Name and Address of Beneficial Owner (1) Shares Beneficially Owned (2) Percent of Class Certain Beneficial Owners:
Richard Mah and Mary Mah, as joint tenants 28,500,000 (3) 6.63 % James Stout and Sally Stout, as joint tenants 28,014,750 (4) 6.52 %
Directors/Named Executive Officers:
Mark Cola 32,016,000 7.45 % Dr. Vivek Dave 32,016,000 7.45 % Richard Mah 31,000,200 (3) 7.21 % James Stout 30,514,800 (4) 7.10 % Valerie V. Vekkos 5,001,000 (5) 1.16 %
All Named Executive Officers and Directors as a group (5 persons) 130,548,000 30.38 %
(1) Unless otherwise indicated, the address of each person listed is c/o Sigma Labs, Inc., 223 East Palace Avenue, Suite B, Santa Fe, New Mexico 87501. (2) For purposes of this table, shares are considered beneficially owned if the person directly or indirectly has the sole or shared power to vote or direct the voting of the securities or the sole or shared power to dispose of or direct the disposition of the securities. Shares are also considered beneficially owned if a person has the right to acquire beneficial ownership of the shares within 60 days of March 30, 2012. (3) Consists of 28,500,000 shares of common stock which are owned by Richard Mah and Mary Mah as joint tenants, with the shared power to vote or dispose of such shares. (4) Consists of 28,014,750 shares of common stock which are owned by James Stout and Sally Stout as joint tenants, with the shared power to vote or dispose of such shares. (5) Consists of 2,001,000 shares owned of record by Valerie V. Vekkos, as Trustee of the Valerie V. Vekkos Trust, UAD 09/20/1994, and 3,000,000 shares owned by Zephyr Equities, Inc., a corporation owned and controlled by Valerie V. Vekkos.
Name and Address of Beneficial Owner (1) Shares Beneficially Owned (2) Percent of Class
Directors/Named Executive Officer: Mark J. Cola 32,016,000 (3) 5.30 % Michael Thacker 4,612,500 * Tom O'Mara 500,000 (4) *
All Executive Officers and Directors as a group (4 persons) 37,128,500 6.15 %
Owners of More Than 5% of Common Stock: Mark J. Cola 32,016,000 (3) 5.30 % Rockville Asset Management Ltd. (5) 58,009,259 (6) 9.61 %
* Less than 1%
(1) Unless otherwise indicated, the address of each person listed is c/o Sigma Labs, Inc., 100 Cienega Street, Suite C, Santa Fe, New Mexico 87501. (2) For purposes of this table, shares are considered beneficially owned if the person directly or indirectly has the sole or shared power to vote or direct the voting of the securities or the sole or shared power to dispose of or direct the disposition of the securities. Shares are also considered beneficially owned if a person has the right to acquire beneficial ownership of the shares within 60 days of March 31, 2014. (3) The shares shown are owned of record by The Mark & Amanda Cola Revocable Trust, U/A August 31, 2012. (4) Of the shares shown, 200,000 are currently unvested. (5) The address of Rockville Asset Management Ltd. is RM 6A, Unit K, Yihong Xuan, Zhujiang Di Jing, Yizhou Road in Guangzhou City, China, 510300. (6) Of the shares shown, 14,259,259 represent shares underlying a nine-month warrant issued by the Company on January 10, 2014.
