Tucows 2012 Annual Report Download - page 73

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68
Principal shareholders.
The following table sets forth information with respect to each shareholder known to us to be the beneficial
owner of more than 5% of our outstanding common stock as of March 5, 2012.
Beneficial Ownership of
Common Stock
Name and Address of Beneficial Owner
Number of
Shares
Beneficially
Owned
Percent of
Class(1)
Lacuna, LLC
1100 Spruce Street, Suite 202
Boulder, CO 80302 4,000,000(2)
9.9%
Elliot Noss
96 Mowat Avenue
Toronto, ON M6K 3M1 3,212,808(3)
7.5%
(1) Based on 40,213,850 shares outstanding as of March 5, 2013.
(2) As disclosed on Form 4, filed with the SEC on August 20, 2012 by Mr. Ralls. These shares are held by
Lacuna Hedge Fund LLLP (“Lacuna Hedge”) and are indirectly owned by Lacuna, LLC (“Lacuna LLC”)
and Lacuna Hedge GP LLLP (“Lacuna Hedge GP”). Lacuna LLC serves as the sole general partner o
f
Lacuna Hedge GP, which serves as the sole general partner of Lacuna Hedge. Neither Lacuna LLC no
r
Lacuna Hedge GP directly owns any securities of the Issuer. Each of Lacuna LLC and Lacuna Hedge GP
disclaims beneficial ownership of the securities held by Lacuna Hedge, except to the extent of its
pecuniary interest therein. Mr. Ralls is a member of Lacuna LLC. Mr. Ralls disclaims beneficial
ownership of the securities held by Lacuna Hedge, except to the extent of his pecuniary interest therein.
(3) As disclosed on Form 4A, filed with the SEC on February 26, 2013 by Mr. Noss. These shares includes
an aggregate of 786,883 shares of common stock that are indirectly owned by Mr. Noss. Of these shares,
Mr.
N
oss and his wife share investment and voting power over 90,072 shares held in three RRSP
accounts belonging to Mr. Noss’ wife, 589,942 shares are held in Mr.
N
oss’ RRSP accounts and 106,869
shares are held by two separate family trusts for which Mr. Noss is the trustee.
Equity Compensation Plan Information at Fiscal Year Ended December 31, 2012
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
remaining
available for
future
issuance
under the plan
(excluding
securities
reflected in
the first
column) (#)
Equity compensation plans approved by security holders:
2006 Equity Compensation Plan 5,038,987 $ 0.79 1,624,628
1996 Equity Compensation Plan 3,553,699 $ 0.42
—
Equity compensation plans not approved by security holders
—
—
—
Total 8,592,686 $ 0.64 1,624,628