Einstein Bros 2002 Annual Report Download - page 35

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http://www.sec.gov/Archives/edgar/data/949373/000104746903027186/a2116520z10-ka.htm[9/11/2014 10:14:22 AM]
4,995,825 shares of Common Stock beneficially owned by Brookwood. Ms. Trkla is a controlling person of Brookwood Financial Partner,
L.P., an affiliate of Brookwood. Ms. Trkla disclaims a beneficial interest in the Common Stock beneficially owned by Brookwood, except
to the extent that Thomas N. Trkla, her spouse, has a direct or indirect pecuniary interest therein.
(9) Includes 30,000 shares of Common Stock, which may be acquired upon the exercise of presently exercisable options. Does not include
27,816,433 shares of Common Stock owned beneficially by Halpern Denny in which Mr. Nimmo is a partner. Mr. Nimmo disclaims any
beneficial interest in the Common Stock beneficially owned by Halpern Denny, except to the extent of his pecuniary interest therein.
(10) Includes 1,790,080 shares of Common Stock, which may be acquired upon the exercise of presently exercisable options.
42
EQUITY COMPENSATION PLAN INFORMATION
Plan Category
Number of
Securities to be
Issued upon
Exercise of
Outstanding
Options, Warrants
and Rights
Weighted-
Average Exercise
Price of
Outstanding
Options, Warrants
and Rights
Number of
Securities
Available for
Future Issuance
Under Equity
Compensation Plans
Equity compensation plans approved by stockholders:
1994 Stock Option Plan 5,106,442 $ 0.28 1,263,149
1995 Directors Option Plan 110,000(1) $ 0.96 0
Equity compensation plans not approved by stockholders:
Barry Levine(2) 10,000 $ 4.86 0
Robert Williams(2) 10,000 $ 4.86 0
Barry Levine(3) 10,000 $ 5.26 0
Robert Williams(3) 10,000 $ 5.26 0
Barry Levine(4) 20,000 $ 1.97 0
Robert Williams(4) 20,000 $ 1.97 0
Leonard Tannenbaum(5) 70,000 $ — 0
Bruce Toll(6) 98,000 $ — 0
B&B Ventures(7) 10,000 $ 2.44 0
Genesis Select Corporation(8) 150,000 $ 2.83 0
Total 5,624,442 $ 0.38 1,263,149
(1) Includes options to purchase 30,000 shares of Common Stock, which are due to the directors who were in office as of October 1, 2002, but
have not yet been granted.
(2) Represents options granted on October 1, 1996 for consulting services in connection with the operation of our coffee roasting facility in
Connecticut. The options vested immediately upon grant.
(3) Represents warrants granted on October 25, 1996 for consulting services in connection with the operation of our coffee roasting facility in
Connecticut. The options vested immediately upon grant.
(4) Represents options granted on March 25, 1998 for consulting services in connection with the operation of our coffee roasting facility in
Connecticut. The options vested immediately upon grant.
(5) Represents warrants granted to Mr. Tannenbaum in 2000 for financial advisory services.
(6) Represents warrants granted to Mr. Toll in 2000 for financial advisory services.
(7) Represents warrants granted on May 1, 2000 for consulting services in connection with the operation of our coffee roasting facility in