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Share Name | Share Symbol | Market | Type |
---|---|---|---|
RMG Acquisition Corp | NYSE:RMG | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 27.00 | 0 | 01:00:00 |
Name
|
| |
Age
|
| |
Position and Committees
|
|
Susan S. Brennan | | |
59
|
| | President, Chief Executive Officer and Director(4) | |
Lauren Webb | | |
40
|
| |
Chief Strategy and Commercial Officer and Director(4)
|
|
Robert S. Mancini | | |
64
|
| | Chairman of the Board(4) | |
Donald S. Gottwald | | |
55
|
| | Director(1)(2)(3) | |
Laurene Horiszny | | |
66
|
| | Director(4) | |
Philip Kassin | | |
64
|
| | Director(1)(4) | |
Timothy E. Stuart | | |
54
|
| | Director(2)(3) | |
Paul S. Williams | | |
62
|
| | Director(1)(2)(3) | |
| | |
Year Ended December 31,
|
| |||||||||
| | |
2021
|
| |
2020(1)
|
| ||||||
Deloitte & Touche LLP | | | | | | | | | | | | | |
Audit Fees
|
| | | $ | 1,917,310 | | | | | $ | 1,910,325 | | |
Audit-Related Fees
|
| | | | — | | | | | | — | | |
Tax Fees
|
| | | | 265,013 | | | | | | — | | |
All Other Fees
|
| | | | — | | | | | | — | | |
Total Fees
|
| | | $ | 2,182,323 | | | | | $ | 1,910,325 | | |
Name
|
| |
Age
|
| |
Position
|
|
Susan S. Brennan | | |
59
|
| | President, Chief Executive Officer and Director | |
Lauren Webb | | |
40
|
| | Chief Strategy and Commercial Officer and Director | |
Abdul Kader (“AK”) El Srouji, Ph.D.
|
| |
35
|
| | Chief Technology Officer | |
Kerry A. Shiba | | |
67
|
| | Chief Financial Officer and Treasurer | |
Anne Devine | | |
48
|
| | Chief Operating Officer | |
Rose Rogers | | |
60
|
| | Chief People Officer | |
Matthew Sant | | |
50
|
| | General Counsel and Corporate Secretary | |
Name and Principal Position
|
| |
Year
|
| |
Salary ($)
|
| |
Bonus
($)(1) |
| |
Option
Awards ($)(2) |
| |
Stock
Awards ($)(2) |
| |
All Other
Compensation ($)(3) |
| |
Total ($)
|
| |||||||||||||||||||||
Susan S. Brennan
|
| | | | 2021 | | | | | | 225,400 | | | | | | 690,740 | | | | | | — | | | | | | 3,099,697 | | | | | | — | | | | | | 4,015,837 | | |
President and Chief Executive Officer
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
AK Srouji, Ph.D.
|
| | | | 2021 | | | | | | 481,853 | | | | | | 510,000 | | | | | | — | | | | | | 3,128,183 | | | | | | — | | | | | | 4,120,036 | | |
Chief Technology Officer | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Criswell Choi
|
| | | | 2021 | | | | | | 384,672 | | | | | | 400,000 | | | | | | — | | | | | | 2,772,707 | | | | | | — | | | | | | 3,557,379 | | |
Former Chief Operating Officer
|
| | | | 2020 | | | | | | 300,000 | | | | | | — | | | | | | 1,154,250 | | | | | | — | | | | | | — | | | | | | 1,454,250 | | |
Lionel E. Selwood, Jr.
|
| | | | 2021 | | | | | | 357,030 | | | | | | 400,000 | | | | | | — | | | | | | 6,540,759 | | | | | | 347,986 | | | | | | 7,645,775 | | |
Former President and Chief Executive Officer
|
| | | | 2020 | | | | | | 385,653 | | | | | | — | | | | | | 5,860,800 | | | | | | — | | | | | | 36,276 | | | | | | 6,282,729 | | |
| | | | | | | | |
Option Awards
|
| |
Stock Awards
|
| ||||||||||||||||||||||||||||||||||||||||||
Name
|
| |
Grant Date
|
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable |
| |
Number of
Securities Underlying Unexercised Options (#) Unexercisable |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| |
Number of
Shares or Units of Stock that Have Not Vested (#) |
| |
Market Value
of Shares or Units of Stock that Have Not Vested ($) |
| |
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 ($) |
| |||||||||||||||||||||||||||
Susan S. Brennan
|
| | | | 8/16/21(1) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 294,229 | | | | | | 1,073,936 | | |
| | | | | 8/16/21(1) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 294,229 | | | | | | 1,073,936 | | |
| | | | | 8/16/21(2) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 269,709 | | | | | | 984,438 | | | | | | | | | | | | | | |
AK Srouji, Ph.D.
|
| | | | 8/25/17 | | | | | | 48,692 | | | | | | — | | | | | | 4.09 | | | | | | 8/25/2027 | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 11/16/18 | | | | | | 24,346 | | | | | | — | | | | | | 4.09 | | | | | | 11/16/2028 | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 10/30/19 | | | | | | 292,142 | | | | | | — | | | | | | 1.56 | | | | | | 10/30/2029 | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 3/26/20(3) | | | | | | 365,191 | | | | | | 73,037 | | | | | | 1.56 | | | | | | 3/26/2030 | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 6/11/21(4) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 63,158 | | | | | | 230,527 | | | | | | | | | | | | | | |
| | | | | 6/11/21(5) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 284,208 | | | | | | 1,037,359 | | |
Criswell Choi
|
| | | | 1/12/18 | | | | | | 1,217 | | | | | | — | | | | | | 6.09 | | | | | | 1/12/2028 | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 10/30/19 | | | | | | 41,378 | | | | | | — | | | | | | 1.56 | | | | | | 10/30/2029 | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 9/17/20(6) | | | | | | 76,087 | | | | | | 106,508 | | | | | | 6.08 | | | | | | 2/12/2025 | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 6/11/21(4) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 43,063 | | | | | | 157,180 | | | | | | | | | | | | | | |
| | | | | 6/11/21(4) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 12,919 | | | | | | 47,154 | | | | | | | | | | | | | | |
| | | | | 6/11/21(5) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 193,778 | | | | | | 707,290 | | |
| | | | | 6/11/21(5) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 58,133 | | | | | | 212,186 | | |
Lionel E. Selwood, Jr.
|
| | | | 2/21/17 | | | | | | 42,606 | | | | | | — | | | | | | 4.09 | | | | | | 2/16/2023 | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 11/16/18 | | | | | | 182,595 | | | | | | — | | | | | | 6.09 | | | | | | 2/16/2023 | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 10/30/19 | | | | | | 139,990 | | | | | | — | | | | | | 1.56 | | | | | | 2/16/2023 | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 9/17/20 | | | | | | 973,839 | | | | | | — | | | | | | 6.09 | | | | | | 2/16/2023 | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 6/11/21(4) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 132,058 | | | | | | 482,012 | | | | | | | | | | | | | | |
| | | | | 6/11/21(5) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 594,254 | | | | | | 2,169,027 | | |
Committee
|
| |
Member Annual
Retainer |
| |
Chair Annual
Retainer |
| ||||||
Audit Committee
|
| | | $ | 10,000 | | | | | $ | 15,000 | | |
Compensation Committee
|
| | | $ | 5,000 | | | | | $ | 7,500 | | |
Nominating and Corporate Governance Committee
|
| | | $ | 5,000 | | | | | $ | 7,500 | | |
Finance and Investment Committee
|
| | | $ | 5,000 | | | | | $ | 7,500 | | |
Name
|
| |
Fees Earned
Paid in Cash ($) |
| |
Stock
Awards($)(1) |
| |
Total
($) |
| |||||||||
Susan S. Brennan
|
| | | | 72,182 | | | | | | 198,731 | | | | | | 270,913 | | |
Brady Ericson
|
| | | | 32,473 | | | | | | 198,731 | | | | | | 231,204 | | |
Donald S. Gottwald
|
| | | | 103,067 | | | | | | 198,731 | | | | | | 301,798 | | |
Laurene Horiszny(2)
|
| | | | 22,490 | | | | | | — | | | | | | 22,490 | | |
Philip Kassin
|
| | | | 115,000 | | | | | | 198,731 | | | | | | 313,731 | | |
Robert S. Mancini
|
| | | | 115,000 | | | | | | 238,476 | | | | | | 353,476 | | |
Timothy Stuart(3)
|
| | | | — | | | | | | — | | | | | | — | | |
Paul S. Williams
|
| | | | 110,000 | | | | | | 198,731 | | | | | | 308,731 | | |
Position
|
| |
Multiple
|
|
Chief Executive Officer | | | 4x Annual Base Salary | |
Other Executive Officers | | | 2x Annual Base Salary | |
Non-employee Directors | | | 5x Annual Board Annual Equity Grant | |
Name and Address of Beneficial Owner
|
| |
Number of Shares of
Common Stock Beneficially Owned |
| |
Percentage of
Outstanding Common Stock(1) |
| ||||||
Directors and Named Executive Officers: | | | | | | | | | | | | | |
Susan S. Brennan
|
| | | | 21,531 | | | | | | * | | |
Lauren Webb(2)
|
| | | | 562,035 | | | | | | * | | |
AK Srouji, Ph.D.(3)
|
| | | | 819,798 | | | | | | * | | |
Criswell Choi(4)
|
| | | | 142,064 | | | | | | * | | |
Lionel E. Selwood, Jr.(5)
|
| | | | 1,405,057 | | | | | | * | | |
Robert S. Mancini(6)
|
| | | | 2,359,177 | | | | | | 1.6% | | |
Philip Kassin(7)
|
| | | | 2,394,871 | | | | | | 1.6% | | |
Donald S. Gottwald
|
| | | | 21,531 | | | | | | * | | |
Laurene Horiszny
|
| | | | — | | | | | | — | | |
Timothy E. Stuart
|
| | | | — | | | | | | — | | |
Paul S. Williams
|
| | | | 21,531 | | | | | | * | | |
All executive officers and directors as a group (13 individuals)(8)
|
| | | | 5,233,805 | | | | | | 3.4% | | |
Five Percent Holders: | | | | | | | | | | | | | |
The Vanguard Group(9)
|
| | | | 8,897,318 | | | | | | 5.9% | | |
Blackrock, Inc.(10)
|
| | | | 7,856,863 | | | | | | 5.2% | | |
| If to the Investor(s): | | |
YA II PN, Ltd.
1012 Springfield Avenue Mountainside, NJ 07092 Attention: Telephone: |
|
| With a Copy (which shall not constitute notice or delivery of process) to: | | |
1012 Springfield Avenue
Mountainside, NJ 07092 Telephone: Email: |
|
| | | | COMPANY: | |
| | | | Romeo Power, Inc. | |
| | | |
By:
/s/ Matthew Sant
|
|
| | | |
Name:
Matthew Sant
|
|
| | | |
Title:
General Counsel and Secretary
|
|
| | | | INVESTOR: | |
| | | | YA II PN, Ltd. | |
| | | |
By:
Yorkville Advisors Global, LP
|
|
| | | |
Its:
Investment Manager
|
|
| | | | | | |
By:
Yorkville Advisors Global II, LLC
|
|
| | | | | | |
Its:
General Partner
|
|
| | | | | | |
By:
/s/ M. Beckman
|
|
| | | | | | |
Name:
Matt Beckman
|
|
| | | | | | |
Title:
Member
|
|
| | | | ROMEO POWER, INC. | |
| | | |
|
|
| | | | | | Below please find the settlement information with respect to the Advance Notice Date of: | | | | | | |
| |
1.
|
| | | Advance requested in the Advance Notice | | | | | | |
| |
2.
|
| | | Minimum Acceptable Price for this Advance (if any) | | | | | | |
| |
3.
|
| | | Number of Excluded Days (if any) | | | | | | |
| |
4.
|
| | | Adjusted Advance Amount (after taking into account any adjustments pursuant to Section 2.01): | | | | | | |
| |
5.
|
| | | Market Price | | | | | | |
| |
6.
|
| | | Purchase Price per share | | | | | | |
| |
7.
|
| | | Number of Shares due to Investor | | | | | | |
| |
If there were any Excluded Days then add the following (see Section 2.01(d)):
|
| | ||||||||
| |
8.
|
| | | Number of Additional Shares to be issued to Investor | | | | | | |
| |
9.
|
| | | Additional amount to be paid to the Company by the Investor (Additional Shares in number 8 x Minimum Acceptable Price) | | | | | | |
| |
10.
|
| | | Total Amount to be paid to Company (Purchase Price in number 6 + Additional amount in number 9): | | | | | | |
| |
11.
|
| | | Total Shares to be issued to Investor (Shares due to Investor in number 7 + Additional Shares in number 8): | | | | | | |
| Agreed and approved By ROMEO POWER, INC.: | | | ||
|
Name:
Title: |
| | | |
| No. RMO-1 | | | Original Principal Amount: $[20,000,000] | |
| Note Issuance Date: [ ] | | | | |
| If to the Borrower, to: | | |
Romeo Power, Inc.
4380 Ayers Avenue Vernon, CA 90058 Attention: [ ] Telephone: [ ] Email: [ ] |
|
| With a copy to: | | |
[ ]
[ ] [ ] Attention: |
|
| If to the Holder: | | |
YA II PN, Ltd.
1012 Springfield Avenue Mountainside, NJ 07092 Attention: Telephone: |
|
| With a copy to: | | | | |
| | | |
1012 Springfield Avenue
Mountainside, NJ 07092 Telephone: Email: |
|
| | | |
BORROWER:
ROMEO POWER, INC. |
|
| | | |
By:
|
|
| | Principal Amount | | | |
[$20,000,000.00]
|
| |
| | Less: Original Issue Discount (2% of Principal Amount): | | | |
[$(400,000.00)]
|
| |
| | Balance to be Paid to the Borrower: | | | |
[$19,600,000.00]
|
| |
| | | | | |
| | | |
BORROWER:
ROMEO POWER, INC. |
|
| | | | | |
| | | | By: | |
| | | |
|
|
| | | |
COMPANY:
Romeo Power, Inc. |
|
| | | |
By:
/s/ Matthew Sant
|
|
| | | |
Name:
Matthew Sant
|
|
| | | |
Title:
General Counsel and Secretary
|
|
| | | |
INVESTOR:
YA II PN, Ltd. |
|
| | | |
By:
Yorkville Advisors Global, LP
|
|
| | | |
Its:
Investment Manager
|
|
| | | | | | |
By:
Yorkville Advisors Global II, LLC
|
|
| | | | | | |
Its:
General Partner
|
|
| | | | | | |
By:
/s/ M. Beckman
|
|
| | | | | | |
Name:
Matt Beckman
|
|
| | | | | | |
Title:
Member
|
|
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