| | |
Page
|
| |||
| | | | 1 | | | |
| | | | 1 | | | |
| | | | 1 | | | |
| | | | 1 | | | |
| | | | 2 | | | |
| | | | 2 | | | |
| | | | 3 | | | |
| | | | 3 | | | |
| | | | 3 | | | |
| | | | 4 | | | |
| | | | 5 | | | |
| | | | 5 | | | |
| | | | 6 | | | |
| | | | 6 | | | |
| | | | 9 | | | |
| | | | 9 | | | |
| | | | 9 | | | |
| | | | 9 | | | |
| | | | 9 | | | |
| | | | 10 | | | |
| | | | 10 | | | |
| | | | 11 | | | |
| | | | 11 | | | |
| | | | 11 | | | |
| | | | 11 | | | |
| | | | 11 | | | |
| | | | 13 | | | |
| | | | 13 | | | |
| | | | 13 | | | |
| | | | 13 | | | |
| | | | 14 | | | |
| | | | 15 | | | |
| | | | 17 | | | |
| | | | 17 | | | |
| | | | 17 | | | |
| | | | 17 | | | |
| | | | 20 | | |
| | |
Page
|
| |||
| | | | 20 | | | |
| | | | 20 | | | |
| | | | 21 | | | |
| | | | 21 | | | |
| | | | 21 | | | |
| | | | 21 | | | |
| | | | 21 | | | |
| | | | 22 | | | |
| | | | 22 | | | |
| | | | 22 | | |
Name
|
| |
Age
|
| |
Position with the Company
|
|
Chad M. Carpenter | | |
53
|
| | President, Chief Executive Officer, Chairman of the Board of Directors | |
Jon Haahr(a)(b)(c) | | |
64
|
| | Director | |
Richard P. Imperiale(a) | | |
59
|
| | Director | |
Xiaofan Bai(b)(c) | | |
35
|
| | Director | |
Xiaohang Bai(b)(c) | | |
29
|
| | Director | |
Yifeng Huang | | |
32
|
| | Director | |
Xinghua Wang(a) | | |
35
|
| | Director | |
Zhen Luo | | |
35
|
| | Director | |
| | |
2018
|
| |
2017
|
| ||||||
Audit Fees
|
| | | $ | 148,000 | | | | | $ | 167,000 | | |
Audit – Related Fees
|
| | | | 0 | | | | | | 0 | | |
Tax Fees
|
| | | | 18,595 | | | | | | 23,185 | | |
| | | | $ | 166,595 | | | | | $ | 190,185 | | |
|
Name and Address of Beneficial Owner
|
| |
Number of
Shares Beneficially Owned |
| |
Percentage
Beneficially Owned |
| ||||||
5% Owners: | | | | | | | | | | | | | |
King Apex Group Holdings II Limited(1)
|
| | | | 1,865,740 | | | | | | 16.9% | | |
King Apex Group Holdings III Limited(1)
|
| | | | 1,865,740 | | | | | | 16.9% | | |
King Apex Group Holdings IV Limited(1)
|
| | | | 2,150,000 | | | | | | 19.5% | | |
Executive Officers and Directors: | | | | | | | | | | | | | |
Chad M. Carpenter(2)
|
| | | | 913,288 | | | | | | 8.3% | | |
Jon Haahr(3)
|
| | | | 60,473 | | | | | | * | | |
Xiaofan Bai(4)
|
| | | | 5,906,110 | | | | | | 53.5% | | |
Xiaohang Bai
|
| | | | 12,397 | | | | | | * | | |
Yifeng Huang
|
| | | | — | | | | | | — | | |
Xinghua Wang
|
| | | | 2,681 | | | | | | * | | |
Thad L. Meyer(5)
|
| | | | 145,984 | | | | | | 1.3% | | |
Zhen Luo
|
| | | | 982,006 | | | | | | 8.9% | | |
Richard P. Imperiale
|
| | | | 5,351 | | | | | | * | | |
All executive officers and directors as a group (9 persons)
|
| | | | 8,028,290 | | | | | | 72.7% | | |
Name
|
| |
Age
|
| |
Position
|
|
Chad M. Carpenter | | |
53
|
| |
President, Chief Executive Officer, Chairman of the Board of Directors
|
|
Thad L. Meyer | | |
58
|
| | Chief Financial Officer, Chief Operating Officer, Secretary | |
Name and Principal
Position |
| |
Year
|
| |
Salary
|
| |
Bonus
|
| |
Stock
Awards |
| |
Option
Awards |
| |
Nonequity
Incentive Plan Compenation |
| |
Nonqualified
Deferred Compensation Earnings |
| |
All Other
Compensation |
| |
Total
|
| |||||||||||||||
Chad M. Carpenter
CEO(1) |
| | | | 2018 | | | | | $ | 277,200 | | | | | $ | 93,555 | | | | | $ | 93,555(3) | | | | | | | | | | | | | | | | | $ | 464,310 | | |
| | | 2017 | | | | | $ | 277,200 | | | | | $ | 50,000 | | | | | $ | 50,000(4) | | | | | | | | | | | | | | | | | $ | 377,200 | | | ||
Thad L. Meyer CFO, COO(2)
|
| | | | 2018 | | | | | $ | 254,100 | | | | | $ | 85,760 | | | | | $ | 85,760(3) | | | | | | | | | | | | | | | | | $ | 425,620 | | |
| | | 2017 | | | | | $ | 254,100 | | | | | $ | 50,000 | | | | | $ | 50,000(4) | | | | | | | | | | | | | | | | | $ | 354,100 | | |
| | |
Stock awards
|
| |||||||||||||||||||||
Name
|
| |
Number of
shares or units of stock that have not vested (#) |
| |
Market value of
shares of units of stock that have not vested ($) |
| |
Equity incentive
plan awards: Number of unearned shares, units or other rights that have not vested (#) |
| |
Equity incentive
plan awards: Market or payout value of unearned shares, units or other rights that have not vested ($) |
| ||||||||||||
Chad M. Carpenter, CEO
|
| | | | — | | | | | | — | | | | | | 209,728(1) | | | | | $ | 692,102(2) | | |
Thad L. Meyer, CFO
|
| | | | — | | | | | | — | | | | | | 77,899(1) | | | | | $ | 257,067(2) | | |
Name
|
| |
Fees
Earned |
| |
Stock
Awards |
| |
Option
Awards |
| |
Non-Equity
Incentive Plan Compensation |
| |
Deferred
Compensation Earnings |
| |
All Other
Compensation |
| |
Total
|
| |||||||||||||||||||||
Jon Haahr
|
| | | $ | 60,000 | | | | | $ | 20,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 80,000 | | |
Xiaofan Bai
|
| | | $ | 75,000 | | | | | $ | 25,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 100,000 | | |
Xiaohang Bai
|
| | | $ | 36,250 | | | | | $ | 16,250 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 52,500 | | |
Yifeng Huang
|
| | | $ | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | — | | |
Xinghua Wang
|
| | | $ | 23,750 | | | | | $ | 3,750 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 27,500 | | |
Zhen Luo
|
| | | $ | 11,250 | | | | | $ | 3,750 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 15,000 | | |
Richard P. Imperiale
|
| | | $ | 30,000 | | | | | $ | 10,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 40,000 | | |