UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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SCHEDULE 14A
_________________
PROXY STATEMENT PURSUANT TO
SECTION 14(a) OF THE
SECURITIES EXCHANGE ACT OF 1934
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Filed by the Registrant |
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Filed by a Party other than the Registrant |
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Check the appropriate box:
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Preliminary Proxy Statement |
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Confidential, for Use of the Commission Only (as permitted by Rule 14a -6 (e)(2)) |
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Definitive Proxy Statement |
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Definitive Additional Materials |
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Soliciting Material Pursuant to §240.14a -12 |
ASA Gold and Precious Metals Limited
________________________________________________________________
(Name of Person(s) Filing Proxy Statement, if other than the Registrant)
Payment of Filing Fee (Check the appropriate box):
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No fee required. |
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Fee paid previously with preliminary materials. |
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Fee computed on table below per Exchange Act Rules 14a -6 (i)(1) and 0 -11 . |
ASA GOLD AND PRECIOUS METALS LIMITED
Three Canal Plaza
Portland, Maine 04101
September 26, 2025
Dear Shareholder,
You are cordially invited to virtually attend the Annual General Meeting of Shareholders of ASA Gold and Precious Metals Limited (the “Company”), to be held via live webcast on November 6, 2025 (the “Meeting”). At the Meeting, you will be asked to consider: (1) the election of the Company’s Board of Directors and (2) the ratification and approval of the appointment of Tait, Weller Baker LLP as the Company’s independent auditors for the fiscal year ending November 30, 2025, and the authorization of the Audit and Ethics Committee of the Board of Directors to set the independent auditors’ remuneration. The Board of Directors has considered both of these proposals and unanimously recommends that you vote FOR each proposal.
During the Meeting, management will make available the Company’s audited financial statements for the fiscal year ended November 30, 2024. Further details of the business to be transacted at the Meeting can be found in the accompanying Notice of Annual General Meeting of Shareholders and Proxy Statement. Your vote is important!
We are holding a virtual meeting this year in order to enable participation by the broadest number of shareholders possible, to save costs compared to a physical meeting, and because we believe that a virtual format will enable shareholders to participate in the Meeting more easily. Shareholders will be able to listen, vote, and submit questions from their home or any location with internet connectivity. There will not be a physical location for our Meeting, and you will not be able to attend the Meeting in person. Additional information on how to participate in the Meeting can be found below.
Whether or not you can attend the virtual meeting, it is important that your shares be represented at the Meeting. Accordingly, the Company asks that you please sign, date, and return the enclosed proxy card at your earliest convenience. As an alternative to using the proxy card to vote, you may submit your proxy by telephone or via the Internet. Please follow the instructions on the enclosed proxy card.
The Board of Directors extends its appreciation for your continued support.
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Sincerely yours, |
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Paul Kazarian |
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Chair of the Board |
Please give all of this information your careful attention. It is important that your shares be represented at the Meeting. Whether or not you plan to attend the virtual Meeting, you are requested to promptly complete, sign, and return the enclosed proxy card as soon as possible. You may also vote your shares via the Internet or by telephone as discussed in the Proxy Statement. Returning a signed proxy card or authorizing a proxy by telephone or via the Internet to vote your shares will not prevent you from voting your shares during the webcast if you subsequently choose to attend the virtual Meeting, but your presence (without further action) at the virtual Meeting will not in itself constitute a revocation of a previously delivered proxy.
QUESTIONS AND ANSWERS ABOUT THE PROPOSALS
FOR THE ANNUAL GENERAL MEETING OF SHAREHOLDERS
While the Company strongly encourages you to read the full text of the enclosed Proxy Statement, the Company is providing the following brief overview of the proposals in the accompanying Proxy Statement in “question and answer” format, to help you better understand and vote on these proposals. Your vote is important. Please vote.
Question: Why are you sending me this information?
Answer: You are receiving these materials because as of the close of business on September 24, 2025 (the “Record Date”) you owned shares of ASA Gold and Precious Metals Limited (the “Company”) and, as a result, have the right to vote on proposals relating to the Company at the Annual General Meeting of Shareholders to be held on November 6, 2025 at 1:00 p.m., Eastern Time.
Question: What proposals will be acted upon at the Meeting?
Answer: At the Meeting, you will be asked: (i) to elect the Company’s Board of Directors (the “Board”), and (ii) to ratify and approve the appointment of Tait, Weller Baker LLP, an independent registered public accounting firm, as the Company’s independent auditors for the fiscal year ending November 30, 2025, and to authorize the Audit and Ethics Committee of the Board to set the independent auditors’ remuneration.
Question: How does the Board recommend that I vote?
Answer: After careful consideration, the Board, which is currently composed of four directors who are not “interested persons” of the Company (each, an “Independent Director”) as that term is defined under Section 2(a)(19) of the Investment Company Act of 1940, as amended (“1940 Act”), recommends that you vote FOR each proposal.
Question: Why did the Board decide to proceed with a virtual format for the Meeting?
Answer: Our Meeting will be a virtual meeting format only, where shareholders may participate by accessing a website using the Internet. There will not be a physical meeting location. We are holding a virtual only meeting this year to enable participation by the broadest number of shareholders possible, to save costs compared to a physical meeting, and because we believe that a virtual format will enable shareholders to participate in the Meeting more easily. We have designed the virtual Meeting to provide the same rights and opportunities to participate as shareholders would have at an in -person meeting, including the right to vote and ask questions through the virtual meeting platform. A virtual meeting will also provide an additional opportunity for shareholders to communicate with the Board by submitting questions before and during the Meeting through the virtual meeting platform, and it eliminates many of the costs associated with hosting a physical meeting, which will benefit both our shareholders and the Company.
Question: How can I view and participate in the virtual Meeting?
Answer: Shareholders as of the Record Date are invited to attend the virtual Meeting. Shareholders may watch and participate in the Meeting virtually by registering at www.merkinvestments.com/asa- shareholder -meeting and navigating to the unique URL provided during the registration process.
Question: When can I join the virtual Meeting?
Answer: You may log into the Meeting platform by navigating to the unique URL provided during the registration process at any time before the commencement of the Meeting on November 6, 2025. The meeting will begin promptly at 1:00 p.m. Eastern Time.
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Question: How can I ask questions?
Answer: We encourage you to submit your questions in advance of the Meeting. This may be accomplished by submitting your questions during the registration process identified above. Questions can also be submitted in writing at any time during the Meeting by clicking the “Ask a Question” button, typing the question into the space provided in the virtual meeting platform, and clicking the “Submit” button.
Question: Why am I being asked to elect the Company’s Board of Directors?
Answer: Each of the Company’s Directors serves a term of office that generally commences, and subsequently ends, at an Annual General Meeting of Shareholders. At its September 18, 2025 meeting, the Board, upon recommendation by the Nominating and Governance Committee, nominated five individuals for election as Directors, Maryann Bruce, Karen Caldwell, Ketu Desai, Paul Kazarian, and Neal Neilinger, each to hold office as a Director of the Company until the next Annual General Meeting of Shareholders. Mses. Bruce and Caldwell and Messrs. Desai and Kazarian are each current Independent Directors of the Company.
Question: Why are the Company’s shareholders asked to ratify the Board’s appointment of the Company’s Independent Auditor and authorize the Audit and Ethics Committee of the Board to set the Independent Auditor’s remuneration?
Answer: Section 89 of the Companies Act 1981 of Bermuda (the “Companies Act”) grants ultimate authority to appoint the Company’s independent auditors to the shareholders of the Company. The independent auditor is nominated by the Audit and Ethics Committee of the Board, which submits the nomination to the Board for approval, which further submits it to the Company’s shareholders for approval of the appointment. The Companies Act dictates that the Independent Auditor will hold office until the close of the next Annual General Meeting. Additionally, the Companies Act provides that the Board may set the remuneration of an Independent Auditor approved by the shareholders of the Company if the shareholders authorize them to do so.
Question: How do I vote my shares?
Answer: Please indicate your voting instructions on the enclosed proxy card, sign and date the card, and return the card by mail in the postage -paid envelope provided. As an alternative to voting by mail, you may vote by telephone, via the Internet or at the virtual Meeting. To vote by telephone, please call the toll -free number listed on the proxy card. To vote via the Internet, please access the website listed on the proxy card. Please note that to vote by telephone or via the Internet, you will need the unique “control” number that appears on the enclosed proxy card.
If you hold your shares in “street name” through a broker, bank or other nominee, you should contact your nominee with your instructions for voting in advance of the virtual Meeting, including any request that your nominee provide you with a legal proxy. If you hold your shares in “street name,” you are strongly encouraged to vote your shares in advance of the virtual Meeting, as you will not be able to vote during the virtual Meeting itself unless you request and provide to the Company a legal proxy from your nominee. If you hold your shares directly and intend to vote during the virtual Meeting, please let us know by calling (866) 585 -6020 . Regardless of whether you plan to vote during the virtual Meeting, you may be required to provide valid identification, such as your driver’s license or passport, and satisfactory proof of ownership of shares in the Company, such as your voting instruction form (or a copy thereof) or a letter from your broker, bank or other nominee, or other nominee statement indicating ownership as of the close of business on September 24, 2025.
Question: When should I return my proxy?
Answer: The Company would like to receive your completed, signed, and dated proxy as soon as possible. You may submit your proxy by mail, telephone or via the Internet. Because your vote is important to us, you may receive a call from the Company or Computershare Trust Company, N.A. (“Computershare”), the Company’s proxy solicitor, reminding you to vote. Quick action on your part may save the Company time and costs.
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Question: What if I vote but do not make specific choices?
Answer: If you submit your proxy without marking voting selections, your shares will be voted, as applicable, “For” Proposals 1 and 2. If any other matter is properly presented at the Meeting, your proxyholder will vote your shares using his or her best judgment.
Question: Who is paying for this proxy solicitation?
Answer: The Company will pay for the entire cost of soliciting proxies. In addition to these proxy materials, our directors, officers and service provider personnel may also solicit proxies online, by telephone or by other means of communication, if necessary. Directors, officers and service provider personnel will not be paid any additional compensation for soliciting proxies. The Company may also reimburse brokerage firms, banks and other agents for the cost of forwarding proxy materials to beneficial owners.
Question: Have there been any changes to the Company’s service providers or corporate officers?
Answer: Yes. Effective October 1, 2025, SSC Fund Services will serve as the Company’s fund accountant and fund administrator. In addition, Messrs. James Chekos and Thomas Perugini will replace Mr. Zachary Tackett and Ms. Karen Shaw as the Company’s Secretary and Principal Financial Officer, respectively. Additional information regarding the Company’s officers may be found in the enclosed Proxy Statement.
Question: What if I have other questions?
Answer: If you have any questions about any proposal or need assistance voting your shares, please call Computershare, the Company’s proxy solicitor, toll -free at (866) 585 -6020 .
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ASA GOLD AND PRECIOUS METALS LIMITED
Three Canal Plaza
Portland, Maine 04101
NOTICE OF ANNUAL GENERAL MEETING OF SHAREHOLDERS
November 6, 2025
NOTICE IS HEREBY GIVEN that the Annual General Meeting of Shareholders (the “Meeting”) of ASA Gold and Precious Metals Limited (the “Company”) will be conducted via live webcast on November 6, 2025, at 1:00 p.m., Eastern Time, at www.merkinvestments.com/asa -shareholder -meeting , for the purpose of considering and acting upon the following business:
1. To elect the Company’s Board of Directors;
2. To ratify and approve the appointment of Tait, Weller Baker LLP, an independent registered public accounting firm, as the Company’s independent auditors for the fiscal year ending November 30, 2025, and to authorize the Audit and Ethics Committee of the Board of Directors to set the independent auditors’ remuneration; and
3. Such other business as may properly come before the Meeting or any adjournment or postponement thereof.
The Board of Directors unanimously recommends that shareholders vote FOR each proposal.
During the Meeting, management will make available the Company’s audited financial statements for the fiscal year ended November 30, 2024.
The Board of Directors has fixed the close of business on September 24, 2025, as the record date for the determination of the shareholders of the Company entitled to receive notice of, and to vote at, the Meeting and any adjournment or postponement thereof.
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By order of the Board of Directors, |
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Zachary Tackett |
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Secretary |
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September 26, 2025 |
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YOUR VOTE IS IMPORTANT
NO MATTER HOW MANY SHARES YOU OWN
Whether or not you plan to attend the virtual Meeting via webcast, please vote your shares. In order that your shares may be represented at the Meeting, please vote your proxy as soon as possible by mail, telephone, or via the Internet as indicated on the enclosed proxy card. If voting by mail, you are requested to:
• Indicate your instructions on the proxy card;
• Date and sign the proxy card;
• Mail the proxy card promptly in the enclosed envelope which requires no postage if mailed within the continental United States; and
• Allow sufficient time for the proxy card to be received by 1:00 p.m. Eastern Time, on November 6, 2025. (However, proxies received after this date may still be voted in the event of an adjournment or postponement to a later date, or during the Meeting.)
If you sign, date, and return the proxy card but give no voting instructions for any proposal(s), the proxies will vote FOR such proposal(s). In order to avoid the additional expense of further solicitation, the Company asks that you mail your proxy card promptly.
As an alternative to voting by mail, you may vote by telephone or via the Internet, as follows:
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To vote by telephone: |
To vote via the Internet: |
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(1) Read the proxy statement and have your proxy card at hand. |
(1) Read the proxy statement and have your proxy card at hand. |
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(2) Call the toll -free number that appears on your proxy card. |
(2) Go to the website that appears on your proxy card. |
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(3) Enter the control number set forth on the proxy card and follow the simple instructions. |
(3) Enter the control number set forth on the proxy card and follow the simple instructions. |
The Company encourages you to vote by telephone or via the Internet using the control number that appears on your enclosed proxy card. Voting by telephone or Internet will reduce the time and costs associated with this proxy solicitation. Whichever method you choose, please read the enclosed Proxy Statement carefully before you vote.
If you have any questions regarding the proposals or need assistance voting your shares, please contact Computershare, the Company’s proxy solicitor, toll -free at (866) 585 -6020 .
If the Company does not receive your voting instructions, you may be contacted by the Company or by Computershare to remind you to vote.
If you hold your shares in “street name” through a broker, bank or other nominee, you should contact your nominee with your instructions for voting in advance of the virtual Meeting to request your nominee provide you with a legal proxy in order to vote your shares. If you hold your shares in “street name,” you will be unable to vote during the virtual Meeting unless you request and provide to the Company a legal proxy from your nominee.
_______________________________________________________________
Important Notice Regarding the Availability of Proxy Materials
for the Annual General Meeting of Shareholders to be held on November 6, 2025.
This
Notice, the Proxy Statement, and the Annual Report of the
Company
for the fiscal year ended November 30, 2024, are available at
www.asaltd.com
/
proxymaterial
.
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ASA GOLD AND PRECIOUS METALS LIMITED
Three Canal Plaza
Portland, Maine 04101
__________________________
PROXY STATEMENT
__________________________
ANNUAL GENERAL MEETING OF SHAREHOLDERS
November 6, 2025
SOLICITATION AND REVOCATION OF PROXIES
You are being asked by the Board of Directors (the “Board”) of ASA Gold and Precious Metals Limited (the “Company”) to vote at the Annual General Meeting of Shareholders (the “Meeting”) to be held via webcast on November 6, 2025, at 1:00 p.m., Eastern Time (the Meeting and any adjournments or postponements thereof are referred to herein as the “Meeting”). Shareholders who execute proxy cards or provide voting instructions by telephone or via the Internet may revoke them at any time before the proxy is used at the Meeting by delivering a duly executed proxy bearing a later date, by submitting a letter of revocation delivered to James Chekos, Secretary, at ASA Gold and Precious Metals Limited, 190 Middle Street, Suite 401, Portland, Maine 04101, or to him or his designee at the Meeting. If you hold shares through a broker, bank or other nominee, please consult your broker, bank or nominee regarding your ability to revoke voting instructions after such instructions have been provided.
The expense of preparing, assembling, printing and mailing the Proxy Statement, accompanying Notice, proxy card and any other material used for the solicitation of proxies by the Board will be paid by the Company. The Company has retained Computershare Trust Company, N.A., P.O. Box 43078, Providence, RI 02940 (“Computershare”) to assist in the preparation of the proxy statement and in the tabulation and solicitation of proxies, as necessary. Such solicitation, if necessary, will primarily be by mail and telephone. As compensation for any such solicitation assistance, Computershare would receive a fee estimated to be up to approximately $10,000. Computershare will also be reimbursed for out -of -pocket costs in connection with the solicitation, if necessary. In addition to the solicitation of proxies by use of the mails, directors and officers of the Company may solicit proxies by telephone, electronic communications or personal contact, for which they will not receive any additional compensation. The Company will reimburse brokers, nominees and fiduciaries that are registered owners of shares of the Company for the out -of -pocket and clerical expenses of transmitting copies of the proxy materials to the beneficial owners of such shares. The approximate mailing date of this Proxy Statement, accompanying Notice, and the proxy card will be September 26, 2025.
The Annual Report of the Company for the fiscal year ended November 30, 2024 is available on the Company’s website at https: // www.asaltd.com /investor -information . A Notice of Internet Availability of Annual Report will be disseminated in conjunction with the mailing of this Proxy Statement. If you prefer to receive printed copies, you may request printed copies to be mailed, or elect to receive printed reports in the future, at no charge. You will not receive printed copies of your shareholder reports unless you make a request. To request current and future reports in print, please call 1 -800-432-3378 .
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VOTING AT THE MEETING
Only registered shareholders as of the close of business on September 24, 2025 (the “Record Date”) will be entitled to vote at the Meeting. There were 18,872,332 common shares of the Company, par value
$1.00 per share (“common shares”), outstanding on that date, each of which entitles the holder to one vote. Shareholders do not have appraisal rights in connection with the proposals in this Proxy Statement. Each valid proxy received at or before the Meeting will be voted at the Meeting in accordance with the instructions provided. If a shareholder has signed a proxy card but no instructions are indicated, the named proxies will vote FOR each of the following proposals: (i) to elect as directors each of the nominees listed on the proxy card; and (ii) to approve the appointment of Tait, Weller Baker LLP, an independent registered public accounting firm, as the Company’s independent auditors for the fiscal year ending November 30, 2025, and to authorize the Audit and Ethics Committee of the Board to set the independent auditors’ remuneration, in addition to such other matters as may properly come before the Meeting.
Shareholders may provide their proxies by mail, by telephone, or via the Internet, and may so vote through the duration of the virtual Meeting. If your shares are registered in your name, the Company encourages you to provide your proxy by telephone by calling toll -free 1 -800-337-3503 or, if you have Internet access, via the Internet at www. proxy -direct .com . When you provide your proxy by telephone or via the Internet, your instructions are recorded immediately and there is no risk that postal delays will cause your proxy to arrive late and therefore not be counted. If you hold your shares in “street name” through a broker, bank or other nominee, your nominee may allow you to provide voting instructions by telephone or via the Internet. Please consult the materials you receive from your nominee prior to providing your proxy by telephone or via the Internet. Shareholders who plan to vote during the webcast should call (866) 585 -6020 . If you hold your shares in “street name,” you are encouraged to vote in advance of the virtual Meeting, as you will be unable to vote during the virtual Meeting itself unless you request and provide to the Company a legal proxy from your nominee. If you hold your shares in “street name,” you must request your nominee to provide you with a legal proxy in order to vote your shares.
If you have any questions regarding the proposals or need assistance voting your shares, please contact the Company’s proxy solicitor, Computershare, toll -free at (866) 585 -6020 .
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SHARE OWNERSHIP OF CERTAIN BENEFICIAL OWNERS
The table below sets forth certain information, based on SEC filings, regarding any person or “group” (as that term is used in Section 13(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”)) known to the Company to beneficially own more than 5% of the Company’s outstanding common shares, as of September 24, 2025. As of September 24, 2025, there were 18,872,332 common shares outstanding.
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Name and Address of Beneficial Owner |
Amount and
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Percentage of
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Saba Capital Management, L.P.
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4,650,898 |
(1) |
24.64 |
% |
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Lazard Asset Management LLC
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2,376,377 |
(2) |
12.59 |
% |
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Morgan Stanley Smith Barney LLC
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1,197,203 |
(3) |
6.34 |
% |
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Sessa Capital GP, LLC
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1,050,000 |
(4) |
5.56 |
% |
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Name, Address and Age (1) |
Position Held,
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Principal Occupation
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Other
Directorships During
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Independent Directors*: |
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Maryann Bruce, 65 |
Director since 2025; Chair of the Nominating and Governance Committee since 2025 |
President of Turnberry Advisory Group, a private consulting firm, since 2007. |
Director, Amalgamated Bank (NASDAQ: AMAL) since 2018; Director, Pop Venture Fund, a registered closed -end interval fund, 2024 – 2025; Director, NextPoint Financial, Inc. (TSX: NPF.U), a financial services organization supporting underserved consumers and small businesses, 2023. |
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Karen Caldwell, 66 |
Director since 2025; Chair of the Audit and Ethics Committee since 2025 |
Chief Financial Officer of Tides Network, a non -profit organization dedicated to advancing social justice since 2024; Chief Financial Officer of Reform Alliance, a non -profit organization dedicated to probation reform, from 2019 to 2024. |
Trustee, Saba Capital Income Opportunities Fund (NYSE: BRW), a closed -end fund, since 2020; Trustee, Saba Capital Income Opportunities Fund II (NYSE: SABA), a closed -end fund, since 2023; Trustee, Finite Solar Finance Fund from 2021 to 2023. |
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Name, Address and Age (1) |
Position Held,
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Principal Occupation
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Other
Directorships During
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Ketu Desai, 43 |
Director since 2024 |
Founding partner and Principal of i -squared Wealth Management, Inc., a private wealth investment management firm, since 2016. Chief Investment Officer of Centerfin, 2020 – 2024 |
Trustee, Saba Capital Income Opportunities Fund (NYSE: BRW), a closed -end fund, since 2020; Trustee, Saba Capital Income Opportunities Fund II (NYSE: SABA), a closed -end fund, since 2023. |
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Paul Kazarian, 41 |
Chair of the Board since 2025; Director since 2024 |
Portfolio Manager, Saba Capital Management, L.P., since 2013. |
Trustee, Saba Capital Income Opportunities Fund II (NYSE: SABA), a closed -end fund, since May 2021; Director, Miller/Howard High Income Equity Fund (NYSE: HIE), a closed -en d fund, 2022 – 2024; Director, Destra Multi- Alternative Fund (NYSE: DMA), a closed -end fund, since October 2023. |
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Neal Neilinger, 61 |
N/A |
Founder, Congressional Capital Management LLC, since 2023; Head of Family Office Coverage, Jefferies Financial Group Inc. (NYSE: JEF), 2021 – 2023; Advisor to the Chairman, New York Private Bank Trust, 2016 – 2021. |
Trustee, Saba Capital Income Opportunities Fund (NYSE: BRW), a closed -end fund, 2020 – 2021; Director, Sabal Palm Bank, 2013 – 2022. |
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Officers: |
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Peter Maletis, 54 |
President since March 2019 |
Vice President — Gold Precious Metals Research, Merk Investments LLC, since 2019 |
None |
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Alexander Merk, 56 |
Chief Operating Officer and Principal Executive Officer since March 2019 |
President and Chief Investment Officer, Merk Investments LLC, since 2001 |
Merk Stagflation ETF (Cayman) 2022 – 2024 |
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Patrick Keniston, 61 |
Chief Compliance Officer since September 2025 |
Managing Director, Foreside Fund Officer Services, LLC, since 2008 |
None |
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Karen Shaw**, 53 |
Principal Financial Officer, March 2019 –
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Senior Vice President, Apex Fund Services since March 2019; Senior Vice President, Atlantic Fund Services 2008 – 2019 |
None |
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Name, Address and Age (1) |
Position Held,
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Principal Occupation
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Other
Directorships During
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Zachary Tackett**, 37 |
Secretary, November 2019 –
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Senior Counsel, Apex Fund Services, since October 2019; Counsel, Atlantic Fund Services, February 2014 – 2019 |
None |
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Thomas Perugini**, 55 |
Principal Financial Officer since October 2025 |
Senior Principal Consultant/Principal Financial Officer, Foreside Fund Officer Services, LLC, since 2023; Vice President, Fund Administration Product, State Street Corp, 2019 – 2023 |
None |
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James Chekos**, 47 |
Secretary since October 2025 |
Senior Principal Consultant, Foreside Fund Officer Services, LLC, since 2018 |
None |
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Name |
Aggregate
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Estimated
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Independent Directors |
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Maryann Bruce |
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N/A |
N/A |
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Karen Caldwell |
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N/A |
N/A |
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Ketu Desai |
$ |
26,377 |
N/A |
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Paul Kazarian |
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N/A |
N/A |
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Former Directors* |
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Anthony Artabane |
$ |
6,992 |
N/A |
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William Donovan |
$ |
60,463 |
N/A |
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Bruce Hansen |
$ |
32,659 |
N/A |
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Mary Joan Hoene |
$ |
71,000 |
N/A |
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Name of Beneficial Owner |
Amount of
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Percentage of
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Aggregate Dollar Range
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Independent Directors: |
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Maryann Bruce |
None |
N/A |
None |
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Karen Caldwell |
None |
N/A |
None |
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Ketu Desai |
None |
N/A |
None |
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Paul Kazarian |
None |
N/A |
None |
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Executive Officers: |
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Alexander Merk |
317,660 |
1.68% |
Over $100,000 |
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Peter Maletis |
1,000 |
0.01% |
$10,001 – $50,000 |
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Karen Shaw |
None |
N/A |
N/A |
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Jack Huntington |
None |
N/A |
N/A |
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Zachary Tackett |
None |
N/A |
N/A |
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All Directors and Executive Officers as a group: |
318,660 |
1.69% |
Over $100,000 |
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Fiscal Year
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Fiscal Year
|
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Audit Fees |
$ |
30,000 |
$ |
30,000 |
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Audit-Related Fees |
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0 |
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0 |
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Tax Fees |
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5,000 |
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5,000 |
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All Other Fees |
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0 |
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0 |
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Total |
$ |
35,000 |
$ |
35,000 |
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