Not independent
Tenure on this board
13.0 yrs
9 nominees · 3 ballot items.
Three management-proposed matters for stockholder approval: (1) issuance of Common Stock upon exchange and/or redemption of Series N Preferred Stock; (2) issuance of New PIPE Shares and a Pre-Funded PIPE Warrant; and (3) adjournment of the Special Meeting to solicit additional proxies.
Approve, for Nasdaq Listing Rule 5635(d), the issuance of shares of Common Stock issuable upon the exchange and/or redemption of the Series N Preferred Stock previously issued to certain accredited investors.
Approve the issuance of the New PIPE Shares and the Pre-Funded PIPE Warrant (together with the New PIPE Shares and shares of Common Stock underlying the Pre-Funded PIPE Warrant, the “New PIPE Securities”) issued pursuant to the New PIPE Purchase Agreement.
Approve the adjournment of the Special Meeting, if necessary, to solicit additional proxies in favor of Proposals 1 and 2.
| # | Owner | % of shares | Shares | Value |
|---|---|---|---|---|
| 1 | UBS Group AG | 18.32% | 110,465 | $41K |
| 2 | GEODE CAPITAL MANAGEMENT, LLC | 18.00% | 108,542 | $40K |
| 3 | HRT FINANCIAL LP | 2.52% | 15,187 | $5 |
| 4 | TWO SIGMA SECURITIES, LLC | 2.08% | 12,551 | $5K |
| 5 | SBI Securities Co., Ltd. | 0.43% | 2,571 | $953 |
| 6 | UBS Group AG | 0.40% | 2,441 | $903 |
| 7 | Tower Research Capital LLC (TRC | 0.38% | 2,311 | $856 |
| 8 | GEODE CAPITAL MANAGEMENT, LLC | 0.26% | 1,587 | $587 |
| 9 | ROYAL BANK OF CANADA | 0.12% | 702 | $0 |
| 10 | WELLS FARGO COMPANY/MN | 0.03% | 200 | $74 |
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