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SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS
1,615,844 of the shares and sole dispositive power over all the shares. The address reported on the Schedule 13G is 55 East 52 nd Street, New York, NY 10055. (2) Based solely on information provided by Castle Creek Capital Partners V, LP (“Castle Creek”), includes 2,263,582 shares beneficially owned by Castle Creek and 4,035 shares beneficially owned by Castle Creek Advisors IV LLC. The address for Castle Creek is 6051 El Tordo, P.O. Box 1329, Rancho Santa Fe, CA 92067. (3) Includes 40,000 shares of our common stock underlying options that are currently exercisable or are exercisable within 60 days of March 2, 2021. Includes 86,775 shares held by Mr. Juran as co-trustee of a marital trust dated June 18, 2002 and includes 10,725 shares held by Mr. Juran as co-trustee of a residuary trust dated June 18, 2002. Includes 8,532 shares held in a revocable trust dated January 31, 2014 for which Mr. Juran is the attorney-in-fact for the trustee of the trust and Mr. Juran may possess voting power and investment power with respect to the shares of common stock under the trust. (4) Reflects shares beneficially owned by Thrivent Financial for Lutherans (“Thrivent”) as of December 31, 2020, according to a Schedule 13G filed by Thrivent with the SEC on February 16, 2021. Based solely on the Schedule 13G, Thrivent had sole voting power and sole dispositive power over 84,225 shares and shared voting power and shared dispositive power over 1,764,871 shares. The address reported on the Schedule 13G is 901 Marquette Avenue, Suite 2500, Minneapolis, Minnesota 55402. (5) Includes 206,250 shares of our common stock underlying options that are currently exercisable or are exercisable within 60 days of March 2, 2021. Excludes 108,750 shares of our common stock underlying options that are subject to vesting. Includes 14,400 shares of unvested restricted stock of which he has the right to vote. Excludes 26,136 shares of restricted stock units that will not vest within 60 days of March 2, 2021. Includes 3,000 shares held by Mr. Baack as custodian for children. Includes 4,200 shares held by Mr. Baack for dependent child. Includes 7,000 shares held jointly with Mr. Baack’s spouse. A total of 158,000 shares are pledged as security for indebtedness. (6) Includes 124,250 shares of our common stock underlying options that are currently exercisable or are exercisable within 60 days of March 2, 2021. Excludes 80,250 shares of our common stock underlying options that are subject to vesting. Includes 7,500 shares of unvested restricted stock of which she has the right to vote. Excludes 13,636 shares of restricted stock units that will not vest within 60 days of March 2, 2021. Includes 25,000 shares held jointly with Ms. Crocker’s spouse and 5,000 shares held jointly with Ms. Crocker’s child. (7) Includes 40,000 shares of our common stock underlying options that are currently exercisable or are exercisable within 60 days of March 2, 2021. Includes 69,250 shares held by Mr. Johnson as co-trustee of the James S. Johnson Trust, dated May 28, 2015 and includes 76,750 shares held by Mr. Johnson as co-trustee of the Jolynn Johnson Trust dated May 28, 2015. Includes 10,417 shares held by Mr. Johnson’s spouse in an IRA. (8) Includes 171,250 shares of our common stock underlying options that are currently exercisable or are exercisable within 60 days of March 2, 2021. Excludes 78,750 shares of our common stock underlying options that are subject to vesting. Includes 7,000 shares of unvested restricted stock of which he has the right to vote. Excludes 12,728 shares of restricted stock units that will not vest within 60 days of March 2, 2021. Includes 304,890 shares held by Mr. Shellberg as co-trustee of the Jeffrey D. Shellberg Trust under agreement dated October 1, 2014. Includes 172,000 shares held by Mr. Shellberg as co-trustee of the Susan K. Shellberg Trust under agreement dated October 1, 2014. A total of 100,000 shares are pledged as security for indebtedness. (9) Includes 40,000 shares of our common stock underlying options that are currently exercisable or are exercisable within 60 days of March 2, 2021. Includes 40,478 shares held jointly with Mr. Trutna’s spouse. (10) Includes 40,000 shares of our common stock underlying options that are currently exercisable or are exercisable within 60 days of March 2, 2021. A total of 678,404 shares are pledged as security for indebtedness. (11) Mr. Volk is a principal at Castle Creek Capital V LLC, which is the sole general partner of Castle Creek, which entity owns 2,263,582 shares of the Company’s common stock. Additionally, Castle Creek Advisors IV LLC, an affiliate of Castle Creek, owns 4,035 shares of the Company’s common stock. Mr. Volk disclaims beneficial ownership of such shares held by Castle Creek and Castle Creek Advisors IV LLC, except to the extent of his pecuniary interest therein. (12) Includes a total of 929,500 shares subject to stock options that are currently exercisable or are exercisable within 60 days of March 2, 2021. Excludes 488,500 shares of our common stock underlying options that are subject to vesting. Includes a total of 44,401 shares of unvested restricted stock of which such holder has the right to vote. Excludes 91,272 shares of restricted stock units that will not vest within 60 days of March 2, 2021. A total of 946,404 shares are pledged as security for indebtedness.
2021 Proxy Statement
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