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| | | | 60 | | | |
| | | | A-1 | | |
Name
|
| |
Age
|
| |
Position
|
|
Ken Xie | | |
56
|
| | Chief Executive Officer, Chairman of the Board of Directors and Director Nominee | |
Michael Xie | | |
50
|
| | President, Chief Technology Officer and Director | |
Peter D. Cohen(1)(2)+ | | |
52
|
| | Director | |
Ming Hsieh(1)(3) | | |
63
|
| | Director and Director Nominee | |
Gary Locke(2)(3)** | | |
69
|
| | Director and Director Nominee | |
William H. Neukom(2) | | |
77
|
| | Lead Independent Director | |
Christopher B. Paisley(1)(3)* | | |
66
|
| | Director and Director Nominee | |
Judith Sim(1)(3)*** | | |
50
|
| | Director and Director Nominee | |
Expertise, Experience or Attribute |
| |
Description
|
| |
Number of Directors
|
|
Cybersecurity
|
| | Extensive knowledge of corporate and global issues related to cybersecurity challenges within private and public organizations. | | |
3 of 8
|
|
Technology and Product Development
|
| | Significant background working in the technology industry and in management of technology companies; experience in product development, including engineering and design. | | |
7 of 8
|
|
Leadership
|
| | Extensive executive, director or management experience from leadership and governance roles in corporations, government or public organizations. | | |
8 of 8
|
|
Diversity
|
| | Representation of gender, ethnic, geographic, cultural or other perspectives that expand the Board of Directors’ understanding of the needs and viewpoints of our customers, partners, employees and other stakeholders. | | |
5 of 8
|
|
Public Service and Legal
|
| | Dedication to public service through leadership of government, non-governmental organizations and not-for-profit institutions; extensive experience in legal and compliance matters. | | |
4 of 8
|
|
Finance
|
| | Leadership of a financial firm or management of the finance function of an enterprise, resulting in financial proficiency and expertise. | | |
1 of 8
|
|
Marketing
|
| | Experience in marketing and leadership of corporate marketing functions. | | |
1 of 8
|
|
|
Tenure
|
| |
Number of Directors
|
| |
Age
|
| |
Number of Directors
|
|
|
More than 10 years
|
| |
3
|
| |
70+ years
|
| |
1
|
|
|
6 – 10 years
|
| |
2
|
| |
61 – 70 years
|
| |
3
|
|
|
0 – 5 years
|
| |
3
|
| |
50 – 60 years
|
| |
4
|
|
| | |
2018
|
| |
2017
|
| ||||||
Audit Fees(1)
|
| | | $ | 3,194,740 | | | | | $ | 3,043,457 | | |
Audit-Related Fees(2)
|
| | | | 302,119 | | | | | | 58,500 | | |
Tax Fees(3)
|
| | | | 851,300 | | | | | | 448,699 | | |
All Other Fees(4)
|
| | | | 1,895 | | | | | | 1,895 | | |
Total
|
| | | $ | 4,350,054 | | | | | $ | 3,552,551 | | |
|
| | |
Immediately Prior to
Stockholder Approval |
| |
After Stockholder Approval
|
| ||||||
Authorized Shares Under the 2009 Plan
|
| | | | 93,901,968 | | | | | | 47,873,531 | | |
Shares Available to Grant
|
| | | | 59,528,437 | | | | | | 13,500,000 | | |
| | |
Existing Plan
|
|
Total shares underlying outstanding stock options
|
| |
3,091,935
|
|
Weighted-average exercise price of outstanding stock options
|
| |
$46.56
|
|
Weighted-average remaining contractual life of outstanding stock options
|
| |
4.87 years
|
|
Total shares underlying time-based outstanding unvested full value awards
|
| |
7,991,465
|
|
Common Stock outstanding as of March 31, 2019
|
| |
170,689,682
|
|
| | |
Fiscal 2018
|
| |
Fiscal 2017
|
| |
Fiscal 2016
|
| |||||||||
Full Value Awards Granted
|
| | | | 4,061,875 | | | | | | 4,170,166 | | | | | | 5,478,125 | | |
Stock Options Granted
|
| | | | 816,592 | | | | | | 555,111 | | | | | | 1,468,419 | | |
Total Equivalent Shares Granted(1)
|
| | | | 10,971,122 | | | | | | 10,980,481 | | | | | | 15,163,732 | | |
Basic Weighted-Average Shares Outstanding
|
| | | | 169,142,583 | | | | | | 174,314,744 | | | | | | 172,621,470 | | |
Burn Rate(2)
|
| | | | 6.49% | | | | | | 6.30% | | | | | | 8.78% | | |
Full Value Awards Granted
|
| | | | 4,061,875 | | | | | | 4,170,166 | | | | | | 5,478,125 | | |
| Amended Plan Term: | | | The Amended Plan will become effective on the date our stockholders approve the Amended Plan and will extend the term of the 2009 Plan for an additional ten years from the date the Board of Directors approved the Amended Plan on April 19, 2019, unless terminated earlier by the Board of Directors. | |
| Eligible Participants: | | | Employees, directors and consultants of our company, a parent, a subsidiary or an affiliate generally are eligible to receive each type of award offered under the Amended Plan (except as noted below with respect to incentive stock options (“ISOs”)). Only employees of our company, a parent, a subsidiary or affiliate are eligible to receive ISO under the Amended Plan. |
|
| Shares Available for Awards: | | | 13,500,000 shares would be available for new grants under the Amended Plan as of the effective date of the Amended Plan. This represents a decrease in the number of shares available for future grants under the 2009 Plan of 46,028,437 shares. | |
| Award Types: | | | (1) Options (ISOs and Nonstatutory Stock Options (“NSOs”)) (2) Restricted Stock (3) RSUs (4) SARs (5) Performance Units |
|
| | | | (6) Performance Shares (7) Dividend Equivalent Rights. |
|
| Award Terms: | | | Options and SARs will have a term of no longer than ten years. | |
| ISO Limits: | | | No more than the maximum number of shares reserved for issuance may be granted as ISOs under the Amended Plan. | |
| Vesting: | | | As determined by the Amended Plan administrator. | |
|
Not Permitted
|
| |
The following are not permitted under the Amended Plan:
(1)
No repricing. Unless approved by our stockholders, we will not be able to reprice or reduce the exercise price of an underwater option or SAR, or exchange underwater options or SARs for (i) a new option or SAR with a lower exercise price, (ii) a cash payment or (iii) any other award.
(2)
No liberal recycling of shares subject to options or SARs. We will not be able to add shares back to the number of shares available for issuance when shares covered by an option or an SAR are surrendered in payment of the option or SAR exercise price or in satisfaction of tax withholding obligations.
(3)
No automatic vesting acceleration upon a change in control in the event awards are assumed.
(4)
No payment of dividends or dividend equivalent rights prior to the vesting of the underlying awards.
|
|
Name of Individual or Group
|
| |
Number of Shares Underlying
Awards Granted |
| |||
Named Executive Officers: | | | | | | | |
Ken Xie, Co-Founder, Chairman of the Board of Directors and Chief Executive
Officer |
| | | | 1,361,871 | | |
Michael Xie, Co-Founder, President, Chief Technology Officer and Director
|
| | | | 937,455 | | |
Keith Jensen, Chief Financial Officer
|
| | | | 222,918 | | |
John Whittle, Executive Vice President of Corporate Development, General Counsel and Corporate Secretary
|
| | | | 632,102 | | |
Current Executive Officers as a Group
|
| | | | 3,154,346 | | |
Current Non-Employee Directors as a Group
|
| | | | 245,115 | | |
All Current Employees, including Officers other than Named Executive Officers, as
a Group |
| | |
|
29,210,541
|
| |
Name
|
| |
Age
|
| |
Position
|
|
Ken Xie | | |
56
|
| | Chief Executive Officer and Chairman of the Board of Directors | |
Michael Xie | | |
50
|
| | President, Chief Technology Officer and Director | |
Keith Jensen(1) | | |
60
|
| | Chief Financial Officer | |
John Whittle | | |
50
|
| | Executive Vice President of Corporate Development, General Counsel and Corporate Secretary | |
| ANSYS, Inc. | | | Nuance Communications, Inc. | |
| Cadence Design Systems, Inc. | | | Palo Alto Networks, Inc. | |
| CoStar Group, Inc. | | | Splunk Inc. | |
| FactSet Research Systems Inc. | | | SS&C Technologies Holdings, Inc. | |
| Fair Isaac Corporation | | | Tableau Software, Inc. | |
| FireEye, Inc. | | | The Ultimate Software Group, Inc. | |
| F5 Networks, Inc. | | | Tyler Technologies, Inc. | |
| GoDaddy Inc. | | | VeriSign, Inc. | |
| IPG Photonics Corporation | | | Viasat, Inc. | |
| j2 Global, Inc. | | | | |
Revenue Performance |
| |
Funding Amount
|
|
90% – 100% | | | 40% funding of the revenue-based portion for performance at 90% and 6% funding for every additional 1% of performance between 90% and 100% | |
100% – 140% | | | 1% funding for every additional 1% of performance between 100% and 140% | |
Operating Income Performance |
| |
Funding Amount
|
|
90% – 100% | | | 40% funding of the operating income-based portion for performance at 90% and 6% funding for every additional 1% of performance between 90% and 100% | |
100% – 140% | | | 1% funding for every additional 1% of performance between 100% and 140% | |
Name and Principal Position
|
| |
Year
|
| |
Salary
($) |
| |
Bonus
($) |
| |
Option
Awards ($)(1) |
| |
Stock
Awards ($)(1) |
| |
Non-Equity
Incentive Plan Compensation ($)(2) |
| |
All Other
Compensation ($)(3) |
| |
Total
($) |
| ||||||||||||||||||||||||
Ken Xie
Chief Executive Officer |
| | | | 2018 | | | | | | 625,000 | | | | | | — | | | | | | 3,003,220 | | | | | | 2,453,000 | | | | | | 680,466 | | | | | | — | | | | | | 6,761,686 | | |
| | | 2017 | | | | | | 450,882 | | | | | | — | | | | | | 1,221,810 | | | | | | 1,862,000 | | | | | | 425,746 | | | | | | — | | | | | | 3,960,438 | | | ||
| | | 2016 | | | | | | 437,750 | | | | | | — | | | | | | 520,806 | | | | | | 953,200 | | | | | | 301,689 | | | | | | — | | | | | | 2,213,445 | | | ||
Michael Xie
President and Chief Technology Officer |
| | | | 2018 | | | | | | 427,000 | | | | | | — | | | | | | 1,420,673 | | | | | | 1,393,304 | | | | | | 232,447 | | | | | | — | | | | | | 3,473,424 | | |
| | | 2017 | | | | | | 397,838 | | | | | | — | | | | | | 733,086 | | | | | | 1,489,600 | | | | | | 187,829 | | | | | | — | | | | | | 2,808,353 | | | ||
| | | 2016 | | | | | | 386,250 | | | | | | — | | | | | | 390,605 | | | | | | 953,200 | | | | | | 133,138 | | | | | | — | | | | | | 1,863,193 | | | ||
Keith Jensen
Chief Financial Officer |
| | | | 2018 | | | | | | 400,000 | | | | | | 40,000(4) | | | | | | 600,644 | | | | | | 981,200 | | | | | | 229,116 | | | | | | 5,052 | | | | | | 2,256,012 | | |
John Whittle
Executive Vice President of Corporate Development, General Counsel and Corporate Secretary |
| | | | 2018 | | | | | | 395,000 | | | | | | — | | | | | | 876,189 | | | | | | 859,041 | | | | | | 260,960 | | | | | | 5,500 | | | | | | 2,396,690 | | |
| | | 2017 | | | | | | 365,514 | | | | | | — | | | | | | 366,543 | | | | | | 1,117,200 | | | | | | 216,230 | | | | | | 4,619 | | | | | | 2,070,106 | | | ||
| | | 2016 | | | | | | 354,868 | | | | | | 30,534(5) | | | | | | 260,403 | | | | | | 714,900 | | | | | | 139,552 | | | | | | 4,758 | | | | | | 1,505,015 | | | ||
Andrew Del Matto
Former Chief Financial Officer |
| | | | 2018 | | | | | | 54,094 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 3,515 | | | | | | 57,609 | | |
| | | 2017 | | | | | | 415,237 | | | | | | — | | | | | | 488,724 | | | | | | 1,489,600 | | | | | | 248,882 | | | | | | 5,400 | | | | | | 2,647,843 | | | ||
| | | 2016 | | | | | | 403,143 | | | | | | — | | | | | | 260,403 | | | | | | 714,900 | | | | | | 206,555 | | | | | | 5,200 | | | | | | 1,590,201 | | |
Name
|
| |
Type of Award
|
| |
Grant
Date |
| |
Approval
Date |
| |
Estimated Future Payouts Under
Non-Equity Incentive Plan Awards(1) |
| |
All Other
Stock Awards: Number of Shares of Stock or Units (#) |
| |
All Other
Option Awards: Number of Shares Underlying Options (#) |
| |
Exercise
or Base Price of Option Awards ($/Share) |
| |
Grant Date
Fair Value of Stock and Option Awards ($)(2) |
| |||||||||||||||||||||||||||
|
Threshold
($) |
| |
Target
($) |
| |
Maximum
($) |
| ||||||||||||||||||||||||||||||||||||||||||||
Ken Xie
|
| |
Cash
|
| |
—
|
| |
—
|
| | | | 16,667 | | | | | | 625,000 | | | | | | 875,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | |
RSU
|
| |
2/20/2018
|
| |
1/19/2018
|
| | | | — | | | | | | — | | | | | | — | | | | | | 50,000 | | | | | | — | | | | | | — | | | | | | 2,453,000 | | |
| | |
Stock Option
|
| |
2/20/2018
|
| |
1/19/2018
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 200,000 | | | | | | 49.06 | | | | | | 3,003,220 | | |
Michael Xie
|
| |
Cash
|
| |
—
|
| |
—
|
| | | | 5,693 | | | | | | 213,500 | | | | | | 298,900 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | |
RSU
|
| |
2/20/2018
|
| |
1/19/2018
|
| | | | — | | | | | | — | | | | | | — | | | | | | 28,400 | | | | | | — | | | | | | — | | | | | | 1,393,304 | | |
| | |
Stock Option
|
| |
2/20/2018
|
| |
1/19/2018
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 94,610 | | | | | | 49.06 | | | | | | 1,420,673 | | |
Keith Jensen
|
| |
Cash
|
| |
—
|
| |
—
|
| | | | 6,400 | | | | | | 240,000 | | | | | | 336,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | |
RSU
|
| |
2/20/2018
|
| |
1/19/2018
|
| | | | — | | | | | | — | | | | | | — | | | | | | 20,000 | | | | | | — | | | | | | — | | | | | | 981,200 | | |
| | |
Stock Option
|
| |
2/20/2018
|
| |
1/19/2018
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 40,000 | | | | | | 49.06 | | | | | | 600,644 | | |
John Whittle
|
| |
Cash
|
| |
—
|
| |
—
|
| | | | 6,320 | | | | | | 237,000 | | | | | | 331,800 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | |
RSU
|
| |
2/20/2018
|
| |
1/19/2018
|
| | | | — | | | | | | — | | | | | | — | | | | | | 17,510 | | | | | | — | | | | | | — | | | | | | 859,041 | | |
| | |
Stock Option
|
| |
2/20/2018
|
| |
1/19/2018
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 58,350 | | | | | | 49.06 | | | | | | 876,189 | | |
Name
|
| |
Grant
Date(1) |
| |
Option Awards
|
| |
Stock Awards
|
| |||||||||||||||||||||||||||
|
Number of Securities Underlying
Unexercised Options (#) |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| |
Number of
Shares or Units of Stock That Have Not Vested (#) |
| |
Market Value
of Shares or Units of Stock That Have Not Vested ($)(2) |
| |||||||||||||||||||||||
|
Exercisable
|
| |
Unexercisable
|
| ||||||||||||||||||||||||||||||||
Ken Xie
|
| |
2/14/2012
|
| | | | 80,000(3) | | | | | | — | | | | | | 26.70 | | | |
2/14/2019
|
| | | | — | | | | | | — | | |
| | |
2/11/2015
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 2,500 | | | | | | 176,075 | | |
| | |
2/11/2016
|
| | | | 42,499 | | | | | | 17,501 | | | | | | 23.83 | | | |
2/11/2023
|
| | | | — | | | | | | — | | |
| | |
2/11/2016
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 12,500 | | | | | | 880,375 | | |
| | |
2/16/2017
|
| | | | 45,833 | | | | | | 54,167 | | | | | | 37.24 | | | |
2/16/2024
|
| | | | — | | | | | | — | | |
| | |
2/16/2017
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 28,125 | | | | | | 1,980,844 | | |
| | |
2/20/2018
|
| | | | — | | | | | | 200,000 | | | | | | 49.06 | | | |
2/20/2025
|
| | | | — | | | | | | — | | |
| | |
2/20/2018
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 50,000 | | | | | | 3,521,500 | | |
Michael Xie
|
| |
2/11/2015
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 2,500 | | | | | | 176,075 | | |
| | |
2/11/2016
|
| | | | 31,874 | | | | | | 13,126 | | | | | | 23.83 | | | |
2/11/2023
|
| | | | — | | | | | | — | | |
| | |
2/11/2016
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 12,500 | | | | | | 880,375 | | |
| | |
2/16/2017
|
| | | | 27,499 | | | | | | 32,501 | | | | | | 37.24 | | | |
2/16/2024
|
| | | | — | | | | | | — | | |
| | |
2/16/2017
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 22,500 | | | | | | 1,584,675 | | |
| | |
2/20/2018
|
| | | | — | | | | | | 94,610 | | | | | | 49.06 | | | |
2/20/2025
|
| | | | — | | | | | | — | | |
| | |
2/20/2018
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 28,400 | | | | | | 2,000,212 | | |
Keith Jensen
|
| |
2/11/2015
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 250 | | | | | | 17,608 | | |
| | |
8/05/2015
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 938 | | | | | | 66,063 | | |
| | |
2/11/2016
|
| | | | 7,083 | | | | | | 2,917 | | | | | | 23.83 | | | |
2/11/2023
|
| | | | — | | | | | | — | | |
| | |
2/11/2016
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 4,688 | | | | | | 330,176 | | |
| | |
2/16/2017
|
| | | | 9,166 | | | | | | 10,834 | | | | | | 37.24 | | | |
2/16/2024
|
| | | | — | | | | | | — | | |
| | |
2/16/2017
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 11,250 | | | | | | 792,338 | | |
| | |
2/20/2018
|
| | | | — | | | | | | 40,000 | | | | | | 49.06 | | | |
2/20/2025
|
| | | | — | | | | | | — | | |
| | |
2/20/2018
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 20,000 | | | | | | 1,408,600 | | |
John Whittle
|
| |
2/11/2015
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 1,875 | | | | | | 132,056 | | |
| | |
2/11/2016
|
| | | | 21,249 | | | | | | 8,751 | | | | | | 23.83 | | | |
2/11/2023
|
| | | | — | | | | | | — | | |
| | |
2/11/2016
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 9,375 | | | | | | 660,281 | | |
| | |
2/16/2017
|
| | | | 13,749 | | | | | | 16,251 | | | | | | 37.24 | | | |
2/16/2024
|
| | | | — | | | | | | — | | |
| | |
2/16/2017
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 16,875 | | | | | | 1,188,506 | | |
| | |
2/20/2018
|
| | | | — | | | | | | 58,350 | | | | | | 49.06 | | | |
2/20/2025
|
| | | | — | | | | | | — | | |
| | |
2/20/2018
|
| | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 17,510 | | | | | | 1,233,229 | | |
| | |
Option Awards
|
| |
Stock Awards
|
| ||||||||||||||||||
Name
|
| |
Number of
Shares Acquired on Exercise (#) |
| |
Value
Realized on Exercise ($)(1) |
| |
Number of
Shares Acquired on Vesting (#) |
| |
Value
Realized on Vesting ($)(2) |
| ||||||||||||
Ken Xie
|
| | | | 150,000 | | | | | | 4,509,020 | | | | | | 65,798 | | | | | | 3,557,817 | | |
Michael Xie
|
| | | | — | | | | | | — | | | | | | 56,067 | | | | | | 3,069,943 | | |
Keith Jensen
|
| | | | 11,875 | | | | | | 356,643 | | | | | | 19,795 | | | | | | 1,135,554 | | |
John Whittle
|
| | | | 52,291 | | | | | | 1,294,245 | | | | | | 41,336 | | | | | | 2,269,695 | | |
Andrew Del Matto
|
| | | | 25,000 | | | | | | 613,359 | | | | | | 31,961 | | | | | | 1,466,051 | | |
| | |
Qualifying Termination Not Within
One Year after a Change of Control(1) |
| |
Qualifying Termination Within One
Year after a Change of Control(1) |
| ||||||||||||||||||
Name
|
| |
Salary
($)(2) |
| |
Acceleration of
Equity Vesting ($) |
| |
Salary
($)(2) |
| |
Acceleration of
Equity Vesting ($)(3) |
| ||||||||||||
Ken Xie(4)
|
| | | | 625,000 | | | | | | — | | | | | | 625,000 | | | | | | 13,446,143 | | |
Michael Xie(5)
|
| | | | — | | | | | | — | | | | | | 213,500 | | | | | | 8,353,532 | | |
Keith Jensen
|
| | | | — | | | | | | — | | | | | | 300,000 | | | | | | 3,965,097 | | |
John Whittle(5)
|
| | | | 395,000 | | | | | | 2,897,923(7) | | | | | | 395,000 | | | | | | 5,408,180 | | |
Andrew Del Matto(6)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Name
|
| |
Fees Earned or
Paid in Cash ($)(1) |
| |
Stock
Awards ($)(2) |
| |
Total
($) |
| |||||||||
Peter D. Cohen(3)
|
| | | | 57,246 | | | | | | 273,782 | | | | | | 331,028 | | |
Ming Hsieh(4)
|
| | | | 62,246 | | | | | | 273,782 | | | | | | 336,028 | | |
Gary Locke(5)
|
| | | | 61,738 | | | | | | 273,782 | | | | | | 335,520 | | |
William H. Neukom(6)
|
| | | | 74,096 | | | | | | 273,782 | | | | | | 347,878 | | |
Christopher B. Paisley(7)
|
| | | | 83,916 | | | | | | 273,782 | | | | | | 357,698 | | |
Judith Sim(8)
|
| | | | 59,492 | | | | | | 273,782 | | | | | | 333,274 | | |
| | |
(a)
|
| |
(b)
|
| |
(c)
|
| |||||||||
Plan category
|
| |
Number of securities to be
issued upon exercise of outstanding options, warrants and rights (#) |
| |
Weighted-average exercise
price per share of outstanding options, warrants and rights ($) |
| |
Number of securities remaining
available for future issuance under equity compensation plans (excluding securities reflected in column (a)) (#) |
| |||||||||
Equity compensation plans approved by security holders
|
| | | | 10,851,576(1) | | | | | $ | 35.53(2) | | | | | | 54,512,201(3) | | |
Equity compensation plans not approved by security holders
|
| | | | — | | | | | | N/A | | | | | | — | | |
Total
|
| | | | 10,851,576 | | | | | $ | 35.53 | | | | | | 54,512,201 | | |
|
5% Stockholders, Directors, Director Nominees and Officers(1)
|
| |
Shares
Beneficially Owned (#)(2) |
| |
Percentage
Beneficially Owned (%)(2) |
| ||||||
5% Stockholders: | | | | | | | | | | | | | |
The Vanguard Group(3)
|
| | | | 17,051,316 | | | | | | 10.0 | | |
BlackRock, Inc.(4)
|
| | | | 10,419,323 | | | | | | 6.1 | | |
Non-Employee Directors and Nominees: | | | | | | | | | | | | | |
Peter D. Cohen
|
| | | | 3,467 | | | | | | * | | |
Ming Hsieh
|
| | | | — | | | | | | * | | |
Gary Locke
|
| | | | 25,000 | | | | | | * | | |
William H. Neukom
|
| | | | 46,621 | | | | | | * | | |
Christopher B. Paisley
|
| | | | 73,621 | | | | | | * | | |
Judith Sim
|
| | | | 17,500 | | | | | | * | | |
Named Executive Officers: | | | | | | | | | | | | | |
Ken Xie(5)
|
| | | | 14,891,047 | | | | | | 8.7 | | |
Michael Xie(6)
|
| | | | 14,336,161 | | | | | | 8.4 | | |
Keith Jensen(7)
|
| | | | 8,790 | | | | | | * | | |
John Whittle(8)
|
| | | | 42,386 | | | | | | * | | |
Andrew Del Matto(9)
|
| | | | 56,587 | | | | | | * | | |
All directors and current executive officers as a group (10 persons)(10)
|
| | | | 29,444,593 | | | | | | 17.2 | | |