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| | | As of May 31, 2022 | | | Upon Effectiveness of Amendment | | ||||||
TOTAL AUTHORIZED SHARES OF COMMON STOCK | | | | | 150,000,000 | | | | | | 300,000,000 | | |
Outstanding shares of Common Stock | | | | | 90,357,032 | | | | | | 90,357,032 | | |
Shares of Common Stock authorized for future issuance under the Company’s incentive plans | | | | | 3,811,343 | | | | | | 3,811,343 | | |
Shares of Common Stock authorized for future issuance under the Company’s employee stock purchase plan | | | | | 1,573,486 | | | | | | 1,573,486 | | |
Shares of Common Stock subject to outstanding equity awards under the Company’s incentive plans | | | | | 20,772,701 | | | | | | 20,772,701 | | |
TOTAL OUTSTANDING SHARES OF COMMON STOCK, SHARES OF COMMON STOCK SUBJECT TO OUTSTANDING EQUITY AWARDS AND OPTIONS, AND SHARES OF COMMON STOCK AUTHORIZED FOR FUTURE ISSUANCE UNDER THE COMPANY’S INCENTIVE AND EMPLOYEE STOCK PURCHASE PLANS | | | | | 116,514,562 | | | | | | 116,514,562 | | |
SHARES OF COMMON STOCK AVAILABLE FOR ISSUANCE | | | | | 33,485,438 | | | | | | 183,485,438 | | |
Name | | | Positions and Offices Held with Rubius | | | Director Since | | | Age | | ||||||
Pablo J. Cagnoni, M.D. | | | Director, Chief Executive Officer, President | | | | | 2018 | | | | | | 58 | | |
Francis Cuss, M.B., B.Chir., FRCP | | | Director | | | | | 2018 | | | | | | 66 | | |
Sir Jonathan R. Symonds, CBE | | | Director | | | | | 2018 | | | | | | 62 | | |
Name | | | Positions and Offices Held with Rubius | | | Director Since | | | Class and Year in Which Term Will Expire | | | Age | | |||||||||
David R. Epstein | | | Director | | | | | 2017 | | | | | | Class I – 2022 | | | | | | 59 | | |
Natalie Holles | | | Director | | | | | 2019 | | | | | | Class I – 2022 | | | | | | 48 | | |
Anne Prener, M.D., Ph.D. | | | Director | | | | | 2019 | | | | | | Class I – 2022 | | | | | | 63 | | |
Noubar B. Afeyan, Ph.D. | | | Director | | | | | 2013 | | | | | | Class II – 2023 | | | | | | 58 | | |
Michael Rosenblatt, M.D. | | | Director | | | | | 2014 | | | | | | Class II – 2023 | | | | | | 73 | | |
Catherine A. Sohn, Pharm.D. | | | Director | | | | | 2018 | | | | | | Class II – 2023 | | | | | | 68 | | |
Name | | | Position Held with Rubius | | | Officer Since | | | Age | | ||||||
Jose Carmona | | | Chief Financial Officer | | | | | 2020 | | | | | | 49 | | |
Christina M. Coughlin, M.D., Ph.D. | | | Chief Medical Officer | | | | | 2020 | | | | | | 51 | | |
Laurence Turka, M.D. | | | Chief Scientific Officer | | | | | 2020 | | | | | | 63 | | |
Maiken Keson-Brookes | | | Chief Legal Officer and Corporate Secretary | | | | | 2019 | | | | | | 48 | | |
| | | | | | | 2020 | | | 2019 | | ||||||
| | | | Audit fees(1) | | | | $ | 582,500 | | | | | $ | 668,284 | | |
| | | | Audit-related fees | | | | | — | | | | | | — | | |
| | | | Tax fees | | | | | — | | | | | | — | | |
| | | | All other fees(2) | | | | | 2,700 | | | | | | 2,700 | | |
| | | | Total fees | | | | $ | 585,200 | | | | | $ | 670,984 | | |
| | | | Name | | | Fees Earned or Paid In Cash ($)(1) | | | Option Awards ($)(2)(3)(4)(5) | | | All Other Compensation ($) | | | Total ($) | | ||||||||||||
| | | | Noubar B. Afeyan, Ph.D. | | | | | 45,000 | | | | | | 91,550 | | | | | | — | | | | | | 136,550 | | |
| | | | Francis Cuss, M.B., B.Chir., FRCP | | | | | 48,000 | | | | | | 91,550 | | | | | | — | | | | | | 139,550 | | |
| | | | David R. Epstein | | | | | 495,000 | | | | | | 405,000 | | | | | | — | | | | | | 900,000 | | |
| | | | Nathalie Holles | | | | | 46,500 | | | | | | 91,550 | | | | | | — | | | | | | 138,050 | | |
| | | | Anne Prener, M.D., Ph.D. | | | | | 38,689 | | | | | | — | | | | | | — | | | | | | 38,689 | | |
| | | | Michael Rosenblatt, M.D. | | | | | 43,000 | | | | | | 91,550 | | | | | | — | | | | | | 134,550 | | |
| | | | Catherine A. Sohn, Pharm.D. | | | | | 47,500 | | | | | | 91,550 | | | | | | — | | | | | | 139,050 | | |
| | | | Sir Jonathan R. Symonds, CBE | | | | | 50,000 | | | | | | 91,550 | | | | | | — | | | | | | 141,550 | | |
| | | | | | | Annual Retainer | | |||
| | | | Board of Directors: | | | | | | | |
| | | | All non-employee members, except chairman* | | | | $ | 35,000 | | |
| | | | Audit Committee: | | | | | | | |
| | | | Members | | | | $ | 7,500 | | |
| | | | Chairman | | | | $ | 15,000 | | |
| | | | Compensation Committee: | | | | | | | |
| | | | Members | | | | $ | 5,000 | | |
| | | | Chairman | | | | $ | 10,000 | | |
| | | | Nominating and Corporate Governance Committee: | | | | | | | |
| | | | Members | | | | $ | 4,000 | | |
| | | | Chairman | | | | $ | 8,000 | | |
| | | | Science and Technology Committee: | | | | | | | |
| | | | Members | | | | $ | — | | |
| | | | Chairman | | | | $ | 8,000 | | |
Plan Category | | | Number of securities to be issued upon exercise of outstanding options, warrants and rights (#) | | | Weighted- average exercise price of outstanding options, warrants and rights ($) | | | Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in first column) | | |||||||||
Equity compensation plans approved by security holders(1) | | | | | 16,570,124(2) | | | | | $ | 10.31(3) | | | | | | 6,418,209(4) | | |
Equity compensation plans not approved by security holders | | | | | — | | | | | | — | | | | | | — | | |
Total | | | | | 16,570,124 | | | | | $ | 10.31 | | | | | | 6,418,209 | | |
Name and Principal Position | | | Year | | | Salary ($) | | | Bonus ($)(3) | | | Option awards ($)(4) | | | All other compensation ($)(5) | | | Total ($) | | ||||||||||||||||||
Pablo J. Cagnoni, M.D. | | | | | 2020 | | | | | | 579,167 | | | | | | 410,231 | | | | | | 2,437,850 | | | | | | 16,621 | | | | | | 3,443,869 | | |
Chief Executive Officer | | | | | 2019 | | | | | | 547,500 | | | | | | 211,750 | | | | | | 935,250 | | | | | | 26,630 | | | | | | 1,721,130 | | |
Christina Coughlin, M.D., Ph.D.(1) | | | | | 2020 | | | | | | 420,369 | | | | | | 216,476 | | | | | | 1,828,388 | | | | | | 58,242 | | | | | | 2,523,475 | | |
Chief Medical Officer | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Laurence Turka, M.D.(2) | | | | | 2020 | | | | | | 380,513 | | | | | | 312,693 | | | | | | 1,706,495 | | | | | | 11,731 | | | | | | 2,411,432 | | |
Chief Scientific Officer | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | Option Awards | | |||||||||||||||||||||||||||
Name | | | Number of Securities Underlying Unexercised Options (#) Exercisable | | | Number of Securities Underlying Unexercised Options (#) Unexercisable | | | Equity Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Options (#) | | | Option Exercise Price ($) | | | Option Expiration Date | | |||||||||||||||
Pablo J. Cagnoni, M.D. | | | | | 2,535,897 | | | | | | 1,267,949(1) | | | | | | — | | | | | | 8.66 | | | | | | 4/10/2028 | | |
| | | | | — | | | | | | — | | | | | | 164,400(2) | | | | | | 16.43 | | | | | | 10/30/2028 | | |
| | | | | — | | | | | | — | | | | | | 193,400(3) | | | | | | 16.43 | | | | | | 10/30/2028 | | |
| | | | | 43,750 | | | | | | 56,250(4) | | | | | | — | | | | | | 13.69 | | | | | | 1/30/2029 | | |
| | | | | — | | | | | | 500,000(5) | | | | | | — | | | | | | 7.80 | | | | | | 1/30/2030 | | |
Christina Coughlin, M.D., Ph.D. | | | | | — | | | | | | 375,000(6) | | | | | | — | | | | | | 7.80 | | | | | | 1/30/2030 | | |
Laurence Turka, M.D. | | | | | — | | | | | | 350,000(7) | | | | | | — | | | | | | 7.80 | | | | | | 1/30/2030 | | |
| | | Shares beneficially owned | | |||||||||
Name and address of beneficial owner | | | Number | | | Percentage | | ||||||
5% Stockholders: | | | | | | | | | | | | | |
Entities affiliated with the Flagship Pioneering Funds(1) | | | | | 38,296,526 | | | | | | 47.1% | | |
FMR LLC(2) | | | | | 11,378,267 | | | | | | 14.0% | | |
Baillie Gifford & Co(3) | | | | | 4,710,061 | | | | | | 5.8% | | |
Invus Public Equities, L.P.(4) | | | | | 4,483,791 | | | | | | 5.5% | | |
Named Executive Officers and Directors: | | | | | | | | | | | | | |
Pablo J. Cagnoni, M.D.(5) | | | | | 3,165,630 | | | | | | 3.8% | | |
Christina Coughlin, M.D., Ph.D.(6) | | | | | 136,187 | | | | | | 0.2% | | |
Laurence Turka, M.D.(7) | | | | | 109,375 | | | | | | 0.1% | | |
Noubar B. Afeyan, Ph.D.(8) | | | | | 38,344,442 | | | | | | 47.2% | | |
Francis Cuss, M.B., B.Chir., FRCP(9) | | | | | 163,541 | | | | | | 0.2% | | |
David R. Epstein(10) | | | | | 5,240,169 | | | | | | 6.4% | | |
Natalie Holles(7) | | | | | 33,333 | | | | | | 0.0% | | |
Anne Prener, M.D., Ph.D.(7) | | | | | 20,833 | | | | | | 0.0% | | |
Michael Rosenblatt, M.D.(7) | | | | | 197,916 | | | | | | 0.2% | | |
Catherine A. Sohn, Pharm.D.(11) | | | | | 156,041 | | | | | | 0.2% | | |
Sir Jonathan R. Symonds, CBE(12) | | | | | 200,416 | | | | | | 0.2% | | |
All executive officers and directors as a group (13 persons)(13) | | | | | 47,846,008 | | | | | | 55.7% | | |
| | | Shares beneficially owned | | |||||||||
Name and address of beneficial owner | | | Number | | | Percentage | | ||||||
5% Stockholders: | | | | | | | | | | | | | |
Entities affiliated with the Flagship Pioneering Funds(1) | | | | | 38,506,526 | | | | | | 42.6% | | |
FMR LLC(2) | | | | | 13,479,866 | | | | | | 14.9% | | |
Baillie Gifford & Co(3) | | | | | 4,930,859 | | | | | | 5.5% | | |
Named Executive Officers and Directors: | | | | | | | | | | | | | |
Pablo J. Cagnoni, M.D.(4) | | | | | 4,336,291 | | | | | | 4.6% | | |
Jose Carmona(5) | | | | | 175,000 | | | | | | * | | |
Dannielle Appelhans(6) | | | | | — | | | | | | * | | |
Maiken Keson-Brookes(7) | | | | | 190,030 | | | | | | * | | |
Laurence Turka, M.D.(8) | | | | | 272,889 | | | | | | * | | |
Noubar B. Afeyan, Ph.D.(9) | | | | | 38,606,526 | | | | | | 42.7% | | |
Francis Cuss, M.B., B.Chir., FRCP(10) | | | | | 240,000 | | | | | | * | | |
David R. Epstein(11) | | | | | 7,700,827 | | | | | | 8.3% | | |
Natalie Holles(5) | | | | | 100,000 | | | | | | * | | |
Anne Prener, M.D., Ph.D.(5) | | | | | 66,666 | | | | | | * | | |
Michael Rosenblatt, M.D.(5) | | | | | 250,000 | | | | | | * | | |
Catherine A. Sohn, Pharm.D.(12) | | | | | 232,500 | | | | | | * | | |
Sir Jonathan R. Symonds, CBE(13) | | | | | 295,000 | | | | | | * | | |
All executive officers and directors as a group (13 persons)(14) | | | | | 52,465,729 | | | | | | 52.8% | | |