Tucows 2015 Annual Report Download - page 155

ITEM 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND
RELATED STOCKHOLDER MATTERS
The following table sets forth the beneficial ownership of our common stock, as of March 4, 2016, by each of our
directors and named executive officers, as well as by all of our directors and executive officers as a group. The information
on beneficial ownership in the table and related footnotes is based upon data furnished to us by, or on behalf of, the
persons referred to in the table. Unless otherwise indicated in the footnotes to the table, each person named has sole voting
power and sole investment power with respect to the shares included in the table.
Beneficial Ownership of Common Stock
Name
Common
Stock
Beneficially
Owned
Excluding
Options
Stock
Options
Exercisable
within 60
Days of
March 4,
2015
Total
Common
Stock
Beneficially
Owned
Percent of
Class
Elliot Noss 688,579(2) 5,625 694,204 6.5%
Michael Cooperman 233,875(3) 2,812 236,687 2.2%
David Woroch 149,272(4) 14,687 163,959 1.5%
Kenneth Schafer 33,349 2,812 36,161 *
Michael Goldstein 7,181(5) 10,705 17,886 *
Allen Karp 30,077(6) 16,875 46,952 *
Rawleigh Ralls 382,500(7) 20,000 402,500 3.8%
Robin Chase — 4,375 4,375 *
Erez Gissin 10,000 21,250 31,250 *
Jeffrey Schwartz 25,000 26,250 51,250 *
All directors and executive officers as a group (13 persons) 1,629,388 190,308 1,819 696 16.7%
* Less than 1%.
(1) Based on 10,691,106 shares outstanding as of March 4, 2016, adjusted for shares of common stock beneficially
owned but not yet issued.
(2) Includes an aggregate of 120,670 shares of common stock that are held in Mr. Noss’s RRSP accounts. Includes an
aggregate of 1,639 shares of common stock that are held in Mr. Noss’s TFSA account. Includes 564,951 shares of
Common Stock that are subject to a loan and pledge arrangement entered into by Mr. Noss in order to satisfy the required
Canadian taxes and exercise price due in connection with the exercise of expiring options.
(3) Includes 37,188 shares of common stock that are held in Mr. Cooperman’s RRSP account.
(4) Includes 53,984 shares of common stock that are held in Mr. Woroch’s RRSP account and 10,750 shares of common
stock held in his wife’s RRSP account.
(5) Includes 3,018 shares of common stock that are held in Mr. Goldstein’s RRSP account.
(6) Includes 5,000 shares of common stock that are held directly by Mr. Karp’s wife.
(7) Of these shares, 56,250 shares are held in Mr. Ralls’ IRA account, 6,250 shares are held in Mrs. Ralls’ IRA account
and 40,000 are held by Mrs. Ralls directly.
(1)
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