| | Important Notice Regarding the Availability of Proxy Materials for the Shareholders’ Meeting to Be Held on August 10, 2022 at 520 U.S. Highway 22, Suite 204, Bridgewater, New Jersey 08807. | | |
| | The proxy statement and annual report to shareholders are available at https://vynetherapeutics.com/investors-media/filings-financials/. | | |
| | | | By Order of the Board of Directors | |
| | | | | |
| | | | David Domzalski President and Chief Executive Officer | |
| | | | | | | ||
| | | | | | | ||
| | | | | | | ||
| | | | | | | ||
| | | | | 14 | | | |
| | | | | 15 | | | |
| | | | | 23 | | | |
| | | | | | | ||
| | | | | | | ||
| | | | | | | ||
| | | | | | | ||
| | | | | | | ||
| | | | | | | ||
| | | | | ||||
| | |||||||
| | | | | ||||
| | |||||||
| | | | | | | ||
| | | | | | | ||
| | | | | | | ||
| | | | | A-1 | | |
Name | | Age | | Office Held With the Company | | Director Since | | | Age | | Office Held With the Company | | Director Since | | ||||||
Class I Directors whose terms expire at the 2022 annual meeting of stockholders | | | | | | | | |||||||||||||
Class I Directors whose terms expire at the Annual Meeting | | | | | | | | |||||||||||||
Steven Basta | | 55 | | Director | | 2015 | | | 56 | | Director | | 2015 | | ||||||
Anthony Bruno | | 65 | | Director | | 2020 | | | 66 | | Director | | 2020 | | ||||||
Elisabeth Sandoval | | 59 | | Director | | 2019 | | | 60 | | Director | | 2019 | | ||||||
Class II Directors whose terms expire at the 2023 Annual Meeting | | | | | | | | |||||||||||||
Class II Director whose term expires at the 2023 Annual Meeting | | | | | | | | |||||||||||||
Sharon Barbari | | 66 | | Director | | 2020 | | | 67 | | Director | | 2020 | | ||||||
Rex Bright(3)(4) | | 81 | | Director | | 2020 | | |||||||||||||
Class III Directors whose term expires at the Annual Meeting | | | | | | | | |||||||||||||
Class III Directors whose terms expire at the 2024 Annual Meeting | | | | | | | | |||||||||||||
David Domzalski | | 54 | | President, Chief Executive Officer and Director | | 2020 | | | 55 | | President, Chief Executive Officer and Director | | 2020 | | ||||||
Patrick LePore(2) | | 66 | | Lead Independent Director | | 2020 | | |||||||||||||
Patrick LePore(1)(3) | | 66 | | Lead Independent Director | | 2020 | |
| | Year Ended December 31, | | | Fiscal year ended December 31, | | ||||||||||||||||||||
| | 2020 | | 2019 | | | 2021 | | 2020 | | ||||||||||||||||
| | (In thousands) | | | (in thousands of U.S. dollars) | | ||||||||||||||||||||
Audit Fees(1) | | | $ | 1,019 | | | | $ | 428 | | | |||||||||||||||
Audit fees(1) | | | $ | 1,050 | | | | $ | 1,019 | | | |||||||||||||||
Audit-related fees | | | | 5 | | | | | — | | | | | | — | | | | | 5 | | | ||||
Tax fees(2) | | | | — | | | | | 9 | | | |||||||||||||||
All other fees | | | | 5 | | | | | — | | | | | | 4 | | | | | 5 | | | ||||
Total Fees | | | $ | 1,029 | | | | $ | 437 | | | | | $ | 1,054 | | | | $ | 1,029 | | |
Status | | | Number of Shares of Common Stock Authorized | | | Number of Shares of Common Stock Issued and Outstanding | | | Number of Shares of Common Stock Authorized but Not Outstanding | | |||||||||
Pre-Reverese Stock Split | | | | | 150,000,000 | | | | | | 57,908,489 | | | | | | 92,091,511 | | |
Post-Reverse Stock Split 1:5 | | | | | 150,000,000 | | | | | | 11,581,697 | | | | | | 138,418,303 | | |
Post-Reverse Stock Split 1:10 | | | | | 150,000,000 | | | | | | 5,790,848 | | | | | | 144,209,152 | | |
Post-Reverse Stock Split 1:15 | | | | | 150,000,000 | | | | | | 3,860,565 | | | | | | 146,139,435 | | |
Name | | Audit | | Compensation | | Nominating and Corporate Governance | | | Audit | | Compensation | | Nominating and Corporate Governance | | ||||||||||||||||||||||||
David Domzalski | | | | — | | | | | — | | | | | — | | | | | | — | | | | | — | | | | | — | | | ||||||
Sharon Barbari | | | | X(1) | | | | | X | | | | | X | | | | | | X(1) | | | | | X | | | | | X | | | ||||||
Steven Basta | | | | — | | | | | — | | | | | — | | | | | | — | | | | | — | | | | | — | | | ||||||
Rex Bright | | | | X | | | | | X(1) | | | | | — | | | ||||||||||||||||||||||
Anthony Bruno | | | | — | | | | | X | | | | | X(1) | | | | | | — | | | | | X | | | | | X(1) | | | ||||||
Patrick LePore | | | | — | | | | | — | | | | | X | | | | | | X | | | | | — | | | | | X | | | ||||||
Elisabeth Sandoval | | | | X | | | | | X | | | | | — | | | | | | X(1) | | | | | X | | | | | — | | | ||||||
Total meetings in 2020 | | | | 5 | | | | | 4 | | | | | 2 | | | ||||||||||||||||||||||
Total meetings in 2021 | | | | 4 | | | | | 3 | | | | | 2 | | |
| Gender Identity | | | Female | | | Male | |
| Number of Directors | | | 2 | | | 4 | |
| Demographic Background | | | Hispanic or Latinx | | | White | |
| Number of Directors | | | 1 | | | 5 | |
Additional annual retainer fees for service as a member or chair of the following committees (with chair fees inclusive of fees for service as a member): | | | 2020 | | 2021 | | ||||||||||||||||||||||||||||||||||||||||||||
| Member | | Chair | | Member | | Chair | | ||||||||||||||||||||||||||||||||||||||||||
Additional annual retainer fees for service as a member or chair of the following committees (with chair fees inclusive of fees for service as a member) | | | 2020 | | 2021 | | ||||||||||||||||||||||||||||||||||||||||||||
| Member | | Chair | | Member | | Chair | | ||||||||||||||||||||||||||||||||||||||||||
Audit Committee | | | $ | 8,000 | | | | $ | 16,000 | | | | $ | 10,000 | | | | $ | 20,000 | | | | | $ | 8,000 | | | | $ | 16,000 | | | | $ | 10,000 | | | | $ | 20,000 | | | ||||||||
Compensation Committee | | | $ | 6,000 | | | | $ | 12,000 | | | | $ | 7,500 | | | | $ | 15,000 | | | | | $ | 6,000 | | | | $ | 12,000 | | | | $ | 7,500 | | | | $ | 15,000 | | | ||||||||
Nominating and Corporate Governance Committee | | | $ | 4,000 | | | | $ | 8,000 | | | | $ | 5,000 | | | | $ | 10,000 | | | | | $ | 4,000 | | | | $ | 8,000 | | | | $ | 5,000 | | | | $ | 10,000 | | |
Name | | Fees Earned or Paid in Cash ($) | | Option Awards ($)(1) | | Total Compensation ($) | | | Fees Earned or Paid in Cash ($) | | Option Awards ($)(1) | | Total Compensation ($) | | ||||||||||||||||||||||||
Sharon Barbari | | | $ | 53,704 | | | | $ | 97,148 | | | | $ | 150,852 | | | | | $ | 72,500 | | | | | 34,645 | | | | | 107,145 | | | ||||||
Steven Basta | | | $ | 35,803 | | | | $ | 97,148 | | | | $ | 132,951 | | | | | $ | 40,000 | | | | | 34,645 | | | | | 74,645 | | | ||||||
Rex Bright(2) | | | $ | 48,822 | | | | $ | 97,148 | | | | $ | 145,970 | | | | | $ | 65,000 | | | | | 34,645 | | | | | 99,645 | | | ||||||
Anthony Bruno | | | $ | 43,940 | | | | $ | 97,148 | | | | $ | 141,088 | | | | | $ | 57,500 | | | | | 34,645 | | | | | 92,145 | | | ||||||
Patrick LePore | | | $ | 12,384 | | | | $ | 39,015 | | | | $ | 51,399 | | | | | $ | 70,000 | | | | | 34,645 | | | | | 104,645 | | | ||||||
Elisabeth Sandoval | | | $ | 52,660 | | | | $ | 97,148 | | | | $ | 149,808 | | | | | $ | 57,500 | | | | | 34,645 | | | | | 92,145 | | | ||||||
Paul Berns(5) | | | $ | 9,857 | | | | | — | | | | $ | 9,857 | | | ||||||||||||||||||||||
Ted Ebel(5) | | | $ | 11,374 | | | | | — | | | | $ | 11,374 | | | ||||||||||||||||||||||
David McGirr(5) | | | $ | 11,753 | | | | | — | | | | $ | 11,753 | | | ||||||||||||||||||||||
Scott Whitcup(5) | | | $ | 9,099 | | | | | — | | | | $ | 9,099 | | | ||||||||||||||||||||||
Stanley Hirsch(6) | | | | — | | | | | — | | | | | — | | |
Name | | | Shares Underlying Outstanding Options(1) | | | Shares Underlying Outstanding RSUs(1) | | ||||||
Sharon Barbari | | | | | 20,367 | | | | | | — | | |
Steven Basta | | | | | 216,200 | | | | | | — | | |
Rex Bright | | | | | 89,380 | | | | | | — | | |
Anthony Bruno | | | | | 16,875 | | | | | | 597 | | |
Patrick LePore | | | | | 11,250 | | | | | | — | | |
Elisabeth Sandoval | | | | | 28,124 | | | | | | — | | |
Name | | | Shares Underlying Outstanding Options | | | Shares Underlying Outstanding RSUs | | ||||||
Sharon Barbari | | | | | 40,867 | | | | | | — | | |
Steven Basta | | | | | 236,700 | | | | | | — | | |
Rex Bright(1) | | | | | 109,880 | | | | | | — | | |
Anthony Bruno | | | | | 37,375 | | | | | | — | | |
Patrick LePore | | | | | 31,750 | | | | | | — | | |
Elisabeth Sandoval | | | | | 48,624 | | | | | | — | | |
Name | | | Age | | | Position(s) | | |||
David Domzalski(1) | | | | | | | | President, Chief Executive Officer and Director | | |
| | | | | | | Chief Financial Officer and Treasurer | | ||
Mutya Harsch | | | | | | | | General Counsel, Chief Legal Officer and Secretary | | |
Iain Stuart | | | | | | | | Chief Scientific Officer | | |
Name and Principal Position | | Year | | Salary ($)(1) | | Bonus ($)(2) | | Stock Awards ($)(3) | | Option Awards ($)(3) | | All Other Compensation ($)(4) | | Total Compensation ($) | | | Year | | Salary ($) | | Bonus ($) | | Stock Awards ($)(1) | | Option Awards ($)(1) | | All Other Compensation ($)(2) | | Total Compensation ($) | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
David Domzalski | | | | 2020 | | | | | 500,500 | | | | | 277,200 | | | | | 1,326,000 | | | | | 756,908 | | | | | 11,400 | | | | | 2,872,008 | | | | | | 2021 | | | | | 637,560 | | | | | 242,910 | | | | | 1,818,861 | | | | | 2,141,994 | | | | | 11,600 | | | | | 4,852,925 | | | ||||||||||||||
President and Chief Executive Officer | | | | 2019 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | | 2020 | | | | | 500,500* | | | | | 277,200 | | | | | 1,326,000 | | | | | 756,908 | | | | | 11,400 | | | | | 2,872,008 | | | ||||||||||||||
Steven Basta | | | | 2020 | | | | | 118,048 | | | | | 64,926 | | | | | — | | | | | — | | | | | 1,431,968 | | | | | 1,614,942 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
Former President and Chief Executive Officer | | | | 2019 | | | | | 598,000 | | | | | 305,877 | | | | | 974,304 | | | | | — | | | | | — | | | | | 1,878,181 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
Andrew Saik(5) | | | | 2020 | | | | | 309,722 | | | | | 112,500 | | | | | 644,000 | | | | | 470,315 | | | | | — | | | | | 1,536,537 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
Chief Financial Officer and Treasurer | | | | 2019 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
Mutya Harsch | | | | 2020 | | | | | 318,669 | | | | | 117,662 | | | | | 292,500 | | | | | 166,965 | | | | | 11,400 | | | | | 907,196 | | | | | | 2021 | | | | | 405,936 | | | | | 142,007 | | | | | 345,587 | | | | | 406,976 | | | | | 11,600 | | | | | 1,312,106 | | | ||||||||||||||
Chief Legal Officer, General Counsel and Secretary | | | | 2019 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | | | | 2020 | | | | | 318,669* | | | | | 117,662 | | | | | 292,500 | | | | | 166,965 | | | | | 11,400 | | | | | 907,196 | | | ||||||||||||||
Iain Stuart | | | | 2021 | | | | | 405,576 | | | | | 117,620 | | | | | 345,587 | | | | | 406,976 | | | | | 11,600 | | | | | 1,287,359 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
Chief Scientific Officer | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | | | Option Awards(1) | | Share Awards(1) | | | | | | | | Option Awards(1) | | Share Awards(1) | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Name | | Vesting Commencement Date(2) | | Number of Securities Underlying Unexercised Options Exercisable (#) | | Number of Securities Underlying Unexercised Options Unexercisable (#) | | Option Exercise Price ($) | | Option Expiration Date | | Number of Shares or Units of Shares That Have Not Vested (#) | | Market Value of Shares or Units of Shares That Have Not Vested (3)($) | | | Vesting Commencement Date(2) | | Number of Securities Underlying Unexercised Options Exercisable (#) | | Number of Securities Underlying Unexercised Options Unexercisable (#) | | Option Exercise Price ($) | | Option Expiration Date | | Number of Shares or Units of Shares That Have Not Vested (#) | | Market Value of Shares or Units of Shares That Have Not Vested(3)($) | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
David Domzalski | | | | 6/9/2014 | | | | | 8,440 | | | | | — | | | | | 17.76 | | | | | 6/9/2024 | | | | | — | | | | | — | | | | | | 6/9/2014 | | | | | 8,440 | | | | | — | | | | | 17.76 | | | | | 6/9/2024 | | | | | — | | | | | — | | | ||||||||||||||
| | | | 11/10/2015 | | | | | 106,600 | | | | | — | | | | | 15.88 | | | | | 11/10/2025 | | | | | — | | | | | — | | | | | | 11/10/2015 | | | | | 106,600 | | | | | — | | | | | 15.88 | | | | | 11/10/2025 | | | | | — | | | | | — | | | ||||||||||||||
| | | | 3/1/2016 | | | | | 27,009 | | | | | — | | | | | 13.44 | | | | | 3/1/2026 | | | | | — | | | | | — | | | | | | 3/1/2016 | | | | | 27,009 | | | | | — | | | | | 13.44 | | | | | 3/1/2026 | | | | | — | | | | | — | | | ||||||||||||||
| | | | 2/21/2017 | | | | | 30,121 | | | | | 2,005 | | | | | 22.72 | | | | | 2/21/2027 | | | | | 668 | | | | | 4,222 | | | | | | 2/21/2017 | | | | | 32,126 | | | | | — | | | | | 22.72 | | | | | 2/21/2027 | | | | | — | | | | | — | | | ||||||||||||||
| | | | 8/8/2017 | | | | | 119,863 | | | | | 27,660 | | | | | 12.80 | | | | | 8/8/2027 | | | | | 6,912 | | | | | 43,684 | | | | | | 8/8/2017 | | | | | 147,523 | | | | | — | | | | | 12.8 | | | | | 8/8/2027 | | | | | — | | | | | — | | | ||||||||||||||
| | | | 5/8/2018 | | | | | 21,724 | | | | | 9,870 | | | | | 11.28 | | | | | 5/8/2028 | | | | | 3,287 | | | | | 20,774 | | | | | | 5/8/2018 | | | | | 29,622 | | | | | 1,972 | | | | | 11.28 | | | | | 5/8/2028 | | | | | 659 | | | | | 672 | | | ||||||||||||||
| | | | 1/1/2019 | | | | | 33,676 | | | | | 43,296 | | | | | 8.40 | | | | | 1/1/2029 | | | | | 18,553 | | | | | 117,255 | | | | | | 1/1/2019 | | | | | 52,920 | | | | | 24,052 | | | | | 8.4 | | | | | 1/1/2029 | | | | | 10,306 | | | | | 10,512 | | | ||||||||||||||
| | | | 2/24/2020 | | | | | — | | | | | 108,446 | | | | | 8.96 | | | | | 2/24/2030 | | | | | 46,477 | | | | | 293,735 | | | | | | 2/24/2020 | | | | | 47,450 | | | | | 60,996 | | | | | 8.96 | | | | | 2/24/2030 | | | | | 26,140 | | | | | 26,663 | | | ||||||||||||||
| | | | 5/6/2020 | | | | | — | | | | | 169,999 | | | | | 7.80 | | | | | 5/6/2030 | | | | | 170,000 | | | | | 1,074,400 | | | | | | 5/6/2020 | | | | | 63,750 | | | | | 106,249 | | | | | 7.8 | | | | | 5/6/2030 | | | | | 106,250 | | | | | 108,375 | | | ||||||||||||||
Steven Basta(4) | | | | 2/2/2016 | | | | | 89,411 | | | | | — | | | | | 7.34 | | | | | 2/2/2026 | | | | | — | | | | | — | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 2/22/2021 | | | | | — | | | | | 358,750 | | | | | 8.33 | | | | | 2/22/2031 | | | | | 153,750 | | | | | 156,825 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 9/2/2021(4) | | | | | — | | | | | 320,313 | | | | | 1.68 | | | | | 9/2/2031 | | | | | 320,312 | | | | | 326,718 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
Mutya Harsch | | | | 2/27/2018 | | | | | 21,101 | | | | | 1,406 | | | | | 14.12 | | | | | 2/27/2028 | | | | | 705 | | | | | 719 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 8/24/2017 | | | | | 21,227 | | | | | — | | | | | 19.31 | | | | | 8/24/2027 | | | | | — | | | | | — | | | | | | 1/1/2019 | | | | | 21,759 | | | | | 9,885 | | | | | 8.4 | | | | | 1/1/2029 | | | | | 4,234 | | | | | 4,318 | | | ||||||||||||||
| | | | 5/3/2018 | | | | | 53,212 | | | | | — | | | | | 33.96 | | | | | 5/3/2028 | | | | | — | | | | | — | | | | | | 2/24/2020 | | | | | 18,979 | | | | | 24,399 | | | | | 8.96 | | | | | 2/24/2030 | | | | | 10,456 | | | | | 10,665 | | | ||||||||||||||
| | | | 12/10/2018 | | | | | 35,475 | | | | | — | | | | | 22.04 | | | | | 12/10/2028 | | | | | — | | | | | — | | | | | | 5/6/2020 | | | | | 14,063 | | | | | 23,436 | | | | | 7.8 | | | | | 5/6/2030 | | | | | 23,436 | | | | | 23,904 | | | ||||||||||||||
| | | | 3/19/2020 | | | | | — | | | | | 11,250 | | | | | 10.68 | | | | | 3/19/2030 | | | | | — | | | | | — | | | | | | 2/22/2021 | | | | | — | | | | | 68,162 | | | | | 8.33 | | | | | 2/22/2031 | | | | | 29,213 | | | | | 29,797 | | | ||||||||||||||
| | | | 8/3/2020 | | | | | 1,407 | | | | | 4,218 | | | | | 6.88 | | | | | 8/3/2020 | | | | | — | | | | | — | | | | | | 9/2/2021(4) | | | | | — | | | | | 60,860 | | | | | 1.68 | | | | | 9/2/2031 | | | | | 60,859 | | | | | 62,076 | | | ||||||||||||||
Andrew Saik(5) | | | | 3/23/2020 | | | | | — | | | | | 24,999 | | | | | 12.52 | | | | | 3/23/2030 | | | | | 12,500 | | | | | 79,000 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 5/6/2020 | | | | | — | | | | | 62,499 | | | | | 7.80 | | | | | 5/6/2030 | | | | | 62,500 | | | | | 395,000 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
Mutya Harsch | | | | 2/27/2018 | | | | | 15,476 | | | | | 7,031 | | | | | 14.12 | | | | | 2/27/2028 | | | | | 3,513 | | | | | 22,202 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
Iain Stuart | | | | 11/15/2016 | | | | | 18,006 | | | | | — | | | | | 19.00 | | | | | 11/15/2026 | | | | | — | | | | | — | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 1/1/2019 | | | | | 13,847 | | | | | 17,797 | | | | | 8.40 | | | | | 1/1/2029 | | | | | 7,626 | | | | | 48,196 | | | | | | 8/8/2017 | | | | | 5,851 | | | | | — | | | | | 12.00 | | | | | 8/8/2027 | | | | | — | | | | | — | | | ||||||||||||||
| | | | 2/24/2020 | | | | | — | | | | | 43,378 | | | | | 8.96 | | | | | 2/24/2030 | | | | | 18,590 | | | | | 117,489 | | | | | | 2/27/2018 | | | | | 12,661 | | | | | 843 | | | | | 14.12 | | | | | 2/27/2028 | | | | | 281 | | | | | 287 | | | ||||||||||||||
| | | | 5/6/2020 | | | | | — | | | | | 37,499 | | | | | 7.80 | | | | | 5/6/2030 | | | | | 37,500 | | | | | 237,000 | | | | | | 1/01/2019 | | | | | 23,521 | | | | | 10,689 | | | | | 8.40 | | | | | 1/1/2029 | | | | | 4,577 | | | | | 4,669 | | | ||||||||||||||
| | | | 2/24/2020 | | | | | 18,979 | | | | | 24,399 | | | | | 8.96 | | | | | 2/24/2030 | | | | | 10,456 | | | | | 10,665 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 5/06/2020 | | | | | 10,548 | | | | | 17,577 | | | | | 7.80 | | | | | 5/6/2030 | | | | | 17,577 | | | | | 17,929 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 2/22/2021 | | | | | — | | | | | 68,162 | | | | | 8.33 | | | | | 2/22/2031 | | | | | 29,213 | | | | | 29,797 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 9/2/2021(4) | | | | | — | | | | | 60,860 | | | | | 1.68 | | | | | 9/2/2031 | | | | | 60,859 | | | | | 62,076 | | |
Name of Beneficial Owner | | | Number of Shares Owned and Nature of Beneficial Ownership | | | Percent of Class | | ||||||
5% and Greater Stockholders: | | | | | | | | | | | | | |
Perceptive Advisors LLC(1) | | | | | 5,773,954 | | | | | | 11.2% | | |
BlackRock, Inc.(2) | | | | | 2,997,191 | | | | | | 5.8% | | |
Named Executive Officers and Directors: | | | | | | | | | | | | | |
David Domzalski(3) | | | | | 599,442 | | | | | | 1.2% | | |
Steven Basta(4) | | | | | 341,425 | | | | | | * | | |
Andrew Saik(5) | | | | | 52,211 | | | | | | * | | |
Mutya Harsch(6) | | | | | 89,734 | | | | | | * | | |
Sharon Barbari(7) | | | | | 30,211 | | | | | | * | | |
Rex Bright(8) | | | | | 80,474 | | | | | | * | | |
Anthony Bruno(9) | | | | | 41,732 | | | | | | * | | |
Patrick LePore(10) | | | | | 25,000 | | | | | | * | | |
Elisabeth Sandoval(11) | | | | | 19,218 | | | | | | * | | |
All current directors and executive officers as a group (11 persons)(12) | | | | | 1,496,923 | | | | | | 2.8% | | |
Name of Beneficial Owner | | | Number of Shares Owned and Nature of Beneficial Ownership | | | Percent of Class | | ||||||
5% and Greater Stockholders: | | | | | | | | | | | | | |
— | | | | | — | | | | | | —% | | |
Named Executive Officers and Directors: | | | | | | | | | | | | | |
David Domzalski(1) | | | | | 893,375 | | | | | | 1.5% | | |
Mutya Harsch(2) | | | | | 161,889 | | | | | | * | | |
Iain Stuart(3) | | | | | 169,451 | | | | | | * | | |
Steven Basta(4) | | | | | 367,081 | | | | | | * | | |
Sharon Barbari(5) | | | | | 55,867 | | | | | | * | | |
Anthony Bruno(6) | | | | | 67,388 | | | | | | * | | |
Patrick LePore(7) | | | | | 86,750 | | | | | | * | | |
Elisabeth Sandoval(8) | | | | | 44,874 | | | | | | * | | |
All current directors and executive officers as a group (9 persons)(9) | | | | | 1,884,486 | | | | | | 3.2% | | |
Plan Category | | Number of securities to be issued upon exercise of outstanding options, warrants and rights and vesting of RSUs | | Weighted-average exercise price of outstanding options, warrants and rights and weighted- average grant date price of RSUs | | Number of securities remaining available for future issuance under equity compensation plans(3) | | | Number of securities to be issued upon exercise of outstanding options, warrants and rights and vesting of RSUs (a) | | Weighted-average exercise price of outstanding options, warrants and rights (b) | | Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column (a))(3) (c) | | ||||||||||||||||||||||||
Equity compensation plans approved by security holders(1) (2) | | | | 5,489,257 | | | | $ | 11.93 | | | | | 3,673,105 | | | ||||||||||||||||||||||
Equity compensation plans approved by security holders (1)(2) | | | | 5,801,517 | | | | $ | 6.81(4) | | | | | 3,359,552 | | | ||||||||||||||||||||||
Equity compensation plans not approved by security holders | | | | — | | | | $ | — | | | | | — | | | | | | — | | | | $ | — | | | | | — | | | ||||||
Total | | | | 5,489,257 | | | | $ | 11.93 | | | | | 3,673,105 | | | | | | 5,801,517 | | | | $ | 6.81 | | | | | 3,359,552 | | |