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Management
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Page
Reference (for more detail) |
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| | | | | FOR | | | | | | 6 | |
| | | | | FOR | | | | | | 8 | |
| | | | | FOR | | | | | | 11 |
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Name
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Position
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Number of Shares
Beneficially Owned(1) |
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Percentage Beneficially
Owned |
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| Arthur A. Bottone | | | President & Chief Executive Officer; Director | | |
198,592
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*
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| Michael S. Bishop | | | Senior Vice President, Chief Financial Officer & Treasurer(2) | | |
97,587
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*
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| Jennifer D. Arasimowicz | | | Senior Vice President, General Counsel and Corporate Secretary | | |
16,196
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*
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| Anthony F. Rauseo | | | Senior Vice President & Chief Operating Officer(3) | | |
112,048
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*
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| James Herbert England | | | Director(4) | | |
75,114
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*
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| Matthew F. Hilzinger | | | Director(5) | | |
64,068
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*
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| John A. Rolls | | | Director(6) | | |
218,512
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*
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| Christopher S. Sotos | | | Director(7) | | |
—
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*
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| Natica von Althann | | | Director(8) | | |
24,683
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*
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| Togo Dennis West, Jr. | | | Director(9) | | |
41,738
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*
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| NRG Energy, Inc. 804 Carnegie Center Princeton, NJ 08540 |
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(10)
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1,420,363
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2.05%
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| POSCO Energy Co., LTD. 440 Teheran-ro, Gangnam-Gu Seoul 135-777 Korea |
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(10)
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2,565,534
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3.70%
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| ALL DIRECTORS AND EXECUTIVE OFFICERS AS A GROUP |
| | (10 PERSONS)(11) | | |
848,538
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1.22%
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| Current Authorized Shares of Common Stock | | | |
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125,000,000
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| Proposed Increase in Authorized Shares of Common Stock | | | |
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100,000,000
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| Proposed New Authorization | | | |
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225,000,000
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| Shares of Common Stock available for issuance (Pre-increase)(1) as of October 31, 2017 | | | | | [5,784,593] | |
| Shares of Common Stock available for issuance (Post-increase)(1) | | | | | [105,784,593] | |
| Shares of Common Stock Outstanding and Reserved (Pre-increase): | | | ||||
| Shares of Common Stock Issued and Outstanding as of October 31, 2017 | | | | | [69,389,197] | |
| Shares of Common Stock reserved for issuance under Equity Plans as of October 31, 2017 | | | | | [230,118] | |
| Shares of Common Stock reserved for issuance under the Employee Stock Purchase Plan as of October 31, 2017 |
| | | | [70] | |
| Shares of Common Stock reserved for issuance upon conversion of 5% Series B Cumulative Convertible Perpetual Preferred Stock as of October 31, 2017 |
| | | | [454,043] | |
| Shares of Common Stock reserved for issuance upon conversion of Series 1 Preferred Stock as of October 31, 2017(2) |
| | | | [15,166] | |
| Shares of Common Stock reserved for issuance upon exercise of Series A Warrants as of October 31, 2017 | | | | | [7,680,000] | |
| Shares of Common Stock reserved for issuance upon exercise of Series C Warrants as of October 31, 2017 | | | | | [11,715,900] | |
| Shares of Common Stock reserved for issuance upon exercise of Series D Warrants as of October 31, 2017 | | | | | [2,584,174] | |
| Shares of Common Stock required to be reserved pursuant to the Certificate of Designations in connection with the conversion of Series C Preferred Stock as of October 31, 2017(3) |
| | | | [27,146,739] | |
| Total Common Stock Outstanding and Reserved (Pre-increase) | | | | | [119,215,407] |