| | | | | 1 | | | |
| | | | | 3 | | | |
| | | | | 8 | | | |
| | | | | 11 | | | |
| | | | | 12 | | | |
| | | | | 21 | | | |
| | | | | 25 | | | |
| | | | | 27 | | | |
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| | | | | 43 | | | |
| | | | | 43 | | |
Name
|
| |
Year
Initially Elected |
| |
Age(1)
|
| |
Position(s)
|
| |
Expiration of
Term |
| |
Class
|
|
Dov A. Goldstein, M.D.(2)
|
| |
2019
|
| |
54
|
| | Director | | |
2024
|
| |
I
|
|
Gerry J. McDougall(3)(4)
|
| |
2021
|
| |
55
|
| | Director | | |
2022
|
| |
II
|
|
Franklyn G. Prendergast, M.D., Ph.D.(2)(4)
|
| |
2019
|
| |
77
|
| | Director | | |
2023
|
| |
III
|
|
Eric I. Richman(2)(3)(4)
|
| |
2019
|
| |
61
|
| | Director | | |
2024
|
| |
I
|
|
Dietrich Stephan, Ph.D
|
| |
2019
|
| |
52
|
| | Chairman, President and Chief Executive Officer | | |
2022
|
| |
II
|
|
Eric Ende, M.D(3)(4)
|
| |
2022
|
| |
54
|
| | Director | | |
2023
|
| |
III
|
|
Gender
|
| |
Female
|
| |
Male
|
| ||||||
Number of Directors based on gender identity
|
| | | | 0 | | | | | | 6 | | |
Number of Directors Who Self-Identify In any Category Below | | | | | | | | | | | | | |
African American or Black
|
| | | | 0 | | | | | | 0 | | |
Hispanic or Latinx
|
| | | | 0 | | | | | | 0 | | |
White or Caucasian
|
| | | | 0 | | | | | | 5 | | |
Asian
|
| | | | 0 | | | | | | 0 | | |
LGBQT+
|
| | | | 0 | | | | | | 0 | | |
Information not provided
|
| | | | 0 | | | | | | 1 | | |
| | |
2021
|
| |
2020
|
| ||||||
Audit Fees(1):
|
| | | $ | 272,950 | | | | | $ | 455,620 | | |
Audit-Related Fees(2):
|
| | | | — | | | | | | — | | |
Tax Fees(3):
|
| | | | — | | | | | | — | | |
All Other Fees(4):
|
| | | | — | | | | | | — | | |
Total All Fees:
|
| | | $ | 272,950 | | | | | $ | 455,620 | | |
| | |
Pre-Reverse
Split |
| |
Post-Reverse Split
|
| ||||||||||||||||||||||||
|
5:1
|
| |
10:1
|
| |
15:1
|
| |
20:1
|
| ||||||||||||||||||||
Authorized
|
| | | | 250,000,000 | | | | | | 250,000,000 | | | | | | 250,000,000 | | | | | | 250,000,000 | | | | | | 250,000,000 | | |
Outstanding
|
| | | | (32,258,657) | | | | | | (6,451,731) | | | | | | (3,225,866) | | | | | | (2,150,577) | | | | | | (1,612,933) | | |
Reserved for future issuance pursuant to employee benefit plans
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Reserved for future issuance pursuant to outstanding options
|
| | | | (8,360,896) | | | | | | (1,672,179) | | | | | | (836,090) | | | | | | (557,393) | | | | | | (418,045) | | |
Reserved for future issuance pursuant to outstanding warrants
|
| | | | (180,000) | | | | | | (36,000) | | | | | | (18,000) | | | | | | (12,000) | | | | | | (9,000) | | |
Authorized but unissued and unreserved
|
| | | | 209,200,447 | | | | | | 241,840,089 | | | | | | 245,920,045 | | | | | | 247,280,030 | | | | | | 247,960,022 | | |
Name
|
| |
Age
|
| |
Position
|
|
Dietrich Stephan, Ph.D.
|
| |
52
|
| | Chief Executive Officer and Director | |
Todd Branning
|
| |
52
|
| | Chief Financial Officer and Secretary | |
William Mann, Ph.D.
|
| |
61
|
| | President and Chief Operating Officer | |
Sandra Rojas-Caro, M.D.
|
| |
53
|
| | Head of Research & Development and Chief Medical Officer | |
Name and Position(s)
|
| |
Year
|
| |
Salary
|
| |
Bonus(1)
|
| |
Option
Awards(2) |
| |
Non-Equity
Incentive Plan Compensation |
| |
All Other
Compensation(3) |
| |
Total
|
| |||||||||||||||||||||
Dietrich Stephan,
Ph.D., Chief Executive Officer |
| | | | 2021 | | | | | $ | 469,149 | | | | | $ | 196,875 | | | | | $ | 799,886 | | | | | $ | — | | | | | $ | 47,808 | | | | | $ | 1,513,717 | | |
| | | 2020 | | | | | $ | 441,346 | | | | | $ | — | | | | | $ | — | | | | | $ | — | | | | | $ | 47,475 | | | | | $ | 488,821 | | | ||
Sam Backenroth,
Former Chief Financial Officer |
| | | | 2021 | | | | | $ | 363,462 | | | | | $ | 140,000 | | | | | $ | 639,023 | | | | | $ | — | | | | | $ | 23,330 | | | | | $ | 1,165,814 | | |
| | | 2020 | | | | | $ | 320,000 | | | | | $ | 20,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 18,524 | | | | | $ | 358,524 | | | ||
William Mann,
Ph.D., Chief Operating Officer(4) |
| | | | 2021 | | | | | $ | 381,923 | | | | | $ | 62,500 | | | | | $ | 61,750 | | | | | $ | — | | | | | $ | 25,975 | | | | | $ | 532,149 | | |
| | | 2020 | | | | | $ | 57,692 | | | | | $ | 45,000 | | | | | $ | 917,000 | | | | | $ | — | | | | | $ | 3,663 | | | | | $ | 1,023,355 | | |
Name
|
| |
Year
|
| |
401(k)
Company |
| |
Group Term
|
| |
Health Benefits
|
| |
Life
Insurance |
| |
Paid Time
Off Buy Back |
| |
Total Other
Compensation |
| |||||||||||||||||||||
Dietrich Stephan, Ph.D.
Chief Executive Officer |
| | | | 2021 | | | | | | — | | | | | $ | — | | | | | $ | 25,716 | | | | | $ | 22,092 | | | | | | — | | | | | $ | 47,808 | | |
| | | 2020 | | | | | | — | | | | | $ | — | | | | | $ | 21,761 | | | | | | 25,714 | | | | | | — | | | | | $ | 47,475 | | | ||
Sam Backenroth
Former Chief Financial Officer |
| | | | 2021 | | | | | | 1,283 | | | | | $ | 420 | | | | | $ | 21,627 | | | | | | — | | | | | | — | | | | | $ | 23,330 | | |
| | | 2020 | | | | | | — | | | | | $ | — | | | | | $ | 18,524 | | | | | | — | | | | | | — | | | | | $ | 18,524 | | | ||
William Mann, Ph.D.
Chief Operating Officer |
| | | | 2021 | | | | | | — | | | | | $ | 454 | | | | | $ | 25,522 | | | | | | — | | | | | | — | | | | | $ | 25,976 | | |
| | | 2020 | | | | | | — | | | | | $ | — | | | | | | 3,663 | | | | | | — | | | | | | — | | | | | $ | 3,663 | | |
| | |
Option Awards
|
| |
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 ($) |
| |
Option
Expiration Date(1) |
| |
Number of
Shares or Units of Stock That Have Not Vested (#) |
| |
Market Value
of Shares or Units of Stock That Have Not Vested ($) |
| |
Equity
Incentive Plan Awards: Number of Unearned shares, Units or Other Rights That Have Not Vested (#) |
| |
Equity
Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested ($) |
| |||||||||||||||||||||||||||
Dietrich Stephan, Ph.D.
|
| | | | 3,311,930 | | | | | | | | | | | | — | | | | | $ | 0.001 | | | | | | 12/31/2028 | | | | | | — | | | | | | — | | | | | | — | | | | | $ | — | | |
Sam Backenroth
|
| | | | 772,923(2) | | | | | | | | | | | | — | | | | | $ | 5.39 | | | | | | 7/12/2029 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | 17,500(3) | | | | | | | | | | | | — | | | | | $ | 13.40 | | | | | | 3/31/2024 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
William Mann, Ph.D.
|
| | | | 51,041 | | | | | | 123,959(4) | | | | | | — | | | | | $ | 7.46 | | | | | | 7/27/2030 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | | | | | | | 25,000(5) | | | | | | | | | | | $ | 3.46 | | | | | | 8/19/2031 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Name
|
| |
Cash
Compensation(1) |
| |
Option Grants(2)
|
| |
Stock Awards(3)
|
| |
Total
|
| ||||||||||||
Dov A. Goldstein, M.D.
|
| | | $ | 55,000 | | | | | $ | 90,380 | | | | | $ | — | | | | | $ | 145,380 | | |
Diego Miralles, M.D.(4)
|
| | | $ | 23,803 | | | | | $ | — | | | | | $ | — | | | | | $ | 23,803 | | |
Franklyn G. Prendergast, M.D., Ph.D.
|
| | | $ | 52,500 | | | | | $ | 90,380 | | | | | $ | — | | | | | $ | 142,880 | | |
Eric I. Richman
|
| | | $ | 45,590 | | | | | $ | 90,380 | | | | | $ | — | | | | | $ | 135,970 | | |
Gerry J, McDougall(5)
|
| | | $ | 16,997 | | | | | $ | 90,380 | | | | | $ | — | | | | | $ | 107,377 | | |
Name and Address of Beneficial Owner
|
| |
Number of Shares
Beneficially Owned |
| |
Percentage of
Class (%)(1) |
| ||||||
Dietrich Stephan, Ph.D., Director and Chief Executive Officer(2)
|
| | | | 4,636,743 | | | | | | 14.4% | | |
Greenlight Capital, Inc.(3)
|
| | | | 2,727,027 | | | | | | 8.5% | | |
Directors and Named Executive Officers(4) | | | | | | | | | | | | | |
Todd Branning, Chief Financial Officer(5)
|
| | | | 30,000 | | | | | | * | | |
William Mann, Ph.D., President and Chief Operating Officer(6)
|
| | | | 108,596 | | | | | | * | | |
Sandra Rojas-Caro, M.D., Head of Research & Development and Chief Medical Officer(7)
|
| | | | 87,500 | | | | | | * | | |
Dov A. Goldstein, M.D., Director(8)
|
| | | | 274,181 | | | | | | * | | |
Gerry J. McDougall, Director(9)
|
| | | | 40,274 | | | | | | * | | |
Franklyn G. Prendergast, M.D., Ph.D., Director(10)
|
| | | | 244,181 | | | | | | * | | |
Eric I. Richman, Director(11)
|
| | | | 289,141 | | | | | | * | | |
Eric Ende, Director
|
| | | | — | | | | | | — | | |
All current executive officers and directors as a group (nine persons)(12)
|
| | | | 5,710,616 | | | | | | 17.7% | | |