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DISK » Topics » Equity Compensation Plans

This excerpt taken from the DISK 10-K filed Jul 27, 2007.

Equity Compensation Plans

        The following table sets forth certain information as of March 31, 2007 with respect to our equity compensation plans (including individual compensation arrangements) under which our equity securities are authorized for issuance, aggregated by (i) all compensation plans previously approved by our security holders, and (ii) all compensation plans not previously approved by our security holders:

Plan Category
 Number of securities
to be issued upon
exercise of
outstanding options,
warrants and rights (1)
 Weighted-average
exercise price of
outstanding
options, warrants
and rights
 Number of securities remaining
available for future issuance under
equity compensation plans
(excluding securities referenced
in the first column)
Equity compensation plans approved by      2,428,917    3.547    256,063  
   security holders  
Equity compensation plans not approved by  
   security holders:  
   Compensatory warrants issued to service  
   providers    1,984,284    5.029    --  
Total    4,313,201    4.214    256,063  

Notes to Equity Compensation Plans Table:

(1) Includes options granted to employees and directors.
(2) The compensatory warrants identified in the above table consist of approximately 17 grants made to investors in exchange for their services in connection with the early repayment of a loan, a private placement offering and a convertible debt financing. These warrants expire on various dates beginning in December 2007 and ending in August 2011 and have exercise prices ranging from $2.04 to $6.56 per share. In March 2004, in connection with the early repayment of a loan, we issued four-year warrants to an investor to purchase up to 100,000 shares at $2.04 per share. In December 2004, we issued three-year warrants to certain private placement investors in connection with such private placement to purchase up to 784,284 shares at $6.56 per share. In August 2006, we issued a five-year warrant in connection with a convertible debt financing to an investor to purchase up to 1,000,000 shares at $4.25 per share. The warrant was recorded as a discount to the related $17 million debt and a long-term liability.

16

This excerpt taken from the DISK DEF 14A filed Jul 31, 2006.

Equity Compensation Plans

The following table sets forth certain information as of March 31, 2006 with respect to our equity compensation plans (including individual compensation arrangements) under which our equity securities are authorized for issuance, aggregated by (i) all compensation plans previously approved by our security holders, and (ii) all compensation plans not previously approved by our security holders:

Plan Category

 

 

 

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

 

Weighted-average
exercise price of
outstanding
options, warrants
and rights

 

Number of securities remaining
available for future issuance
under equity compensation
plans (excluding securities
referenced in the first column)

 

Equity compensation plans approved by security holders

 

 

2,645,517

 

 

 

3.782

 

 

 

105,383

 

 

Equity compensation plans not approved by security holders

 

 

0

 

 

 

—

 

 

 

—

 

 

Total

 

 

2,645,517

 

 

 

3.782

 

 

 

105,383

 

 

Notes to Equity Compensation Plans Table:

       (1) Includes options granted to employees and directors. No warrants to others included.

16



This excerpt taken from the DISK DEF 14A filed Jul 27, 2005.

Equity Compensation Plans

 

The following table sets forth certain information as of March 31, 2005 with respect to our equity compensation plans (including individual compensation arrangements) under which our equity securities are authorized for issuance, aggregated by (i) all compensation plans previously approved by our security holders, and (ii) all compensation plans not previously approved by our security holders:

 

Plan Category

 

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

 

Weighted-average
exercise price of
outstanding
options, warrants
and rights

 

Number of securities remaining
available for future issuance
under equity compensation
plans (excluding securities
referenced in the first column)

 

Equity compensation plans approved by security holders

 

2,443,917

 

4.18

 

275,583

 

Equity compensation plans not approved by security holders

 

0

 

—

 

—

 

 

 

 

 

 

 

 

 

Total

 

2,443,917

 

4.18

 

275,583

 

 

Notes to Equity Compensation Plans Table:

 

(1)           Includes options granted to employees and directors.  No warrants to others included.

 

25


 

EXCERPTS ON THIS PAGE:

10-K
Jul 27, 2007
DEF 14A
Jul 31, 2006
DEF 14A
Jul 27, 2005

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