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| | | | | 33 | | | |
| | | | | 34 | | | |
| | | | | 35 | | | |
| | | | | | | |
|
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 an amendment to the Fathom Holdings Inc. 2019 Omnibus Stock Incentive Plan to increase the share reserve by 2,000,000 shares of common stock | | | “For” votes from the holders of a majority of the votes cast and entitled to vote at the meeting | | | Against | | | None | |
|
3
|
| | Ratification of the selection of Deloitte & Touche LLP, an independent registered public accounting firm, as the auditor of the Company for the year ending December 31, 2022 | | | “For” votes from the holders of a majority of the votes cast and entitled to vote at the meeting | | | Withheld votes will have no effect | | | None | |
Name
|
| |
Age
|
| |
Director Since
|
| |
Position with Fathom
|
|
Joshua Harley | | |
46
|
| |
2009
|
| | Chairman, Chief Executive Officer, Director | |
Marco Fregenal | | |
58
|
| |
2019
|
| | President and Chief Financial Officer, Director | |
Christopher Bennett | | |
42
|
| |
2019
|
| | Director | |
Scott Flanders | | |
65
|
| |
2022
|
| | Director | |
Ravila Gupta | | |
59
|
| |
2021
|
| | Director | |
David Hood | | |
60
|
| |
2019
|
| | Director | |
Glenn Sampson | | |
81
|
| |
2019
|
| | Director | |
Jennifer Venable | | |
51
|
| |
2019
|
| | Director | |
| | | |
Audit
Committee |
| |
Compensation
Committee |
| |
Nominating &
Governance Committee |
|
|
Christopher Bennett
|
| | | | |
|
| |
|
|
|
Scott Flanders
|
| | | | |
|
| | | |
| Marco Fregenal | | | | | | | | | | |
| | | |
Audit
Committee |
| |
Compensation
Committee |
| |
Nominating &
Governance Committee |
|
|
Ravila Gupta
|
| |
|
| | | | |
|
|
| Joshua Harley | | | | | | | | | | |
|
David Hood
|
| |
|
| |
|
| | | |
| Glenn Sampson | | | | | | | | | | |
|
Jennifer Venable
|
| |
|
| | | | |
|
|
| | |
2021
|
| |
2020
|
| ||||||
Audit Fees
|
| | | $ | 438,746 | | | | | $ | 410,638 | | |
Audit-Related Fees
|
| | | | 65,564 | | | | | | — | | |
Tax Fees
|
| | | $ | 51,926 | | | | | $ | 12,720 | | |
All Other Fees
|
| | | | — | | | | | | — | | |
Name and Address of Beneficial Owner
|
| |
Shares
Beneficially Owned |
| |
Percentage
Beneficially Owned |
| ||||||
Directors and Named Executive Officers | | | | | | | | | | | | | |
Joshua Harley(1)
|
| | | | 5,385,249 | | | | | | 31.5% | | |
Marco Fregenal(2)
|
| | | | 1,166,080 | | | | | | 6.8% | | |
Samantha Giuggio(3)
|
| | | | 54,328 | | | | | | * | | |
Christopher Bennett(4)
|
| | | | 10,170 | | | | | | * | | |
Scott Flanders
|
| | | | 10,000 | | | | | | * | | |
Ravila Gupta(5)
|
| | | | 2,273 | | | | | | * | | |
David Hood(6)
|
| | | | 9,702 | | | | | | * | | |
Glenn Sampson(7)
|
| | | | 1,553,156 | | | | | | 9.1% | | |
Jennifer Venable(8)
|
| | | | 9,651 | | | | | | * | | |
All current directors and executive officers as a group (9 individuals)
|
| | | | 8,200,609 | | | | | | 47.8% | | |
Other 5% Shareholders | | | | | | | | | | | | | |
Cannell Capital LLC(9)
|
| | | | 1,273,348 | | | | | | 7.4% | | |
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
|
| | | | 20,156 | | | | | $ | 4.71 | | | | | | 2,739,261 | | |
2019 Omnibus Stock Incentive Plan
|
| | | | 23,840 | | | | | $ | 33.77 | | | | | | 1,121,788 | | |
Total
|
| | | | 43,996 | | | | | $ | 20.46 | | | | | | 3,861,049 | | |
Name and Principal Position
|
| |
Year
|
| |
Salary(1)
|
| |
Bonus
|
| |
Option
Awards |
| |
Stock
Awards |
| |
All Other
Compensation |
| |
Total
|
| |||||||||||||||||||||
Joshua Harley
Chief Executive Officer, Principal Executive Officer |
| | | | 2021 | | | | | $ | 350,000 | | | | | $ | 377,680 | | | | | $ | — | | | | | $ | 880,611(2) | | | | | $ | 11,793(3) | | | | | $ | 1,620,084 | | |
| | | 2020 | | | | | $ | 350,000 | | | | | $ | 271,150 | | | | | $ | — | | | | | $ | — | | | | | $ | 6,292(4) | | | | | $ | 627,442 | | | ||
Marco Fregenal
Chief Financial Officer and Principal Financial Officer |
| | | | 2021 | | | | | $ | 350,000 | | | | | $ | 477,680 | | | | | $ | — | | | | | $ | 557,991(2) | | | | | $ | 22,660(5) | | | | | $ | 1,408,331 | | |
| | | 2020 | | | | | $ | 335,417 | | | | | $ | 283,865 | | | | | $ | — | | | | | $ | — | | | | | $ | 15,900(6) | | | | | $ | 635,182 | | | ||
Samantha Giuggio
Chief Operating Officer |
| | | | 2021 | | | | | $ | 250,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 101,070(2) | | | | | $ | 26,789(7) | | | | | $ | 377,859 | | |
| | | 2020 | | | | | $ | 189,083 | | | | | $ | 1,500 | | | | | $ | — | | | | | $ | 150,011(2) | | | | | $ | 31,494(8) | | | | | $ | 372,088 | | |
Name
|
| |
2021 Base
Salary |
| |||
Joshua Harley
|
| | | $ | 350,000 | | |
Marco Fregenal
|
| | | $ | 350,000 | | |
Samantha Giuggio
|
| | | $ | 250,000 | | |
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
|
| | | | 32,427(1) | | | | | | 663,456(2) | | | | | | — | | | | | | — | | |
Marco Fregenal
|
| | | | 19,794(3) | | | | | | 404,985(2) | | | | | | — | | | | | | — | | |
Samantha Giuggio
|
| | | | 10,047(4) | | | | | | 205,562(2) | | | | | | — | | | | | | — | | |
Name
|
| |
Fees Earned or
Paid in Cash ($) |
| |
Option
Awards ($)(1)(2) |
| |
Total
($) |
| |||||||||
Christopher Bennett
|
| | | $ | 50,000 | | | | | $ | 100,012 | | | | | $ | 150,012 | | |
Jeffrey H. Coats(3)
|
| | | $ | 65,000 | | | | | $ | 100,012 | | | | | $ | 165,012 | | |
Ravila Gupta
|
| | | $ | 41,666 | | | | | $ | — | | | | | $ | 41,666 | | |
David C. Hood
|
| | | $ | 80,000 | | | | | $ | 100,012 | | | | | $ | 180,012 | | |
Glenn Sampson
|
| | | $ | 50,000 | | | | | $ | 100,012 | | | | | $ | 150,012 | | |
Jennifer Venable
|
| | | $ | 65,000 | | | | | $ | 100,012 | | | | | $ | 165,012 | | |
| | | | FATHOM HOLDINGS INC. | |
| | | |
By:
Joshua Harley
Chief Executive Officer |
|