| | | (1) | This reflects the target payouts to our named executive officers pursuant to the 2015 Bonus Plan with respect to services performed for the Company during Fiscal 2015. Note that the 2015 Bonus Plan is payable 40% in cash and 60% in equity and such equity was granted after September 30, 2015. In accordance with SEC rules, the equity portion (payable in stock, restricted stock and options) is not reportable in this report’s Grants of Plan Based Award table or Summary Compensation table, but will be reported in next year’s tables for Fiscal 2016. The maximum bonus payment to any individual under the 2015 Bonus Plan with respect to any year is subject to the $20 million Award Cap. | (2) | All restricted stock and option awards made in Fiscal 2015 were granted pursuant to the 2014 Bonus Plan. | (3) | This column reflects the aggregate grant date fair value of the option and stock awards computed in accordance with FASB ASC Topic 718 (disregarding any risk of forfeiture assumptions). For a discussion of the relevant valuation assumptions, see Note 18 to Consolidated Financial Statements included in the Original 10-K. |
Outstanding Equity Awards as of September 30, 2015
| | | | | | | | | | | | | | | | | | | | | | | | | | Option Awards | | Stock Awards | Name | | Number of Securities Underlying Unexercised Options Exercisable | | Number of Securities Underlying Unexercised Options Unexercisable | | | Equity Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Options | | Option Exercise Price ($) (1) | | 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) | Omar M. Asali | | 750,000 |
| | 250,000 |
| (3) | | — |
| | 4.86 |
| | 2/14/2022 | | — |
| | | — |
| | | 343,518 |
| | 201,382 |
| (4) | | — |
| | 8.52 |
| | 11/29/2022 | | 441,340 |
| (4) | | 5,176,918 |
| | | 102,272 |
| | 306,819 |
| (8) | | — |
| | 11.76 |
| | 11/29/2023 | | 764,235 |
| (8) | | 8,964,477 |
| | | 43,145 |
| | 297,087 |
| (11) | | — |
| | 13.36 |
| | 11/29/2024 | | 676,381 |
| (11) | | 7,933,949 |
| Thomas A. Williams | | 35,000 |
| | 35,000 |
| (5) | | — |
| | 4.81 |
| | 5/14/2022 | | — |
| | | — |
| | | 78,838 |
| | 21,983 |
| (6) | | — |
| | 8.52 |
| | 11/29/2022 | | 48,178 |
| (6) | | 565,128 |
| | | 40,910 |
| | 111,476 |
| (9) | | — |
| | 11.76 |
| | 11/29/2023 | | 277,672 |
| (9) | | 3,257,093 |
| | | 17,258 |
| | 105,086 |
| (12) | | — |
| | 13.36 |
| | 11/29/2024 | | 239,251 |
| (12) | | 2,806,414 |
| David M. Maura | | — |
| | 177,500 |
| (3) | | — |
| | 4.86 |
| | 2/14/2022 | | — |
| | | — |
| | | 274,814 |
| | 161,106 |
| (7) | | — |
| | 8.52 |
| | 11/29/2022 | | 353,072 |
| (7) | | 4,141,535 |
| | | 81,818 |
| | 315,955 |
| (10) | | — |
| | 11.76 |
| | 11/29/2023 | | 786,993 |
| (10) | | 9,231,428 |
| | | 34,516 |
| | 131,332 |
| (13) | | — |
| | 13.36 |
| | 11/29/2024 | | 299,006 |
| (13) | | 3,507,340 |
| Philip A. Falcone | | — |
| | 1,800,000 |
| (14) | | — |
| | 13.125 |
| | 9/6/2018 | | — |
| | | — |
| Michael Sena | | — |
| | — |
| | | — |
| | — |
| | | | — |
| | | — |
|
| | | (1) | The exercise price of all equity awards is equal to the fair market value (closing sale price of our Common Stock) on the date of grant. | (2) | The amounts in this column reflect the fair market value of the unvested restricted stock based on the closing stock price of $11.73 on the last trading day in Fiscal 2015. | (3) | Messrs. Asali’s and Maura’s unvested option awards vested on October 1, 2015. | (4) | Mr. Asali’s unvested option award will vest as follows: 201,382 on November 29, 2015. Mr. Asali’s restricted stock will vest as follows: 441,340 on November 29, 2015. | (5) | Mr. Williams’ unvested option awards vest on March 5, 2016. | (6) | Mr. Williams’ unvested option awards will vest as follows: 21,983 on November 29, 2015. Mr. Williams’ restricted stock will vest as follows: 48,178 on November 29, 2015. | (7) | Mr. Maura’s unvested option awards will vest as follows: 161,106 on November 29, 2015. Mr. Maura’s restricted stock will vest as follows: 353,072 on November 29, 2015. | (8) | Mr. Asali’s unvested option awards will vest as follows: 153,409 on November 29, 2015 and 153,410 on November 29, 2016. Mr. Asali’s restricted stock will vest as follows: 382,118 on November 29, 2015, and 382,117 on November 29, 2016. | (9) | Mr. William’s unvested option awards will vest as follows: 55,738 on November 29, 2015 and 55,738 on November 29, 2016. Mr. William’s restricted stock will vest as follows: 138,836 on November 29, 2015, and 138,836 on November 29, 2016. | (10) | Mr. Maura’s unvested option awards will vest as follows: 157,977 on November 29, 2015 and 157,978 on November 29, 2016. Mr. Maura’s restricted stock will vest as follows: 393,497 on November 29, 2015, and 393,496 on November 29, 2016. | (11) | Mr. Asali’s unvested option awards will vest as follows: 43,145 on November 29, 2015 and 126,971 on November 29, 2016 and 126,971 on November 2017. Mr. Asali’s restricted stock will vest as follows: 98,228 on November 29, 2015, and 289,077 on November 29, 2016 and 289,076 on November 29, 2016. | (12) | Mr. William’s unvested option awards will vest as follows: 17,258 on November 29, 2015 and 43,914 on November 29, 2016 and 43,914 on November 2017. Mr. William’s restricted stock will vest as follows: 39,291 on November 29, 2015, and 99,980 on November 29, 2016 and 99,980 on November 2017. | (13) | Mr. Maura’s unvested option awards will vest as follows: 34,516 on November 29, 2015 and 48,408 on November 29, 2016 and 48,408 on November 2017. Mr. Maura’s restricted stock will vest as follows: 78,582 on November 29, 2015, and 110,212 on November 29, 2016 and 110,212 on November 29, 2017. | (14) | Mr. Falcone’s unvested warrant awards will vest as follows 600,000 on each of March 2016, 2017, 2018. |
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