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NAME OF NOMINEE
|
| |
AGE
|
| |
PRINCIPAL OCCUPATION
|
| |
DIRECTOR SINCE
|
|
Judith T. Graves
|
| |
71
|
| | Retired | | | February 2004 | |
Joseph E. Root
|
| |
73
|
| | Attorney | | | October 2006 | |
William A. Peck
|
| |
85
|
| | Co-Director, Center for Health Economics and Policy, School of Medicine, Washington University, St. Louis, Missouri | | | April 1994 | |
Earl R. Refsland
|
| |
75
|
| | President and Chief Executive Officer of the Company, St. Louis, Missouri | | | September 1999 | |
John D. Weil
(Chairman) |
| |
77
|
| | Private Investor | | | August 1997 | |
Name
|
| |
Fees Earned or
Paid in Cash ($) |
| |
Stock
Awards ($) |
| |
Option
Awards ($)(1) |
| |
Non-Equity
Incentive Plan Compensation ($) |
| |
Change in
Pension Value and Nonqualified Deferred Compensation ($) |
| |
All Other
Compensation ($) |
| |
Total
($) |
| |||||||||||||||||||||
(a)
|
| |
(b)
|
| |
(c)
|
| |
(d)
|
| |
(e)
|
| |
(f)
|
| |
(g)
|
| |
(h)
|
| |||||||||||||||||||||
Judith T. Graves
|
| | | $ | 26,050 | | | | | | — | | | | | $ | 708 | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 26,758 | | |
Joseph E. Root
|
| | | $ | 25,050 | | | | | | — | | | | | $ | 708 | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 25,758 | | |
William A. Peck
|
| | | $ | 25,050 | | | | | | — | | | | | $ | 708 | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 25,758 | | |
John D. Weil
|
| | | $ | 24,000 | | | | | | — | | | | | $ | 708 | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 24,708 | | |
| | |
Shares Owned
Beneficially |
| |
Percent of
Outstanding Shares |
| ||||||
Directors and Executive Officers | | | | | | | | | | | | | |
Earl R. Refsland
Director and Chief Executive Officer |
| | | | 186,430 | | | | | | 4.6% | | |
John D. Weil
Chairman of the Board of Directors |
| | | | 1,605,832(1) | | | | | | 39.9% | | |
William A. Peck, M.D.
Director |
| | | | 7,500(2) | | | | | | * | | |
Joseph E. Root
Director |
| | | | 8,500(3) | | | | | | * | | |
Judith T. Graves
Director |
| | | | 7,750(4) | | | | | | * | | |
Daniel C. Dunn
Vice President – Finance, Chief Financial Officer and Secretary |
| | | | 8,153(5) | | | | | | * | | |
All directors and executive officers as a group (6 persons)
|
| | | | 1,824,165 | | | | | | 45.0% | | |
NAME
|
| |
AGE
|
| |
POSITION(S)
|
|
Earl R. Refsland
|
| |
75
|
| | Director, President and Chief Executive Officer(1) | |
Andrew D. Riley
|
| |
42
|
| | Vice President – Operations(2) | |
Daniel C. Dunn
|
| |
59
|
| | Vice President – Finance, Chief Financial Officer, Secretary & Treasurer(3) | |
Name & Principal Position |
| |
Year
|
| |
Salary
($)(1) |
| |
Bonus
|
| |
Stock
Awards |
| |
Option
Awards(2) |
| |
Non-Equity
Incentive Plan Compensation |
| |
Change in
Pension Value and Nonqualified Deferred Compensation Earnings |
| |
All Other
Compensation(3) |
| |
Total
Compensation |
| ||||||||||||||||||||||||
(a)
|
| |
(b)
|
| |
(c)
|
| |
(d)
|
| |
(e)
|
| |
(f)
|
| |
(g)
|
| |
(h)
|
| |
(i)
|
| |
(j)
|
| ||||||||||||||||||||||||
Earl R. Refsland
President and Chief Executive Officer |
| |
2018
|
| | | $ | 429,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 73,741 | | | | | $ | 502,741 | | |
|
2017
|
| | | $ | 429,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 73,275 | | | | | $ | 502,275 | | | ||
|
2016
|
| | | $ | 429,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 73,453 | | | | | $ | 502,453 | | | ||
Daniel C. Dunn
Vice President – Finance and Chief Financial Officer |
| |
2018
|
| | | $ | 224,269 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 24,075 | | | | | $ | 248,344 | | |
|
2017
|
| | | $ | 216,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 19,129 | | | | | $ | 235,129 | | | ||
|
2016
|
| | | $ | 216,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 19,820 | | | | | $ | 235,820 | | | ||
Andrew D. Riley
Vice President – Operations |
| |
2018
|
| | | $ | 219,808 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 5,093 | | | | | $ | 224,901 | | |
|
2017
|
| | | $ | 195,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 4,527 | | | | | $ | 199,527 | | | ||
|
2016
|
| | | $ | 195,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | $ | 4,527 | | | | | $ | 199,527 | | |
| | |
All Other Compensation
|
| ||||||||||||||||||||||||||||||||||||
Name
|
| |
Fiscal
Year |
| |
401k Match/
Contribution |
| |
Life/
Disability Insurance |
| |
Car
Allowance |
| |
Perquisites
and Personal Benefits |
| |
Tax
Gross-ups |
| |
Total Other
Compensation |
| ||||||||||||||||||
Earl R. Refsland
|
| |
2018
|
| | | $ | 13,080 | | | | | $ | 19,974 | | | | | $ | 24,163 | | | | | $ | — | | | | | $ | 16,524 | | | | | $ | 73,741 | | |
|
2017
|
| | | $ | 13,080 | | | | | $ | 19,974 | | | | | $ | 23,900 | | | | | $ | — | | | | | $ | 16,322 | | | | | $ | 73,275 | | | ||
|
2016
|
| | | $ | 13,080 | | | | | $ | 19,974 | | | | | $ | 24,000 | | | | | $ | — | | | | | $ | 16,399 | | | | | $ | 73,453 | | | ||
Daniel C. Dunn
|
| |
2018
|
| | | $ | 8,971 | | | | | $ | 1,971 | | | | | $ | 9,400 | | | | | $ | — | | | | | $ | 3,733 | | | | | $ | 24,075 | | |
|
2017
|
| | | $ | 8,640 | | | | | $ | 1,971 | | | | | $ | 4,170 | | | | | $ | — | | | | | $ | 4,348 | | | | | $ | 19,129 | | | ||
|
2016
|
| | | $ | 8,640 | | | | | $ | 1,971 | | | | | $ | 4,575 | | | | | $ | — | | | | | $ | 4,634 | | | | | $ | 19,820 | | | ||
Andrew D. Riley
|
| |
2018
|
| | | $ | 4,396 | | | | | $ | 408 | | | | | $ | — | | | | | $ | — | | | | | $ | 289 | | | | | $ | 5,093 | | |
|
2017
|
| | | $ | 3,900 | | | | | $ | 367 | | | | | $ | — | | | | | $ | — | | | | | $ | 260 | | | | | $ | 4,527 | | | ||
|
2016
|
| | | $ | 3,900 | | | | | $ | 367 | | | | | $ | — | | | | | $ | — | | | | | $ | 260 | | | | | $ | 4,527 | | |
| | |
Option Awards
|
| |
Stock Awards
|
| ||||||||||||||||||||||||||||||
Name
|
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable |
| |
Number of
Securities Underlying Unexercised Options (#) Unexercisable(1) |
| |
Equity
Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Options (#) |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| |
Number of
Shares or Units of Stock That Have Not Vested (#) |
| |
Market
Value of Shares of Stock That Have Not Vested ($) |
| |
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 ($) |
| |||||||||
(a)
|
| |
(b)
|
| |
(c)
|
| |
(d)
|
| |
(e)
|
| |
(f)
|
| |
(g)
|
| |
(h)
|
| |
(i)
|
| |
(j)
|
| |||||||||
Daniel C. Dunn
|
| | | | 7,500 | | | | | | | | | | | $ | 7.00 | | | | | | 8/25/21 | | | | | | |
Plan Category
|
| |
Number of Shares of
Common Stock to be Issued Upon Exercise of Outstanding Options, Warrants and Rights(1) |
| |
Weighted Average
Exercise Price of Outstanding Options, Warrants and Rights |
| |
Number of Shares of
Common Stock Remaining Available for Future Issuance Under Equity Compensation Plans |
| |||||||||
Equity compensation plans approved by stockholders
|
| | | | 45,000 | | | | | $ | 5.92 | | | | | | 310,500 | | |
Equity compensation plans not approved
by stockholders |
| | | | None | | | | | | None | | | | | | None | | |
Totals
|
| | | | 45,000 | | | | | $ | 5.92 | | | | | | 310,500 | | |
Fee Category
|
| |
Fiscal
2018 Fees |
| |
Fiscal
2017 Fees |
| ||||||
Audit Fees – Aggregate fees billed for professional services rendered for the audit
of our 2018 and 2017 fiscal year annual financial statements and review of financial statements included in our quarterly reports on Form 10-Q or services that are normally provided in connection with statutory and regulatory filings or engagements for the 2018 and 2017 fiscal years |
| | | $ | 143,000 | | | | | $ | 143,000 | | |
Audit Related Fees – Aggregate fees billed for employee benefit plan audits and accounting consultations
|
| | | $ | 14,500 | | | | | $ | 14,500 | | |
Tax Fees – Aggregate fees billed for tax compliance, tax advice and tax planning
|
| | | | — | | | | | | — | | |
All Other Fees – Aggregate fees billed for products and services provided other than as described in the preceding three (3) categories
|
| | | | — | | | | | | — | | |
Total Fees
|
| | | $ | 157,500 | | | | | $ | 157,500 | | |
|