | 2021 | | | | | | 328,846 | | | | | | 122,415 | | | | | | Nil | | | | | | 657,487 | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | 1,108,748 | | |
| | | 2020 | | | | | | N/A | | | | | | N/A | | | | | | N/A | | | | | | N/A | | | | | | N/A | | | | | | N/A | | | | | | N/A | | | | | | Nil | | | ||
Greg Rochlin(10)
Former Chief Executive Officer, Ilera Health |
| | | | 2021 | | | | | | 307,692 | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | 1,458,003 | | | | | | Nil | | | | | | 260,633(11) | | | | | | 2,026,328 | | |
| | | 2020 | | | | | | 500,000 | | | | | | Nil | | | | | | Nil | | | | | | 4,931,951 | | | | | | 1,582,202 | | | | | | Nil | | | | | | 18,000(11) | | | | | | 7,032,153 | | | ||
Jason Marks(12)
Former Chief Legal Officer |
| | | | 2021 | | | | | | 247,115 | | | | | | Nil | | | | | | 66,211 | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | 35,279(13) | | | | | | 348,605 | | |
| | | 2020 | | | | | | 160,417 | | | | | | 154,000 | | | | | | 440,943 | | | | | | 2,404,147 | | | | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | 3,159,507 | | |
| | |
Option Awards
|
| |
Stock Awards
|
| |||||||||||||||||||||
Named Executive Officer
|
| |
Number of
securities underlying unexercised options (#) exercisable(1) |
| |
Number of
securities underlying unexercised options (#) unexercisable(2) |
| |
Equity
incentive plan awards: Number of securities underlying unexercised unearned options (#) |
| |
Option
exercise price ($)(3) |
| |
Option
expiration date |
| |
Number
of shares or units of stock that have not vested (#) |
| |
Market
value of shares or units of stock that have not vested ($) |
| |
Equity
incentive plan awards: Number of shares or units of stock that have not vested (#)(4) |
| |
Equity incentive
plan awards: Market or payout value of unearned shares, units or other rights that have not vested ($) |
|
Jason Wild(5)
|
| |
1,000,000
|
| |
0
|
| |
0
|
| |
3.16
|
| |
6/19/2023
|
| |
Nil
|
| |
Nil
|
| |
47,847
|
| |
292,345
|
|
|
0
|
| |
200,000
|
| |
0
|
| |
10.79
|
| |
3/25/2031
|
| ||||||||||||||
Jason Ackerman
|
| |
1,569,260
|
| |
0
|
| |
0
|
| |
1.85
|
| |
1/9/2030
|
| |
Nil
|
| |
Nil
|
| |
Nil
|
| |
Nil
|
|
|
1,792,492
|
| |
0
|
| |
0
|
| |
2.11
|
| |
1/9/2030
|
| ||||||||||||||
Keith Stauffer
|
| |
333,334
|
| |
666,666
|
| |
0
|
| |
2.11
|
| |
4/27/2025
|
| |
Nil
|
| |
Nil
|
| |
13,004
|
| |
79,454
|
|
Ryan McWilliams
|
| |
33,334
|
| |
33,333
|
| |
0
|
| |
4.74
|
| |
9/16/2024
|
| |
Nil
|
| |
Nil
|
| |
Nil
|
| |
Nil
|
|
|
66,667
|
| |
133,333
|
| |
0
|
| |
3.81
|
| |
1/1/2026
|
| | | | | ||||||||||
|
0
|
| |
150,000
|
| |
0
|
| |
6.75
|
| |
9/2/2031
|
| | | | | ||||||||||
Greg Rochlin
|
| |
111,111
|
| |
0
|
| |
0
|
| |
2.56
|
| |
11/27/2024
|
| |
Nil
|
| |
Nil
|
| |
Nil
|
| |
Nil
|
|
|
291,667
|
| |
0
|
| |
0
|
| |
3.81
|
| |
1/1/2026
|
| ||||||||||||||
Jason Marks
|
| |
250,000
|
| |
0
|
| |
0
|
| |
3.81
|
| |
8/3/2025
|
| |
Nil
|
| |
Nil
|
| |
Nil
|
| |
Nil
|
|
Name
|
| |
Fees earned
or paid in cash ($) |
| |
Bonus
($) |
| |
Stock
Awards ($)(1) |
| |
Option
awards ($)(2) |
| |
Non-equity
incentive plan compensation ($) |
| |
Nonqualified
deferred compensation earnings ($) |
| |
All other
compensation ($) |
| |
Total
($) |
| |||||||||||||||||||||
Jason Wild(3)
|
| | | | Nil | | | | | | Nil | | | | | | 516,216 | | | |
1,762,169
|
| | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | 2,278,385 | | |
Craig Collard
|
| | | | Nil | | | | | | Nil | | | | | | 221,970 | | | |
Nil
|
| | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | 221,970 | | |
Richard Mavrinac
|
| | | | Nil | | | | | | Nil | | | | | | 234,464 | | | |
Nil
|
| | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | 234,464 | | |
Lisa Swartzman
|
| | | | Nil | | | | | | Nil | | | | | | 214,224 | | | |
Nil
|
| | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | 214,224 | | |
Ed Schutter
|
| | | | Nil | | | | | | Nil | | | | | | 226,718 | | | |
Nil
|
| | | | Nil | | | | | | Nil | | | | | | Nil | | | | | | 226,718 | | |
Plan
|
| |
Number of Common
Shares to be issued upon exercise/issuance of outstanding options/RSUs under Stock Option Plan and RSU Plan |
| |
Weighted-average
exercise price of outstanding options/RSUs under Stock Option Plan and RSU Plan |
| |
Number of Common
Shares remaining available for future issuance under the Stock Option Plan and RSU Plan(1) |
| |||||||||
Stock Option Plan
|
| | | | 12,884,696 | | | | | $ | 4.85 | | | | | | 18,212,577 | | |
RSU Plan
|
| | | | 192,171 | | | | | | N/A | | | | | | | | |
Name and Address of Beneficial Owner
|
| |
Amount and
Nature of Beneficial Ownership |
| |
Percent of
Class(1) |
| ||||||
5% Shareholders(2) | | | | | | | | | | | | | |
Jason Wild
14 North Lake Rd. Armonk, NY 10504 |
| | | | 126,939,278(2) | | | | | | 41.82% | | |
Current Directors | | | | | | | | | | | | | |
Craig Collard
|
| | | | 211,022 | | | | | | * | | |
Kara DioGuardi
|
| | | | 0 | | | | | | * | | |
Richard Mavrinac
|
| | | | 373,222 | | | | | | * | | |
Ed Schutter
|
| | | | 1,241,801 | | | | | | * | | |
Lisa Swartzman
|
| | | | 438,928 | | | | | | * | | |
Jason Wild
|
| | | | 126,939,278 | | | | | | 41.82% | | |
Named Executive Officers | | | | | | | | | | | | | |
Jason Wild
|
| | | | 126,939,278 | | | | | | 41.82% | | |
Jason Ackerman
|
| | | | 3,892,681 | | | | | | 1.28% | | |
Keith Stauffer
|
| | | | 666,666 | | | | | | * | | |
Ryan McWilliams
|
| | | | 100,000 | | | | | | * | | |
Greg Rochlin
|
| | | | 402,778 | | | | | | * | | |
Jason Marks
|
| | | | 250,000 | | | | | | * | | |
All current directors and executive officers as a group (11 persons)
|
| | | | 134,516,376 | | | | | | 44.32% | | |
|
Name of Director
|
| |
Name of Issuer
|
| |
Market
|
|
|
Craig Collard
|
| |
Opiant Pharmaceuticals, Inc.
Sierra Oncology, Inc. |
| |
Nasdaq Stock Market
Nasdaq Stock Market |
|
|
Richard Mavrinac
|
| |
Roots Corporation
RIV Capital Inc. |
| |
Toronto Stock Exchange
TSX Venture Exchange |
|
|
Ed Schutter
|
| |
Establishment Labs S. A.
|
| |
Nasdaq Stock Market
|
|
Director
|
| |
Board
|
| |
Audit
Committee |
| |
Compensation
Committee |
| |
Total
Attendance |
| ||||||||||||
Craig Collard
|
| | | | 8/8 | | | | | | 5/6 | | | | | | 2/2 | | | | | | 15/16 | | |
Richard Mavrinac
|
| | | | 8/8 | | | | | | 6/6 | | | | | | 2/2 | | | | | | 16/16 | | |
Ed Schutter
|
| | | | 8/8 | | | | | | — | | | | | | 2/2 | | | | | | 10/10 | | |
Lisa Swartzman
|
| | | | 8/8 | | | | | | 6/6 | | | | | | — | | | | | | 14/14 | | |
Jason Wild
|
| | | | 7/8 | | | | | | — | | | | | | — | | | | | | 7/8 | | |
Kara DioGuardi(1)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
|
(signed) “Jason Wild”
Jason Wild
Executive Chairman, Chairman of the Board and Director |
| | | |