ESBF » Topics » Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

These excerpts taken from the ESBF 10-K filed Mar 12, 2009.

Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

The information required herein is incorporated by reference from the sections captioned “Beneficial Ownership” of the Proxy Statement.

 

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The following information sets forth certain information for all equity compensation plans and individual compensation agreements (whether with employees or non-employees, such as directors) in effect as of December 31, 2008.

Equity Compensation Plan Information

 

Plan Category

   Number of securities to be
issued upon exercise of
outstanding options,
warrants and rights (1)(2)
   Weighted-average exercise
price of outstanding
options, warrants and
rights (1)(2)
   Number of securities
remaining available
for future issuance
under equity
compensations plans
(excluding securities
reflected in the first
column)(2)

Equity compensation plans approved by security holders

   891,002    $ 10.45    385,328

Equity compensation plans not approved by security holders

   —        —      —  
                

Total

   891,002    $ 10.45    385,325
                

 

(1) Includes outstanding options granted under the 1990 Stock Option Plan and the 1992 Stock Incentive Plan, which were approved by security holders and have expired. No additional options may be granted under these plans.
(2) The table does not include information for equity compensation plans assumed by the Company in connection with acquisitions of the companies which originally established those plans. As of December 31, 2008, no options and 7,500 shares of restricted stock were outstanding which had not yet vested under those assumed plans. No additional options and 12,105 shares of restricted stock may be granted under the assumed plans.

Item 12. Security Ownership of Certain Beneficial Owners and Management and
Related Stockholder Matters

The information required herein is incorporated by reference from the sections captioned “Beneficial
Ownership” of the Proxy Statement.

 


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Table of Contents


The following information sets forth certain information for all equity compensation plans and individual compensation
agreements (whether with employees or non-employees, such as directors) in effect as of December 31, 2008.

Equity Compensation Plan
Information

 


































































Plan Category

  Number of securities to be
issued upon exercise of
outstanding options,
warrants and rights (1)(2)

  Weighted-average exercise
price of outstanding
options, warrants and
rights (1)(2)

  Number of securities
remaining available
for future issuance
under equity
compensations
plans
(excluding securities
reflected in the first
column)(2)

Equity compensation plans approved by security holders

  891,002  $10.45  385,328

Equity compensation plans not approved by security holders

  —     —    —  
          

Total

  891,002  $10.45  385,325
          

 





(1)Includes outstanding options granted under the 1990 Stock Option Plan and the 1992 Stock Incentive Plan, which were approved by security holders and have expired. No additional
options may be granted under these plans.




(2)The table does not include information for equity compensation plans assumed by the Company in connection with acquisitions of the companies which originally established those
plans. As of December 31, 2008, no options and 7,500 shares of restricted stock were outstanding which had not yet vested under those assumed plans. No additional options and 12,105 shares of restricted stock may be granted under the assumed
plans.
These excerpts taken from the ESBF 10-K filed Mar 17, 2008.

Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

The information required herein is incorporated by reference from the sections captioned “Beneficial Ownership” of the Proxy Statement.

 

32


Table of Contents

The following information sets forth certain information for all equity compensation plans and individual compensation agreements (whether with employees or non-employees, such as directors) in effect as of December 31, 2007.

 

Equity Compensation Plan Information

Plan Category

   Number of securities to be

issued upon exercise of

outstanding options,

warrants and rights (1)(2)

  Weighted-average exercise

price of outstanding

options, warrants and

rights (1)(2)

  Number of securities
remaining available
for future issuance
under equity
compensations plans
(excluding securities
reflected in the first
column)(2)
            

Equity compensation plans approved by security holders

   930,757   $10.33   469,925

Equity compensation plans not approved by security holders

           --           --           --
            

Total

   930,757   $10.33   469,925
            

 

(1)

Includes outstanding options granted under the 1990 Stock Option Plan and the 1992 Stock Incentive Plan, which were approved by security holders and have expired. No additional options may be granted under these plans.

(2)

The table does not include information for equity compensation plans assumed by the Company in connection with acquisitions of the companies which originally established those plans. As of December 31, 2007, a total of 17,393 shares of common stock were issuable with a weighted-average exercise price of $4.05 upon exercise of outstanding options and 12,815 shares of restricted stock were outstanding which had not yet vested under those assumed plans. No additional options and 11,646 shares of restricted stock may be granted under the assumed plans.


Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

SIZE="2">The information required herein is incorporated by reference from the sections captioned “Beneficial Ownership” of the Proxy Statement.

 


32







Table of Contents


The following information sets forth certain information for all equity compensation plans and individual
compensation agreements (whether with employees or non-employees, such as directors) in effect as of December 31, 2007.

 






































































Equity Compensation Plan Information

Plan Category

  Number of securities to be

issued upon
exercise of

outstanding options,

FACE="Times New Roman" SIZE="2">warrants and rights (1)(2)

 Weighted-average exercise

price of
outstanding

options, warrants and

FACE="Times New Roman" SIZE="2">rights (1)(2)

 Number of securities
remaining available
for future issuance
under equity
compensations plans
(excluding securities
reflected in the
first
column)(2)
       

Equity compensation plans approved by security holders

  930,757 $10.33 469,925

Equity compensation plans not approved by security holders

          --         --         --
       

Total

  930,757 $10.33 469,925
       

 





(1)

Includes outstanding options granted under the 1990 Stock Option Plan and the 1992 Stock Incentive Plan, which were approved by security holders and have
expired. No additional options may be granted under these plans.





(2)

The table does not include information for equity compensation plans assumed by the Company in connection with acquisitions of the companies which originally
established those plans. As of December 31, 2007, a total of 17,393 shares of common stock were issuable with a weighted-average exercise price of $4.05 upon exercise of outstanding options and 12,815 shares of restricted stock were outstanding
which had not yet vested under those assumed plans. No additional options and 11,646 shares of restricted stock may be granted under the assumed plans.

FACE="Times New Roman" SIZE="2">
Item 13. Certain Relationships and Related Transactions, and Director Independence

The information
required herein is incorporated by reference from the subsections captioned “Certain Relationships and Related Transactions” and “Election of Directors – Information with respect to Nominees for Director and continuing
Directors” of the Proxy Statement.

This excerpt taken from the ESBF 10-K filed Mar 12, 2007.

Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

The information required herein is incorporated by reference from the sections captioned “Beneficial Ownership” of the Proxy Statement.

The following information sets forth certain information for all equity compensation plans and individual compensation agreements (whether with employees or non-employees, such as directors) in effect as of December 31, 2006.

 

Equity Compensation Plan Information

Plan Category

   Number of securities to be
issued upon exercise of
outstanding options,
warrants and rights (1)(2)
  Weighted-average exercise
price of outstanding
options, warrants and
rights (1)(2)
  Number of securities
remaining available
for future issuance
under equity
compensations plans
(excluding securities
reflected in the first
column)(2)
            

Equity compensation plans approved by security holders

   903,001   $10.16   557,592

Equity compensation plans not approved by security holders

           --           --             --
            

Total

   903,001   $10.16   557,592
            

 

(1)

Includes outstanding options granted under the 1990 Stock Option Plan and the 1992 Stock Incentive Plan, which were approved by security holders and have expired. No additional options may be granted under these plans.

(2)

The table does not include information for equity compensation plans assumed by the Company in connection with acquisitions of the companies which originally established those plans. As of December 31, 2006, a total of 42,103 shares of common stock were issuable with a weighted-average exercise price of $4.05 upon exercise of outstanding options and 16,725 shares of restricted stock were outstanding which had not yet vested under those assumed plans. No additional options and 11,220 shares of restricted stock may be granted under the assumed plans.

 

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Table of Contents
This excerpt taken from the ESBF 10-K filed Mar 13, 2006.

Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

The information required herein is incorporated by reference from the sections captioned “Beneficial Ownership” of the Proxy Statement.

The following information sets forth certain information for all equity compensation plans and individual compensation agreements (whether with employees or non-employees, such as directors) in effect as of December 31, 2005.

Equity Compensation Plan Information

 

Plan Category

  

Number of securities to be

issued upon exercise of

outstanding options,

warrants and rights (1)(2)

  

Weighted-average exercise

price of outstanding

options, warrants and

rights (1)(2)

  

Number of securities

remaining available

for future issuance

under equity

compensations plans

(excluding securities

reflected in the first

column)(2)

Equity compensation plans approved by security holders

   876,698    $ 9.83    647,360

Equity compensation plans not approved by security holders

   —        —      —  
                

Total

   876,698    $ 9.83    647,360
                

(1) Includes outstanding options granted under the 1990 Stock Option Plan and the 1992 Stock Incentive Plan, which were approved by security holders and have expired. No additional options may be granted under these plans.
(2) The table does not include information for equity compensation plans assumed by the Company in connection with acquisitions of the companies which originally established those plans. As of December 31, 2005, a total of 44,703 shares of common stock were issuable with a weighted-average exercise price of $4.05 upon exercise of outstanding options and 20,755 shares of restricted stock were outstanding which had not yet vested under those assumed plans. No additional options and 10,848 shares of restricted stock may be granted under the assumed plans.

 

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Table of Contents
This excerpt taken from the ESBF 10-K filed Mar 16, 2005.

Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

 

The information required herein is incorporated by reference from the sections captioned “Beneficial Ownership” and “Executive Compensation – Equity Compensation Plan Information” of the Proxy Statement.

 

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