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SEC Filings

SEVEN STARS CLOUD GROUP, INC. filed this Form DEF 14A on 11/20/2017
Entire Document


Securities Authorized for Issuance under Equity Compensation Plans


The following table includes the information as of December 31, 2016 for each category of our equity compensation plan:


Plan category  Number of securities
to be issued upon
exercise of outstanding
options and rights (a)
average exercise
price of
options and
rights (b)
   Number of securities remaining
available for future issuance
under equity compensation
plans (excluding securities
reflected in column (a)) (c)
Equity compensation plans approved by security holders(1)   1,464,465   $2.42    2,535,535 
Equity compensation plans not approved by security holders   -    -    - 
Total   1,464,465         2,535,535 


(1) On December 3, 2010, our Board of Directors approved the Seven Stars Cloud Group, Inc. 2010 Equity Incentive Plan, or the Plan, pursuant to which incentive stock options, non-statutory stock options, restricted stock, restricted stock units, stock appreciation rights, performance units and performance shares may be granted to employees, directors and consultants of the Company and its subsidiaries. The maximum aggregate number of shares of our common stock that may be issued under the Plan is 4,000,000 shares. The Plan was also approved by our majority shareholders on December 3, 2010.


Section 16(a) Beneficial Ownership Reporting Compliance


Under U.S. securities laws, Directors, certain executive officers and persons holding more than 10% of our common stock must report their initial ownership of the common stock, and any changes in that ownership, to the SEC. The SEC has designated specific due dates for these reports. Based solely on our review of copies of such reports filed with the SEC by and written representations of our Directors and executive officers, we believe that our Directors and executive officers filed the required reports on time during 2016.