Form S-3 - Registration Statement Under The Securities Act Of 1933 - United States Securities And Exchange Commission Page 17
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33Table of Contents
The following table shows: (i) the number of shares of our Common Stock currently held by each of the Selling Stockholders; (ii) the number of
shares of our Common Stock that would be issued to each of the Selling Stockholders assuming that all of the Warrants are exercised for $11.50 in
cash; (iii) the number of shares of our Common Stock that would be issued to each of the Selling Stockholders assuming the Company achieved all
of the milestones and (iv) the number of restricted shares of our Common Stock that would be issued to each of the Selling Stockholders assuming
the Company achieved all of the milestones.
Restricted
Shares of
Common
Stock
Common
Common
Issuable
Stock
Stock
Upon
Common
Issuable
Issuable
Achievement
Stock
Upon
Upon
Percentage of
Name and Address of
of
Currently
Exercise of
Achievement
Common
(1)
**
Beneficial Owner
Outstanding
Warrants
of Milestones
Milestones
Total
Stock
(2)
Kathleen Eisbrenner
8,685,633
—
2,072,369
2,080,994
12,838,996
8.96%
(3)
Raymond Eisbrenner
28,499
—
31,351
162,155
222,005
*
(4)
René van Vliet
166,246
—
182,883
945,907
1,295,036
*
(5)
Alfonso Puga
94,998
—
104,504
540,518
740,020
*
(6)
Benjamin Atkins
92,623
—
101,892
527,005
721,520
*
(7)
Shaun Davison
132,997
—
146,306
756,725
1,036,028
*
(8)
Krysta De Lima
68,873
—
75,766
391,876
536,515
*
James Spencer
12,233
—
1,712
—
13,945
*
(9)
Eric S. Rosenfeld
1,681,798
96,232
—
—
1,778,030
1.22%
(10)
(11)
David D. Sgro
313,562
2,606
—
—
316,168
*
Gregory Monahan
135,721
1,128
—
—
136,849
*
(12)
Thomas Kobylarz
60,840
505
—
—
61,345
*
(13)
John P. Schauerman
22,500
7,500
—
—
30,000
*
(14)
Adam J. Semler
22,500
7,500
—
—
30,000
*
(15)
Leonard B. Schlemm
181,307
61,507
—
—
242,814
*
(16)
Joel Greenblatt
22,500
7,500
—
—
30,000
*
(17)
Jeff Hastings
150,000
50,000
—
—
200,000
*
(18)
NCIP Limited
40,000
—
—
—
40,000
*
(19)
The K2 Principal Fund L.P.
40,000
—
—
—
40,000
*
(20)
York Entities
57,781,121
—
11,221,408
—
69,002,529
47.45%
(21)
Valinor Entities
19,520,068
—
3,500,169
—
23,020,237
15.83%
(22)
Halcyon Entities
9,431,865
107,500
1,633,413
—
11,172,778
7.68%
(23)
GE Oil & Gas, LLC
3,211,391
—
415,962
—
3,627,353
2.49%
(24)
DKU 2013, LLC
292,500
97,500
—
—
390,000
*
Covalent Capital Partners Master Fund,
(25)
L.P.
272,417
92,417
—
—
364,834
*
(26)
Cantor Fitzgerald & Co.
50,000
50,000
—
—
100,000
*
(27)
NexPoint Credit Strategies Fund
611,666
—
85,569
—
697,235
*
*
Less than one percent
**
Subject to adjustment based on outstanding shares of our Common Stock immediately preceding the respective milestone achievement dates for
the restricted shares of common stock.
(1) Unless otherwise indicated, the business address and related information of each beneficial owner is the same as noted in the corresponding
footnote to the Selling Stockholders table.
12
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