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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Francescas Holdings Corporation | NASDAQ:FRAN | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 2.22 | 2.21 | 2.22 | 0 | 01:00:00 |
| |
IMPORTANT NOTICE REGARDING THE AVAILABILITY OF PROXY MATERIALS
FOR THE ANNUAL MEETING OF STOCKHOLDERS TO BE HELD ON July 27, 2020. The Proxy Statement and the 2019 Annual Report to Stockholders are available at http://materials.proxyvote.com/351793 |
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Appendix A: Stockholder Rights Plan | | | | | | | |
Name of Beneficial Owner
|
| |
Shares Beneficially
Owned(1) |
| |
Percent of
Shares(1) |
| ||||||
Directors and Named Executive Officers: | | | | | | | | | | | | | |
Andrew Clarke(2)
|
| | | | — | | | | | | * | | |
Michael Prendergast(3)
|
| | | | — | | | | | | * | | |
Kelly M. Dilts(4)
|
| | | | 854 | | | | | | * | | |
Marc G. Schuback(5)
|
| | | | — | | | | | | * | | |
Cynthia Thomassee(2)
|
| | | | 223 | | | | | | * | | |
Patricia Bender(2)
|
| | | | 28,754 | | | | | | * | | |
Philip F. Bleser(2)
|
| | | | 18,979 | | | | | | * | | |
Richard Emmett(2)
|
| | | | 31,294 | | | | | | 1% | | |
Susan McGalla(2)
|
| | | | — | | | | | | * | | |
Joseph O’Leary(2)
|
| | | | 22,238 | | | | | | * | | |
Martyn Redgrave(2)
|
| | | | 26,029 | | | | | | * | | |
Marie Toulantis(2)
|
| | | | 23,377 | | | | | | * | | |
All current directors and executive officers of the Company as a group (10 persons)(2)
|
| | | | 150,894 | | | | | | 5% | | |
5% Stockholders: | | | | | | | | | | | | | |
Cross River Capital Management LLC(6)
31 Bailey Avenue, Unit D Ridgefield, Connecticut 06877 |
| | | | 643,664 | | | | | | 21.2% | | |
Prescott Group Capital Management LLC(7)
1924 South Utica, Suite 1120 Tulsa, Oaklahoma 74104 |
| | | | 218,149 | | | | | | 7.2% | | |
Name
|
| |
Stock Options
|
| |
Restricted Stock
|
| ||||||
Andrew Clarke
|
| | | | — | | | | | | — | | |
Cynthia Thomassee
|
| | | | — | | | | | | — | | |
Patricia Bender
|
| | | | 3,722 | | | | | | 16,845 | | |
Philip F. Bleser
|
| | | | — | | | | | | 16,845 | | |
Richard Emmett
|
| | | | 2,420 | | | | | | 16,845 | | |
Susan McGalla
|
| | | | — | | | | | | — | | |
Joseph O’Leary
|
| | | | 2,531 | | | | | | 16,845 | | |
Martyn Redgrave
|
| | | | 822 | | | | | | 16,845 | | |
Marie Toulantis
|
| | | | 3,253 | | | | | | 16,845 | | |
All current directors and executive officers of the Company as a group
|
| | | | 12,748 | | | | | | 101,070 | | |
|
Class I directors
terms expiring at the 2021 annual meeting of stockholders |
| |
Class II directors
terms expiring at the 2022 annual meeting of stockholders |
| |
Class III directors
terms expiring at the Annual Meeting |
|
|
Patricia Bender
|
| |
Richard Emmett
|
| |
Philip F. Bleser
|
|
|
Joseph O’Leary
|
| |
Andrew Clarke
|
| |
Martyn Redgrave
|
|
|
Marie Toulantis
|
| |
Susan McGalla
|
| | | |
Director
|
| |
Audit
Committee |
| |
Compensation
Committee |
| |
Nominating and
Corporate Governance Committee |
|
Patricia Bender
|
| |
|
| |
|
| | | |
Philip F. Bleser
|
| |
|
| | | | |
|
|
Andrew Clarke
|
| | | | | | | | | |
Richard Emmett
|
| | | | |
|
| |
|
|
Susan McGalla
|
| |
|
| | | | | | |
Joseph O’Leary
|
| |
|
| | | | |
|
|
Martyn Redgrave
|
| | | | |
|
| |
|
|
Marie Toulantis
|
| |
|
| |
|
| | | |
|
|
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Chair
|
| |
|
| |
Member
|
|
Name
|
| |
Fees Earned or
Paid in Cash ($) |
| |
Stock Awards ($)(1)(2)
|
| |
Total ($)
|
| |||||||||
Patricia Bender
|
| | | | 37,851 | | | | | | 100,059 | | | | | | 137,910 | | |
Philip F. Bleser
|
| | | | 36,775 | | | | | | 100,059 | | | | | | 136,834 | | |
Richard Emmett
|
| | | | 44,377 | | | | | | 100,059 | | | | | | 144,436 | | |
Richard Kunes(3)
|
| | | | 43,956 | | | | | | 100,059 | | | | | | 144,015 | | |
Joseph O’Leary
|
| | | | 33,547 | | | | | | 100,059 | | | | | | 133,606 | | |
Martyn Redgrave
|
| | | | 37,155 | | | | | | 100,059 | | | | | | 137,214 | | |
Marie Toulantis
|
| | | | 41,807 | | | | | | 100,059 | | | | | | 141,866 | | |
Director
|
| |
Aggregate Number of
Outstanding Restricted Shares as of February 1, 2020 |
| |
Aggregate Number of
Outstanding Stock Options as of February 1, 2020 |
| ||||||
Patricia Bender
|
| | | | 16,845 | | | | | | 3,722 | | |
Philip F. Bleser
|
| | | | 16,845 | | | | | | — | | |
Richard Emmett
|
| | | | 16,845 | | | | | | 5,753 | | |
Richard Kunes(3)
|
| | | | — | | | | | | 5,814 | | |
Joseph O’Leary
|
| | | | 16,845 | | | | | | 2,531 | | |
Martyn Redgrave
|
| | | | 16,845 | | | | | | 1,028 | | |
Marie Toulantis
|
| | | | 16,845 | | | | | | 3,253 | | |
Name
|
| |
Title
|
|
Michael Prendergast | | | Former Interim Chief Executive Officer (Mr. Prendergast was appointed to this position effective February 4, 2019. Effective March 9, 2020, he resigned from this position, and Mr. Andrew Clarke was appointed our Chief Executive Officer.) | |
Cynthia Thomassee | | | Executive Vice President and Chief Financial Officer (Ms. Thomassee was appointed to these positions effective July 19, 2019.) | |
Kelly M. Dilts | | | Former Executive Vice President, Chief Financial Officer (Ms. Dilts resigned from these positions effective July 19, 2019.) | |
Marc G. Schuback | | | Former Senior Vice President, General Counsel and Corporate Secretary (Mr. Schuback resigned from these positions effective April 20, 2019.) | |
Name and Principal Position
|
| |
Year
|
| |
Salary ($)
|
| |
Bonus ($)
|
| |
Stock
Awards ($)(5)(6) |
| |
Option
Awards ($) |
| |
Non-Equity
Incentive Plan Compensation ($)(7) |
| |
Nonqualified
Deferred Compensation Earnings ($) |
| |
All Other
Compensation ($)(8) |
| |
Total ($)
|
| ||||||||||||||||||||||||
Michael Prendergast,
Interim Chief Executive Officer(1) |
| |
2019
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 1,571,625 | | | | | | 1,571,625 | | |
Cynthia Thomassee
Executive Vice President and Chief Financial Officer(2) |
| |
2019
|
| | | | 290,057 | | | | | | — | | | | | | 200,000 | | | | | | — | | | | | | 85,699 | | | | | | — | | | | | | 8,102 | | | | | | 583,858 | | |
Kelly M. Dilts | | |
2019
|
| | | | 183,052 | | | | | | — | | | | | | 500,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | 28,489 | | | | | | 711,541 | | |
Former Executive Vice President,
Chief Financial Officer(3) |
| |
2018
|
| | | | 380,000 | | | | | | — | | | | | | 499,996 | | | | | | — | | | | | | — | | | | | | — | | | | | | 11,577 | | | | | | 891,573 | | |
Marc G. Schuback | | |
2019
|
| | | | 78,462 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 15,431 | | | | | | 93,893 | | |
Former Senior Vice President, General Counsel and Corporate Secretary(4)
|
| |
2018
|
| | | | 292,923 | | | | | | — | | | | | | 329,998 | | | | | | — | | | | | | — | | | | | | — | | | | | | 79,708 | | | | | | 702,629 | | |
| | |
Aggregate Grant Date Fair Value of Performance Awards
|
| |||||||||||||||||||||
| | |
Fiscal Year 2018
|
| |
Fiscal Year 2019
|
| ||||||||||||||||||
Name
|
| |
Based on
Probable Outcome as of the Grant Date |
| |
Based on
Maximum Performance |
| |
Based on
Probable Outcome as of the Grant Date |
| |
Based on
Maximum Performance |
| ||||||||||||
Cynthia Thomassee
|
| | | $ | — | | | | | $ | — | | | | | $ | 100,000 | | | | | $ | 150,000 | | |
Kelly M. Dilts
|
| | | $ | 249,996 | | | | | $ | 374,994 | | | | | $ | 250,000 | | | | | $ | 375,000 | | |
Marc G. Schuback
|
| | | $ | 164,999 | | | | | $ | 247,496 | | | | | $ | — | | | | | $ | — | | |
Name
|
| |
401(k) Matching
Contributions ($) |
| |
Payment of Accrued
Paid Time Off Upon Resignation ($) |
| |
Total
($) |
| |||||||||
Michael Prendergast
|
| | | | — | | | | | | — | | | | | | — | | |
Cynthia Thomassee
|
| | | | 8,102 | | | | | | — | | | | | | 8,102 | | |
Kelly M. Dilts
|
| | | | 7,015 | | | | | | 21,474 | | | | | | 28,489 | | |
Marc G. Schuback
|
| | | | 3,611 | | | | | | 11,820 | | | | | | 15,431 | | |
| | |
Option Awards
|
| | | | | | | |
Stock Awards
|
| ||||||||||||||||||||||||||||||||||||||||||
Name
|
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable |
| |
Number of
Securities Underlying Unexercised Options (#) Unexercisable |
| |
Equity
Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Options (#) |
| |
Option
Exercise Price ($) |
| |
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 ($)(1) |
| |
Equity
Incentive Plan Awards: Number of Unearned Shares, Units or Other Rights That Have Not Vested (#) |
| |
Equity
Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested ($)(1) |
| |||||||||||||||||||||||||||
Michael
Prendergast(2) |
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Cynthia
Thomassee |
| | | | 2,125 | | | | | | — | | | | | | — | | | | | $ | 44.88 | | | | | | 04/30/2020 | | | | | | 24,137(3) | | | | | | 184,407 | | | | | | 24,136(7) | | | | | | 184,399 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 7,211(4) | | | | | | 55,092 | | | | | | 7,211(8) | | | | | | 55,092 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 653(5) | | | | | | 4,989 | | | | | | 653(9) | | | | | | 4,989 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 122(6) | | | | | | 932 | | | | | | 226(10) | | | | | | 1,727 | | |
Kelly M. Dilts(11)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Marc G. Schuback(12)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
|
Plan Category
|
| |
Number of shares
of common stock to be issued upon exercise of outstanding options, warrants and rights |
| |
Weighted-average
exercise price of outstanding options, warrants and rights |
| |
Number of shares
of common stock remaining available for future issuance under equity compensation plans (excluding shares reflected in the first column) |
| |||||||||
Equity compensation plans approved by stockholders
|
| | | | 176,778(1) | | | | | $ | 170.82(2) | | | | | | 60,058(3) | | |
Equity compensation plans not approved by stockholders
|
| | | | — | | | | | | — | | | | | | — | | |
Total
|
| | | | 176,778 | | | | | $ | 170.82 | | | | | | 60,058 | | |
| | | | Audit Committee of the Board of Directors | |
| | | |
Marie Toulantis (Chair)
Susan McGalla* Patricia Bender Philip F. Bleser Joseph O’Leary |
|
| | |
Fiscal year ended
|
| |||||||||
| | |
February 1, 2020
|
| |
February 2, 2019
|
| ||||||
Audit Fees(1)
|
| | | $ | 1,029,500 | | | | | $ | 1,004,800 | | |
Audit-Related Fees
|
| | | | — | | | | | | — | | |
Tax Fees
|
| | | | — | | | | | | — | | |
All Other Fees
|
| | | | — | | | | | | — | | |
Total
|
| | | $ | 1,029,500 | | | | | $ | 1,004,800 | | |
| | | | By Order of the Board of Directors, | |
|
Houston, Texas
June [ ], 2020 |
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| | | |
Andrew Clarke
President and Chief Executive Officer |
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| | | | FRANCESCA’S HOLDINGS CORPORATION | |
| | | |
By:
/s/ Cindy Thomassee
Name: Cindy Thomassee
Title: Executive Vice President and Chief Financial Officer |
|
| | | |
COMPUTERSHARE TRUST COMPANY, N.A.,
as Rights Agent |
|
| | | |
By:
/s/ Megan M. King
Name: Megan M. King
Title: VP & Manager, Relationship Management |
|
| | | | FRANCESCA’S HOLDINGS CORPORATION | | |||
| | | | By: | | | | |
| | | | | | | Name: | |
| | | | | | | Title: | |
| | | | FRANCESCA’S HOLDINGS CORPORATION | | |||
| | | | By: | | |
[Title]
|
|
| ATTEST: | | | | ||||
|
[Title]
|
| | |
| Countersigned: | | ||||||
|
COMPUTERSHARE TRUST COMPANY, N.A.,
as Rights Agent |
| ||||||
| By | | |
[Title]
|
| |
| | | |
Signature
|
|
|
(To be completed)
|
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| | | |
Signature
|
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| | | |
Signature
|
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Signature
|
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1 Year Francescas Chart |
1 Month Francescas Chart |
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