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Proposal
Number |
| |
Proposal Description
|
| |
Vote Required for
Approval |
| |
Effect of
Abstentions |
| |
Effect of
Broker Non-Votes |
|
|
1
|
| | Election of directors | | | Nominees receiving the most “For” votes (plurality voting) | | | Withheld votes will have no effect | | | None | |
|
2
|
| | Approval of Amendment to the 2019 Omnibus Stock Incentive Plan | | | “For” votes from the holders of a majority of the votes cast and entitled to vote at the meeting | | | Against | | | None | |
Name
|
| |
Age
|
| |
Director Since
|
| |
Position with Fathom
|
|
Joshua Harley | | |
45
|
| |
2009
|
| | Chairman, Chief Executive Officer, Director | |
Marco Fregenal | | |
57
|
| |
2019
|
| | President and Chief Financial Officer, Director | |
Christopher Bennett | | |
41
|
| |
2019
|
| | Director | |
Jeffrey Coats | | |
63
|
| |
2019
|
| | Director | |
Ravila Gupta | | |
58
|
| |
2021
|
| | Director | |
David Hood | | |
59
|
| |
2019
|
| | Director | |
Glenn Sampson | | |
80
|
| |
2019
|
| | Director | |
Jennifer Venable | | |
50
|
| |
2019
|
| | Director | |
| | | |
Audit
Committee |
| |
Compensation
Committee |
| |
Nominating &
Governance Committee |
|
|
Christopher Bennett
|
| | | | |
|
| |
|
|
|
Jeffrey Coats
|
| |
|
| |
|
| |
|
|
| Marco Fregenal | | | | | | | | | | |
| Ravila Gupta | | | | | | | | | | |
| Joshua Harley | | | | | | | | | | |
| | | |
Audit
Committee |
| |
Compensation
Committee |
| |
Nominating &
Governance Committee |
|
|
David Hood
|
| |
|
| |
|
| | | |
| Glenn Sampson | | | | | | | | | | |
|
Jennifer Venable
|
| |
|
| | | | |
|
|
Plan Category
|
| |
Number of securities to
be issued upon exercise of outstanding options, warrants and rights |
| |
Weighted-average
exercise price of outstanding options, warrants and rights |
| |
Number of securities
remaining available for future issuance under equity compensation plans |
| |||||||||
Equity compensation plans approved
by security holders |
| | | | | | | | | | | | | | | | | | |
2017 Stock Plan
|
| | | | 20,158 | | | | | $ | 4.71 | | | | | | — | | |
2019 Omnibus Stock Incentive Plan
|
| | | | 23,840 | | | | | $ | 33.77 | | | | | | 422,317 | | |
Total
|
| | | | 43,998 | | | | | $ | 20.46 | | | | | | 422,317 | | |
| | |
2020
|
| |
2019
|
| ||||||
Audit Fees
|
| | | $ | 410,638 | | | | | $ | 327,138 | | |
Audit-Related Fees
|
| | | | — | | | | | | — | | |
Tax Fees
|
| | | $ | 12,720 | | | | | $ | 27,580 | | |
All Other Fees
|
| | | | — | | | | | | — | | |
Name and Address of Beneficial Owner
|
| |
Shares
Beneficially Owned |
| |
Percentage
Beneficially Owned |
| ||||||
Directors and Named Executive Officers | | | | | | | | | | | | | |
Joshua Harley(1)
|
| | |
|
5,605,628
|
| | | |
|
37.89%
|
| |
Marco Fregenal(2)
|
| | |
|
1,272,625
|
| | | |
|
8.60%
|
| |
Samantha Giuggio(3)
|
| | |
|
41,374
|
| | | |
|
*
|
| |
Christopher Bennett(4)
|
| | |
|
5,304
|
| | | |
|
*
|
| |
Jeffrey H. Coats
|
| | |
|
0
|
| | | |
|
*
|
| |
Ravila Gupta
|
| | |
|
0
|
| | | |
|
*
|
| |
David Hood
|
| | |
|
4,443
|
| | | |
|
*
|
| |
Glenn Sampson(5)
|
| | |
|
1,565,226
|
| | | |
|
10.57%
|
| |
Jennifer Venable(4)
|
| | |
|
5,304
|
| | | |
|
*
|
| |
All current directors and executive officers as a group (9 individuals)
|
| | |
|
8,499,904
|
| | | |
|
57.39%
|
| |
Other 5% Shareholders | | | | | | | | | | | | | |
Patrick Lee(6)
|
| | |
|
862,890
|
| | | |
|
5.83%
|
| |
Name and Principal Position
|
| |
Year
|
| |
Salary(1)
|
| |
Bonus
|
| |
Option
Awards |
| |
Stock
Awards |
| |
All Other
Compensation |
| |
Total
|
| |||||||||||||||||||||
Joshua Harley | | | | | 2020 | | | | | $ | 350,000 | | | | | $ | 271,150 | | | | | $ | — | | | | | $ | — | | | | | $ | 6,292(2) | | | | | $ | 627,442 | | |
Chief Executive Officer, Principal Executive
Officer |
| | | | 2019 | | | | | $ | 350,000 | | | | | $ | 176,050 | | | | | $ | — | | | | | $ | — | | | | | $ | 11,112(3) | | | | | $ | 537,162 | | |
Marco Fregenal | | | | | 2020 | | | | | $ | 335,417 | | | | | $ | 283,865 | | | | | $ | — | | | | | $ | — | | | | | $ | 15,900(4) | | | | | $ | 635,182 | | |
Chief Financial Officer and Principal Financial
Officer |
| | | | 2019 | | | | | $ | 350,000 | | | | | $ | 151,050 | | | | | $ | — | | | | | $ | — | | | | | $ | 16,300(5) | | | | | $ | 517,350 | | |
Samantha Giuggio | | | | | 2020 | | | | | $ | 189,083 | | | | | $ | 1,500 | | | | | $ | — | | | | | $ | 150,011(6) | | | | | $ | 31,494(7) | | | | | $ | 372,088 | | |
Chief Broker Operations Officer
|
| | | | 2019 | | | | | $ | 177,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 75,000(8) | | | | | $ | 17,695(9) | | | | | $ | 269,695 | | |
Name
|
| |
2020 Base
Salary |
| |||
Joshua Harley
|
| | | $ | 350,000 | | |
Marco Fregenal
|
| | | $ | 350,000 | | |
Samantha Giuggio
|
| | | $ | 225,000 | | |
Name
|
| |
Number of
shares or units of stock that have not vested (#) |
| |
Market
value of shares or units of stock that have not vested ($) |
| |
Equity incentive
plan awards: Number of unearned shares, units or other rights that have not vested (#) |
| |
Equity incentive
plan awards: Market or payout value of unearned shares, units or other rights that have not vested ($) |
| ||||||
Joshua Harley
|
| | | | — | | | | | | | | | | | | | | |
Marco Fregenal
|
| | | | — | | | | | | | | | | | | | | |
Samantha Giuggio
|
| | | | 6,974(1) | | | | | $ | 251,343(2) | | | | | | | | |
Name
|
| |
Fees Earned or
Paid in Cash ($) |
| |
Option
Awards ($)(1)(2) |
| |
Total
($) |
| |||||||||
Christopher Bennett
|
| | | $ | 26,250 | | | | | $ | 11,705 | | | | | $ | 37,955 | | |
Jeffrey H. Coats
|
| | | $ | 38,500 | | | | | $ | 21,458 | | | | | $ | 59,958 | | |
David C. Hood
|
| | | $ | 47,500 | | | | | $ | 23,410 | | | | | $ | 70,910 | | |
Glenn Sampson
|
| | | $ | 26,250 | | | | | $ | 11,705 | | | | | $ | 37,955 | | |
Jennifer Venable
|
| | | $ | 26,250 | | | | | $ | 11,705 | | | | | $ | 37,955 | | |
| | | | FATHOM HOLDINGS INC. | |
| | | |
By:
/s/ Joshua Harley
Joshua Harley
Chief Executive Officer |
|