SECURITIES AND EXCHANGE COMMISSION
Securities Exchange Act of 1934
Cary, North Carolina 27518
for the
Annual Meeting of Shareholders
To Be Held August 19, 2024
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| | | | | A-1 | | |
TO BE HELD AUGUST 19, 2024
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Proposal
Number |
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Proposal Description
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Vote Required for Approval
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| |
Effect of
Withholding or Abstentions |
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Effect of
Broker Non-Votes |
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1
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| | Election of directors | | | Nominees receiving the most “For” votes (plurality voting) | | | Withheld votes will have no effect | | | None | |
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2
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| | Approval of an amendment to the Fathom Holdings Inc. 2019 Omnibus Stock Incentive Plan to increase the share reserve by 1,600,000 shares of common stock | | | “For” votes from the holders of a majority of the votes cast and entitled to vote at the meeting | | | Abstentions will have no effect | | | None | |
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3
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| | Ratification of the selection of Deloitte & Touche LLP, an independent registered public accounting firm, as the auditor of the Company for the year ending December 31, 2024 | | | “For” votes from the holders of a majority of the votes cast and entitled to vote at the meeting | | | Abstentions will have no effect | | | None | |
ELECTION OF DIRECTORS
Name
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Age
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Director Since
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Position with Fathom
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Marco Fregenal | | |
60
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| |
2019
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| | President, Chief Executive Officer and Chief Financial Officer, Director | |
Scott Flanders | | |
67
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2022
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| | Chairman, Director | |
Ravila Gupta | | |
61
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2021
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| | Director | |
David Hood | | |
62
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2019
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| | Director | |
Stephen Murray | | |
70
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2023
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| | Director | |
Jennifer Venable | | |
53
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2019
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| | Director | |
Part I: Gender Identity
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Female
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Male
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Nonbinary
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Did Not Disclose Gender
Identity or Demographic Background |
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Directors
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Part II: Demographic Background
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African American or Black
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Alaskan Native or Native American
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| | | | − | | | | | | − | | | | | | − | | | | | | − | | |
Asian
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| | | | 1 | | | | | | − | | | | | | − | | | | | | − | | |
Hispanic or Latinx
|
| | | | − | | | | | | 1 | | | | | | − | | | | | | − | | |
Native Hawaiian or Pacific Islander
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| | | | − | | | | | | − | | | | | | − | | | | | | − | | |
White
|
| | | | 1 | | | | | | 3 | | | | | | − | | | | | | − | | |
Two or More Races or Ethnicities
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| | | | − | | | | | | − | | | | | | − | | | | | | − | | |
LGBTQ+
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| | | | − | | | | | | − | | | | | | − | | | | | | − | | |
Did Not Disclose Demographic Background
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Audit
Committee |
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Compensation
Committee |
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Nominating &
Governance Committee |
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Scott N. Flanders
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| Marco Fregenal | | | | | | | | | | |
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Ravila Gupta
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David Hood
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Stephen Murray
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| Glenn Sampson | | | | | | | | | | |
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Jennifer Venable
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APPROVAL OF AN AMENDMENT TO THE 2019 OMNIBUS STOCK INCENTIVE PLAN TO INCREASE THE SHARE RESERVE BY ONE MILLION SIX HUNDRED THOUSAND (1,600,000) SHARES OF COMMON STOCK
Plan Category
|
| |
Number of
securities to be issued upon exercise of outstanding options, warrants and rights |
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Weighted-
average exercise price of outstanding options, warrants and rights |
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Number of
securities remaining available for future issuance under equity compensation plans |
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Equity compensation plans approved by security holders | | | | | | | | | | | | | | | | | | | |
2017 Stock Plan
|
| | | | 20,156 | | | | | $ | 4.71 | | | | | | 2,739,261 | | |
2019 Omnibus Stock Incentive Plan
|
| | | | 127,551 | | | | | $ | 13.00 | | | | | | 835,951 | | |
Total
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| | | | 147,707 | | | | | $ | 11.87 | | | | | | 3,575,212 | | |
RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE LLP,
AN INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM, AS THE AUDITOR OF THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2024
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2023
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2022
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Audit Fees
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| | | $ | 541,171 | | | | | $ | 633,994 | | |
Audit-Related Fees
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| | | $ | 175,000 | | | | | $ | 20,500 | | |
Tax Fees
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| | | $ | 133,140 | | | | | $ | 110,145 | | |
All Other Fees
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| | | | — | | | | | | — | | |
THE BOARD OF DIRECTORS
Ravila Gupta
Jennifer Venable
Name and Address of Beneficial Owner
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Shares
Beneficially Owned |
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Percentage
Beneficially Owned |
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Directors and Named Executive Officers | | | | | | | | | | | | | |
Joshua Harley(1)
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| | | | 4,512,913 | | | | | | 21.5% | | |
Marco Fregenal(2)
|
| | | | 1,336,262 | | | | | | 6.4% | | |
Samantha Giuggio(3)
|
| | | | 116,448 | | | | | | * | | |
Scott N. Flanders(4)
|
| | | | 694,288 | | | | | | 3.3% | | |
Ravila Gupta(5)
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| | | | 16,774 | | | | | | * | | |
David Hood(6)
|
| | | | 37,780 | | | | | | * | | |
Stephen H. Murray
|
| | | | 48,817 | | | | | | * | | |
Glenn Sampson(7)
|
| | | | 1,556,234 | | | | | | 7.4% | | |
Jennifer Venable(8)
|
| | | | 27,629 | | | | | | * | | |
All current directors and executive officers as a group (9 individuals)
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| | | | 8,347,411 | | | | | | 39.7% | | |
Other 5% Shareholders | | | | | | | | | | | | | |
Cannell Capital LLC(9)
|
| | | | 1,644,578 | | | | | | 7.9% | | |
AWM Investment Company, Inc.(10)
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| | | | 1,699,964 | | | | | | 8.0% | | |
Name and Principal Position
|
| |
Year
|
| |
Salary(1)
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| |
Cash
Bonus |
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Stock
Awards(2) |
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All Other
Compensation |
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Total
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Marco Fregenal
Chief Executive Officer, Chief Financial Officer and Principal Executive Officer and Principal Financial Officer |
| | | | 2023 | | | | | $ | 264,615(3) | | | | | $ | — (4) | | | | | $ | 943,250(3)(4) | | | | | $ | 14,464(5) | | | | | $ | 1,222,329 | | |
| | | 2022 | | | | | $ | 383,846(3) | | | | | $ | —(4) | | | | | $ | 1,027,777(3)(4) | | | | | $ | 15,900(5) | | | | | $ | 1,411,623 | | | ||
Samantha Giuggio
Chief Broker Operations Officer |
| | | | 2023 | | | | | $ | 260,087(6) | | | | | $ | — | | | | | $ | 25,451(6)(7) | | | | | $ | 27,340(8) | | | | | $ | 312,878 | | |
| | | 2022 | | | | | $ | 265,481(6) | | | | | $ | — | | | | | $ | 219,227(6)(7) | | | | | $ | 14,027(8) | | | | | $ | 498,735 | | | ||
Joshua Harley
Former Chief Executive Officer, Principal Executive Officer |
| | | | 2023 | | | | | $ | 500,000 | | | | | $ | — | | | | | $ | 1,212,750 | | | | | $ | 13,852(9) | | | | | $ | 1,726,602 | | |
| | | 2022 | | | | | $ | 500,000 | | | | | $ | 442,000 | | | | | $ | 1,000,007 | | | | | $ | 18,000(9) | | | | | $ | 1,960,007 | | |
Name
|
| |
2023
Base Salary |
| |||
Marco Fregenal
|
| | | $ | 500,000 | | |
Samantha Giuggio
|
| | | $ | 275,000 | | |
Joshua Harley
|
| | | $ | 500,000 | | |
Name
|
| |
Number of shares or units of
stock that have not vested (#) |
| |
Market value of shares or units
of stock that have not vested ($) |
| ||||||
Marco Fregenal
|
| | | | 448,127(1) | | | | | $ | 1,608,776(2) | | |
Samantha Giuggio
|
| | | | 31,864(3) | | | | | $ | 114,392(2) | | |
Joshua Harley
|
| | | | 404,030(4) | | | | | $ | 1,450,468(2) | | |
Name(4)
|
| |
Fees Earned
($) |
| |
Restricted
Stock Awards ($)(1)(2)(3) |
| |
Total
($) |
| |||||||||
Scott N. Flanders
|
| | | $ | 60,938 | | | | | $ | 100,000 | | | | | $ | 160,938 | | |
Ravila Gupta
|
| | | $ | 50,000 | | | | | $ | 100,000 | | | | | $ | 150,000 | | |
David C. Hood
|
| | | $ | 76,250 | | | | | $ | 100,000 | | | | | $ | 176,250 | | |
Stephen Murray
|
| | | $ | 31,250 | | | | | $ | 100,000 | | | | | $ | 131,250 | | |
Glenn Sampson
|
| | | $ | 42,500 | | | | | $ | 100,000 | | | | | $ | 142,500 | | |
Jennifer Venable
|
| | | $ | 62,500 | | | | | $ | 100,000 | | | | | $ | 162,500 | | |
2000 Regency Parkway Drive, Suite 160
Cary, North Carolina 27518
FATHOM HOLDINGS INC.
2019 OMNIBUS STOCK INCENTIVE PLAN
| | | | FATHOM HOLDINGS INC. | |
| | | |
By:
/s/ Marco Fregenal
Maro Fregenal
Chief Executive Officer |
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