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Name
|
| |
Year
Initially Elected |
| |
Age
|
| |
Position(s)
|
| |
Expiration of
Term |
| |
Class
|
|
Dov A. Goldstein, M.D.(2)(4)
|
| |
2019
|
| |
53
|
| | Director | | |
2021
|
| |
I
|
|
Gerry J. McDougall(3)(4)
|
| |
2021
|
| |
54
|
| | Director | | |
2022
|
| |
II
|
|
Franklyn G. Prendergast, M.D., Ph.D.(2)(4)
|
| |
2019
|
| |
76
|
| | Director | | |
2023
|
| |
III
|
|
Eric I. Richman(2)(3)
|
| |
2019
|
| |
60
|
| | Director | | |
2021
|
| |
I
|
|
Dietrich Stephan, Ph.D.
|
| |
2019
|
| |
51
|
| | Chairman, President and Chief Executive Officer | | |
2022
|
| |
II
|
|
| | |
2020
|
| |
2019
|
| ||||||
Audit Fees(1):
|
| | | $ | 455,620 | | | | | $ | 480,401 | | |
Audit-Related Fees(2):
|
| | | | — | | | | | | — | | |
Tax Fees(3):
|
| | | | — | | | | | | — | | |
All Other Fees(4):
|
| | | | — | | | | | | — | | |
Total All Fees:
|
| | | $ | 455,620 | | | | | $ | 480,401 | | |
Name
|
| |
Age
|
| |
Position
|
|
Dietrich Stephan, Ph.D.
|
| |
51
|
| |
President, Chief Executive Officer and Director
|
|
Sam Backenroth
|
| |
37
|
| |
Chief Financial Officer, Treasurer and Secretary
|
|
William Mann, Ph.D.
|
| |
60
|
| | Chief Operating Officer | |
Sandra Rojas-Caro, M.D.
|
| |
52
|
| | Chief Medical Officer | |
Kia Motesharei, Ph.D.
|
| |
51
|
| | Chief Business and Strategy Officer | |
Name and Position
|
| |
Year
|
| |
Salary
|
| |
Bonus(1)
|
| |
Option
Awards(2) |
| |
Non-Equity
Incentive Plan Compensation |
| |
All Other
Compensation(3) |
| |
Total
|
| |||||||||||||||||||||
Dietrich Stephan,
|
| | | | 2020 | | | | | $ | 441,346 | | | | | $ | 157,500(4) | | | | | $ | — | | | | | $ | — | | | | | $ | 47,475 | | | | | $ | 646,321 | | |
Ph.D., Chief Executive Officer
|
| | | | 2019 | | | | | $ | 135,577 | | | | | $ | 332,500 | | | | | $ | 3,347,500 | | | | | $ | — | | | | | $ | 19,199 | | | | | $ | 3,834,776 | | |
Sam Backenroth,
|
| | | | 2020 | | | | | $ | 320,000 | | | | | $ | 132,000(4) | | | | | $ | — | | | | | $ | — | | | | | $ | 18,524 | | | | | $ | 470,524 | | |
Chief Financial Officer
|
| | | | 2019 | | | | | $ | 223,539 | | | | | $ | 227,000 | | | | | $ | 2,937,107 | | | | | $ | — | | | | | $ | 18,618 | | | | | $ | 3,406,264 | | |
William Mann, Ph.D., Chief
|
| | | | 2020 | | | | | $ | 57,692 | | | | | $ | 107,500 | | | | | $ | 917,000 | | | | | $ | — | | | | | $ | 3,663 | | | | | $ | 1,085,855 | | |
Operating Officer
|
| | | | 2019(5) | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
Name
|
| |
Year
|
| |
401(k)
Company |
| |
Group Term
|
| |
Health Benefits
|
| |
Life
Insurance |
| |
Paid Time
Off Buy Back |
| |
Total Other
Compensation |
| |||||||||||||||||||||
Dietrich Stephan, Ph.D.,
|
| | | | 2020 | | | | | | — | | | | | $ | — | | | | | $ | 21,761 | | | | | $ | 25,714 | | | | | | — | | | | | $ | 47,475 | | |
Chief Executive Officer
|
| | | | 2019 | | | | | | — | | | | | $ | 239 | | | | | $ | 18,960 | | | | | | — | | | | | | — | | | | | $ | 19,199 | | |
Sam Backenroth,
|
| | | | 2020 | | | | | | — | | | | | $ | — | | | | | $ | 18,524 | | | | | | — | | | | | | — | | | | | $ | 18,524 | | |
Chief Financial Officer
|
| | | | 2019 | | | | | | — | | | | | $ | 195 | | | | | $ | 18,423 | | | | | | — | | | | | | — | | | | | $ | 18,618 | | |
William Mann, Ph.D.,
|
| | | | 2020 | | | | | | — | | | | | $ | — | | | | | $ | 3,663 | | | | | | — | | | | | | — | | | | | $ | 3,663 | | |
Chief Operating Officer
|
| | | | 2019 | | | | | | — | | | | | $ | — | | | | | $ | — | | | | | | — | | | | | | — | | | | | $ | — | | |
| | |
Option Awards(1)
|
| |
Stock Awards
|
| ||||||||||||||||||||||||||||||||||||||||||||||||
Name
|
| |
Number of
Securities Underlying Unexercised Options Exercisable (#) |
| |
Number of
Securities Underlying Unexercised Options Non- Exercisable (#) |
| |
Equity
Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Options (#) |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| |
Number of
Shares or Units of Stock That Have Not Vested (#) |
| |
Market Value
of Shares or Units of Stock That Have Not Vested ($) |
| |
Equity
Incentive Plan Awards: Number of Unearned shares, Units or Other Rights That Have Not Vested (#)(4) |
| |
Equity
Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested ($)(5) |
| |||||||||||||||||||||||||||
Dietrich Stephan, Ph.D.
|
| | | | 3,311,930 | | | | | | — | | | | | | — | | | | | $ | 0.001 | | | | | | 12/31/2028(1) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Sam Backenroth
|
| | | | 225,436 | | | | | | 547,487(2) | | | | | | — | | | | | $ | 5.39 | | | | | | 7/12/2029(1) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | 17,500(3) | | | | | | — | | | | | | — | | | | | $ | 13.40 | | | | | | 10/15/2022(5) | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
William Mann, Ph.D.
|
| | | | — | | | | | | 175,000(4) | | | | | | — | | | | | $ | 7.46 | | | | | | 7/27/2030 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Name
|
| |
Cash
Compensation(1) |
| |
Option Grants(2)
|
| |
Stock Awards(3)
|
| |
Total
|
| ||||||||||||
Dov A. Goldstein, M.D.
|
| | | $ | 25,000 | | | | | $ | 89,999 | | | | | $ | — | | | | | $ | 114,999 | | |
Diego Miralles, M.D.(4)
|
| | | $ | 25,000 | | | | | $ | 89,999 | | | | | $ | — | | | | | $ | 114,999 | | |
Franklyn G. Prendergast, M.D., Ph.D.
|
| | | $ | 25,000 | | | | | $ | 89,999 | | | | | $ | — | | | | | $ | 114,999 | | |
Eric I. Richman
|
| | | $ | 25,000 | | | | | $ | 89,999 | | | | | $ | — | | | | | $ | 114,999 | | |
Gerry McDougall(5)
|
| | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | — | | |
Name and Address of Beneficial Owner
|
| |
Number of Shares
Beneficially Owned |
| |
Percentage of Class
(%)(1) |
| ||||||
Dietrich Stephan, Ph.D.(2)
|
| | | | 4,610,274 | | | | | | 12.8% | | |
Greenlight Capital, Inc.(3)
|
| | | | 1,903,227 | | | | | | 5.8% | | |
Directors and Named Executive Officers(4) | | | | | | | | | | | | | |
Sam Backenroth, Chief Financial Officer(5)
|
| | | | 434,195 | | | | | | 1.3% | | |
William Mann, Ph.D., Chief Operating Officer
|
| | | | 5,000 | | | | | | * | | |
Sandra Rojas-Caro, M.D., Chief Medical Officer
|
| | | | — | | | | | | * | | |
Kia Motesharei, Ph.D., Chief Business and Strategy Officer
|
| | | | — | | | | | | * | | |
Dov A. Goldstein, M.D., Director(6)
|
| | | | 187,868 | | | | | | * | | |
Gerry J. McDougall, Director
|
| | | | — | | | | | | * | | |
Franklyn G. Prendergast, M.D., Ph.D., Director(7)
|
| | | | 157,868 | | | | | | * | | |
Eric I. Richman, Director (8)
|
| | | | 198,948 | | | | | | * | | |
All current executive officers and directors as a group (nine persons)
|
| | | | 5,594,153 | | | | | | 15.2% | | |