| | | Page | | |||
| | | | | | ||
| | | | 6 | | | |
| | | | 7 | | | |
| | | | | | ||
| | | | | | ||
| | | | 25 | | | |
| | | | 28 | | | |
| | | | | | ||
| | | | | | ||
| | | | | | ||
| | | | | | ||
| | | | ||||
| |
Name | | | Positions and Offices Held with Rubius | | | Director Since | | | Age | | ||||||
David R. Epstein | | | Director(1) | | | | | 2017 | | | | | | 60 | | |
Natalie Holles | | | Director(2)(3) | | | | | 2019 | | | | | | 49 | | |
Anne Prener, M.D., Ph.D. | | | Director(1)(3) | | | | | 2019 | | | | | | 64 | | |
Name | | | Positions and Offices Held with Rubius | | | Director Since | | | Class and Year in Which Term Will Expire | | | Age | | ||||||
Noubar B. Afeyan, Ph.D. | | | Director(3)(4) | | | | | 2013 | | | | Class II – 2023 | | | | | 59 | | |
Michael Rosenblatt, M.D. | | | Director(2)(4) | | | | | 2014 | | | | Class II – 2023 | | | | | 74 | | |
Catherine A. Sohn, Pharm.D. | | | Director(1)(3) | | | | | 2018 | | | | Class II – 2023 | | | | | 69 | | |
Pablo J. Cagnoni, M.D. | | | Director, President and Chief Executive Officer | | | | | 2018 | | | | Class III – 2024 | | | | | 59 | | |
Francis Cuss, M.B., B. Chir., FRCP | | | Director(3)(4) | | | | | 2018 | | | | Class III – 2024 | | | | | 67 | | |
Sir Jonathan R. Symonds, CBE | | | Director(1) | | | | | 2018 | | | | Class III – 2024 | | | | | 63 | | |
Name | | | Position Held with Rubius | | | Officer Since | | | Age | | ||||||
Jose Carmona | | | Chief Financial Officer | | | | | 2020 | | | | | | 50 | | |
Dannielle Appelhans | | | Chief Operating Officer | | | | | 2021 | | | | | | 39 | | |
Maiken Keson-Brookes | | | Chief Legal Officer and Corporate Secretary | | | | | 2019 | | | | | | 49 | | |
Laurence Turka, M.D. | | | Chief Scientific Officer and Head of Research and Translational Medicine | | | | | 2020 | | | | | | 64 | | |
| | | | | | | 2021 | | | 2020 | | ||||||
| | | | Audit fees(1) | | | | $ | 1,027,500 | | | | | $ | 582,500 | | |
| | | | Audit-related fees | | | | | — | | | | | | — | | |
| | | | Tax fees | | | | | — | | | | | | — | | |
| | | | All other fees(2) | | | | | 3,656 | | | | | | 2,700 | | |
| | | | Total fees | | | | $ | 1,031,156 | | | | | $ | 585,200 | | |
| | | | Name | | | Fees Earned In Cash ($)(1) | | | Option Awards ($)(2)(3)(4)(5) | | | All Other Compensation ($) | | | Total ($) | | ||||||||||||
| | | | Noubar B. Afeyan, Ph.D. | | | | | 44,744 | | | | | | 374,648 | | | | | | — | | | | | | 419,392 | | |
| | | | Francis Cuss, M.B., B.Chir., FRCP | | | | | 52,014 | | | | | | 374,648 | | | | | | — | | | | | | 426,662 | | |
| | | | David R. Epstein | | | | | 495,000 | | | | | | 404,994 | | | | | | — | | | | | | 899,994 | | |
| | | | Natalie Holles | | | | | 50,514 | | | | | | 374,648 | | | | | | — | | | | | | 425,162 | | |
| | | | Anne Prener, M.D., Ph.D. | | | | | 43,014 | | | | | | 374,648 | | | | | | — | | | | | | 417,662 | | |
| | | | Michael Rosenblatt, M.D. | | | | | 47,014 | | | | | | 374,648 | | | | | | — | | | | | | 421,662 | | |
| | | | Catherine A. Sohn, Pharm.D. | | | | | 55,741 | | | | | | 374,648 | | | | | | — | | | | | | 430,389 | | |
| | | | Sir Jonathan R. Symonds, CBE | | | | | 54,014 | | | | | | 374,648 | | | | | | — | | | | | | 428,662 | | |
| | | | | | | Annual Retainer(1) | | |||
| | | | Board of Directors: | | | | | | | |
| | | | All non-employee members, except Chairman | | | | $ | 40,000 | | |
| | | | Audit Committee: | | | | | | | |
| | | | Members | | | | $ | 7,500 | | |
| | | | Chair | | | | $ | 15,000 | | |
| | | | Compensation and Talent Committee: | | | | | | | |
| | | | Members | | | | $ | 5,000 | | |
| | | | Chair | | | | $ | 10,000 | | |
| | | | Nominating and Corporate Governance Committee: | | | | | | | |
| | | | Members | | | | $ | 4,000 | | |
| | | | Chair | | | | $ | 8,000 | | |
| | | | Science and Technology Committee: | | | | | | | |
| | | | Members | | | | $ | — | | |
| | | | Chair | | | | $ | 8,000 | | |
Name | | | 2020 Base Salary | | | 2021 Base Salary | | | Change (%) | | |||||||||
Pablo J. Cagnoni, M.D. | | | | $ | 585,000 | | | | | $ | 600,000 | | | | | | 2.6% | | |
Jose Carmona | | | | $ | 450,000 | | | | | $ | 450,000 | | | | | | — | | |
Dannielle Appelhans | | | | | — | | | | | $ | 450,000 | | | | | | — | | |
Maiken Keson-Brookes | | | | $ | 400,000 | | | | | $ | 416,000 | | | | | | 4.0% | | |
Laurence Turka, M.D. | | | | $ | 400,000 | | | | | $ | 425,026(1) | | | | | | 6.3% | | |
| | | | | | | | | | Measurement Criteria | | | | | |||
| | | | Corporate Objective | | | Weighting | | | 100% Achievement | | | Actual Achievement | | | Bonus Pool Funding | |
| | | | Deliver clinical data | | | 45% | | | • Achieve either recommended Phase 2 dose (RP2D) in solid tumor monotherapy arm of RTX-240 clinical trial or achieve RP2D in AML arm of RTX-240 clinical trial (data dependent) • Complete Type-C meeting with FDA and determine path forward for PD-1 combination arm of RTX-240 clinical trial • Submit for FDA approval, and receive clearance of, IND for RTX-224 • Achieve RP2D for RTX-321 monotherapy trial | | | • RP2D goals for solid tumor and AML arms of RTX-240 clinical trial partially achieved (due to addition of higher dose cohort) • Completed Type-C meeting with FDA and determined path forward for PD-1 combination arm of RTX-240 clinical trial • Received clearance of IND for RTX-224 from the FDA • Achieved the following stretch goals: • Initiated PD-1 combination arm of RTX-240 clinical trial • Initiated clinical trial for RTX-224 | | | 40% | |
| | | | Achieve development and operational goals | | | 25% | | | • Develop, transfer and prepare 200L IND-A for chosen asset to enable 2022 supply • Deliver average productivity output target for RTX-240 and RTX-321 • Deliver average productivity target in final pilot plant transferred process (200L scale) • Reduce drug product disposition average turnaround time • Achieve Quality Health Index equal to or greater than 70% | | | • Fully achieved IND-A goal • Fully achieved all manufacturing process development, optimization, productivity and quality objectives • Achieved the following stretch goals: • Met stretch RCT productivity target • Applied new analytical methods to process development approach • Met stretch quality index target | | | 40% | |
| | | | Build our pipeline | | | 15% | | | • Execute preclinical goal for T1D program • Execute preclinical goal for next aAPC program • Establish a mouse or non-human primate model | | | • Preclinical goals for autoimmune and aAPC programs mostly achieved • Established non-human primate model • Partially achieved stretch goal pertaining to plan development and initiation of preclinical studies for next RTX program • Fully achieved stretch goal pertaining to the evaluation of the scientific validity and technical feasibility of loadable human leukocyte antigen (HLA) | | | 20% | |
| | | | | | | | | | Measurement Criteria | | | | | |||
| | | | Corporate Objective | | | Weighting | | | 100% Achievement | | | Actual Achievement | | | Bonus Pool Funding | |
| | | | Maintain financial stability and achievement of additional financial and organizational goals | | | 15% | | | • Maintain sufficient funds to execute on 2022 business plan • Execute on business development objectives | | | • Fully achieved funds objective • Successfully completed an equity financing • Substantially completed, on schedule, Quality Control expansion design, build and commission • For the second year in a row, Rubius named among the “Top Places to Work” by the Boston Globe and one of the top three “Best Places to Work” by the Providence Business News • Made five scientific presentations and hosted Virtual Preclinical and Platform Day | | | 10% | |
| | | | Total | | | | | | | | | | | | 110% | |
Name and Principal Position | | | Base Salary ($) | | | Target Bonus (%) | | | Target Bonus ($) | | | Target Bonus – Corporate Component ($)(1) | | | Actual Bonus – Corporate Multiplier (%) | | | Target Bonus – Individual Component ($)(1) | | | Actual Bonus – Individual Multiplier (%) | | | Actual Payout ($) | | ||||||||||||||||||||||||
Pablo J. Cagnoni, M.D. President and Chief Executive Officer | | | | $ | 600,000 | | | | | | 55% | | | | | $ | 330,000 | | | | | $ | 330,000 | | | | | | 110% | | | | | | — | | | | | | — | | | | | $ | 363,000 | | |
Jose Carmona Chief Financial Officer | | | | $ | 450,000 | | | | | | 40% | | | | | $ | 180,000 | | | | | $ | 135,000 | | | | | | 110% | | | | | $ | 45,000 | | | | | | 115% | | | | | $ | 200,250 | | |
Dannielle Appelhans Chief Operating Officer | | | | $ | 450,000 | | | | | | 40% | | | | | $ | 180,000 | | | | | $ | 135,000 | | | | | | 110% | | | | | $ | 45,000 | | | | | | 100% | | | | | $ | 76,870(2) | | |
Maiken Keson-Brookes Chief Legal Officer and Corporate Secretary | | | | $ | 416,000 | | | | | | 40% | | | | | $ | 166,400 | | | | | $ | 124,800 | | | | | | 110% | | | | | $ | 41,600 | | | | | | 115% | | | | | $ | 185,120 | | |
Laurence Turka, M.D. Chief Scientific Officer and Head of Research & Translational Medicine | | | | $ | 425,026(3) | | | | | | 40% | | | | | $ | 170,010 | | | | | $ | 127,508 | | | | | | 110% | | | | | $ | 42,503 | | | | | | 115% | | | | | $ | 189,136 | | |
Name | | | Number of Shares Underlying Stock Options | | | Number of RSUs | | ||||||
Pablo J. Cagnoni, M.D. | | | | | 375,000 | | | | | | 85,000 | | |
Jose Carmona(1) | | | | | — | | | | | | — | | |
Dannielle Appelhans(2) | | | | | 150,000 | | | | | | 50,000 | | |
Maiken Keson-Brookes | | | | | 142,500 | | | | | | 32,300 | | |
Laurence Turka, M.D. | | | | | 131,250 | | | | | | 29,750 | | |
| | | 2020 Pay | | | 2021 Pay | | | Change (%) | | |||||||||
Target Total Cash Compensation ($) | | | | $ | 906,750 | | | | | $ | 930,000 | | | | | | 2.6% | | |
Base Salary(1) | | | | $ | 585,000 | | | | | $ | 600,000 | | | | | | | | |
Target Performance Bonus(2) | | | | $ | 321,750 | | | | | $ | 330,000 | | | | | | | | |
Target Equity Compensation (# of shares) | | | | | 500,000 | | | | | | 460,000 | | | | | | — | | |
Options | | | | | 500,000 | | | | | | 375,000 | | | | | | | | |
RSUs | | | | | — | | | | | | 85,000 | | | | | | | | |
| | | 2020 Pay | | | 2021 Pay | | | Change (%) | | |||||||||
Target Total Cash Compensation ($) | | | | $ | 630,000 | | | | | $ | 630,000 | | | | | | 0% | | |
Base Salary(1) | | | | $ | 450,000 | | | | | $ | 450,000 | | | | | | | | |
Target Performance Bonus(2) | | | | $ | 180,000 | | | | | $ | 180,000 | | | | | | | | |
Target Equity Compensation (# of shares)(3) | | | | | 400,000 | | | | | | — | | | | | | — | | |
Options | | | | | 400,000 | | | | | | — | | | | | | | | |
RSUs | | | | | — | | | | | | — | | | | | | | | |
| | | 2020 Pay(1) | | | 2021 Pay | | | Change (%) | | |||
Target Total Cash Compensation ($) | | | — | | | | $ | 630,000 | | | | — | |
Base Salary(2) | | | — | | | | $ | 450,000 | | | | | |
Target Performance Bonus(3) | | | — | | | | $ | 180,000 | | | | | |
Target Equity Compensation (# of shares)(4) | | | — | | | | | 200,000 | | | | — | |
Options | | | — | | | | | 150,000 | | | | | |
RSUs | | | — | | | | | 50,000 | | | | | |
| | | 2020 Pay | | | 2021 Pay | | | Change (%) | | |||||||||
Target Total Cash Compensation ($) | | | | $ | 560,000 | | | | | $ | 582,400 | | | | | | 4.0% | | |
Base Salary(1) | | | | $ | 400,000 | | | | | $ | 416,000 | | | | | | | | |
Target Performance Bonus(2) | | | | $ | 160,000 | | | | | $ | 166,400 | | | | | | | | |
Target Equity Compensation(3) (# of shares) | | | | | — | | | | | | 174,800 | | | | | | — | | |
Options | | | | | — | | | | | | 142,500 | | | | | | | | |
RSUs | | | | | — | | | | | | 32,300 | | | | | | | | |
| | | 2020 Pay | | | 2021 Pay | | | Change (%) | | |||||||||
Target Total Cash Compensation ($) | | | | $ | 560,000 | | | | | $ | 595,036 | | | | | | 6.3% | | |
Base Salary(1) | | | | $ | 400,000 | | | | | $ | 425,026 | | | | | | | | |
Target Performance Bonus(2) | | | | $ | 160,000 | | | | | $ | 170,010 | | | | | | | | |
Target Equity Compensation (# of shares)(3) | | | | | 350,000 | | | | | | 161,000 | | | | | | — | | |
Options | | | | | 350,000 | | | | | | 131,250 | | | | | | | | |
RSUs | | | | | — | | | | | | 29,750 | | | | | | | | |
Name and Principal Position | | | Year | | | Salary ($) | | | Bonus ($)(5) | | | Stock Awards ($)(6) | | | Option Awards ($)(7) | | | Non-Equity Incentive Plan Compensation ($)(8) | | | All Other Compensation ($)(9) | | | Total ($) | | ||||||||||||||||||||||||
Pablo J. Cagnoni, M.D. President and Chief Executive Officer | | | | | 2021 | | | | | | 597,528 | | | | | | — | | | | | | 1,017,450 | | | | | | 2,996,738 | | | | | | 363,000 | | | | | | 10,918 | | | | | | 4,985,634 | | |
| | | 2020 | | | | | | 579,167 | | | | | | 410,231 | | | | | | — | | | | | | 2,437,850 | | | | | | — | | | | | | 16,621 | | | | | | 3,443,869 | | | ||
| | | 2019 | | | | | | 547,500 | | | | | | 211,750 | | | | | | — | | | | | | 935,250 | | | | | | — | | | | | | 26,630 | | | | | | 1,721,130 | | | ||
Jose Carmona(1) Chief Financial Officer | | | | | 2021 | | | | | | 450,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | 200,250 | | | | | | 8,945 | | | | | | 659,195 | | |
Dannielle Appelhans(2) Chief Operating Officer | | | | | 2021 | | | | | | 177,404 | | | | | | 130,000 | | | | | | 1,086,000 | | | | | | 2,185,155 | | | | | | 76,870 | | | | | | 38,706 | | | | | | 3,694,135 | | |
Maiken Keson-Brookes(3) Chief Legal Officer and Corporate Secretary | | | | | 2021 | | | | | | 413,333 | | | | | | — | | | | | | 386,631 | | | | | | 1,138,760 | | | | | | 185,120 | | | | | | 9,290 | | | | | | 2,133,134 | | |
| | | 2020 | | | | | | 400,000 | | | | | | 202,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | 9,290 | | | | | | 611,290 | | | ||
| | | 2019 | | | | | | 50,000 | | | | | | 140,000 | | | | | | — | | | | | | 1,299,875 | | | | | | — | | | | | | 45 | | | | | | 1,489,920 | | | ||
Laurence Turka, M.D.(4) Chief Scientific Officer and Head of Research and Translational Medicine | | | | | 2021 | | | | | | 425,850 | | | | | | — | | | | | | 356,108 | | | | | | 1,048,858 | | | | | | 189,136 | | | | | | 11,564 | | | | | | 2,031,516 | | |
| | | 2020 | | | | | | 380,513 | | | | | | 312,693 | | | | | | — | | | | | | 1,706,495 | | | | | | — | | | | | | 11,731 | | | | | | 2,411,432 | | |
Name | | | Grant Date (1) | | | Estimated Possible Payouts Under Non-Equity Incentive Plan Awards – Target ($)(2) | | | All Other Stock Awards; Number of Shares of Stock or Units (#)(3) | | | All Other Option Awards; Number of Securities Underlying Options (#)(4) | | | Exercise or Base Price of Option Awards ($/Sh)(5) | | | Grant Date Fair Value of Stock and Option Awards ($)(6) | | ||||||||||||||||||
Pablo J. Cagnoni, M.D. | | | | | — | | | | | | 330,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | 1/29/2021 | | | | | | — | | | | | | — | | | | | | 375,000 | | | | | | 11.97 | | | | | | 2,996,738 | | |
| | | | | 1/29/2021 | | | | | | — | | | | | | 85,000 | | | | | | — | | | | | | — | | | | | | 1,017,450 | | |
Jose Carmona | | | | | — | | | | | | 180,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Dannielle Appelhans | | | | | — | | | | | | 71,507 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | 8/31/2021 | | | | | | — | | | | | | — | | | | | | 150,000 | | | | | | 21.72 | | | | | | 2,185,155 | | |
| | | | | 8/31/2021 | | | | | | — | | | | | | 50,000 | | | | | | — | | | | | | — | | | | | | 1,086,000 | | |
Maiken Keson- Brookes | | | | | — | | | | | | 166,400 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | 1/29/2021 | | | | | | — | | | | | | — | | | | | | 142,500 | | | | | | 11.97 | | | | | | 1,138,760 | | |
| | | | | 1/29/2021 | | | | | | — | | | | | | 32,300 | | | | | | — | | | | | | — | | | | | | 386,631 | | |
Laurence Turka, M.D. | | | | | — | | | | | | 170,010 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | 1/29/2021 | | | | | | — | | | | | | — | | | | | | 131,250 | | | | | | 11.97 | | | | | | 1,048,858 | | |
| | | | | 1/29/2021 | | | | | | — | | | | | | 29,750 | | | | | | — | | | | | | — | | | | | | 356,108 | | |
| | | Option Awards | | | Stock 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 ($) | | | Option Expiration Date | | | Number of shares or units of stock that have not vested(#) | | | Market value of shares or units of stock that have not vested($)(1) | | |||||||||||||||||||||
Pablo J. Cagnoni, M.D. | | | | | 3,486,858 | | | | | | 316,988(2) | | | | | | — | | | | | | 8.66 | | | | | | 4/10/2028 | | | | | | 85,000(3) | | | | | | 822,800 | | |
| | | | | — | | | | | | — | | | | | | 164,400(4) | | | | | | 16.43 | | | | | | 10/30/2028 | | | | | | — | | | | | | — | | |
| | | | | — | | | | | | — | | | | | | 193,400(5) | | | | | | 16.43 | | | | | | 10/30/2028 | | | | | | — | | | | | | — | | |
| | | | | 68,750 | | | | | | 31,250(6) | | | | | | — | | | | | | 13.69 | | | | | | 1/30/2029 | | | | | | — | | | | | | — | | |
| | | | | 218,750 | | | | | | 281,250(7) | | | | | | — | | | | | | 7.80 | | | | | | 1/30/2030 | | | | | | — | | | | | | — | | |
| | | | | — | | | | | | 375,000(8) | | | | | | — | | | | | | 11.97 | | | | | | 1/28/2031 | | | | | | — | | | | | | — | | |
Jose Carmona | | | | | 100,000 | | | | | | 300,000(9) | | | | | | — | | | | | | 6.27 | | | | | | 11/29/2030 | | | | | | — | | | | | | — | | |
Dannielle Appelhans | | | | | — | | | | | | 150,000(10) | | | | | | — | | | | | | 21.72 | | | | | | 8/30/2031 | | | | | | 50,000(11) | | | | | | 484,000 | | |
Maiken Keson-Brookes | | | | | 100,000 | | | | | | 125,000(12) | | | | | | — | | | | | | 7.70 | | | | | | 11/28/2029 | | | | | | 32,300(3) | | | | | | 312,664 | | |
| | | | | — | | | | | | 142,500(8) | | | | | | — | | | | | | 11.97 | | | | | | 1/28/2031 | | | | | | — | | | | | | — | | |
Laurence Turka, M.D. | | | | | 153,125 | | | | | | 196,875(7) | | | | | | — | | | | | | 7.80 | | | | | | 1/30/2030 | | | | | | 29,750(3) | | | | | | 287,980 | | |
| | | | | — | | | | | | 131,250(8) | | | | | | — | | | | | | 11.97 | | | | | | 1/28/2031 | | | | | | — | | | | | | — | | |
| | | Option Awards | | |||
Name | | | Number of Shares Acquired on Exercise (#) | | | Value Realized on Exercise ($)(1) | |
Pablo J. Cagnoni, M.D. | | | — | | | — | |
Jose Carmona | | | — | | | — | |
Dannielle Appelhans | | | — | | | — | |
Maiken-Keson Brookes | | | 25,000 | | | 564,750 | |
Laurence Turka, M.D. | | | — | | | — | |
Name | | | Qualifying Termination Not in Connection with a Change in Control ($)(1) | | | Qualifying Termination in Connection with a Change in Control ($)(1)(2) | | ||||||
Pablo J. Cagnoni, M.D. | | | | | | | | | | | | | |
Cash Severance Payment | | | | | 600,000(3) | | | | | | 1,395,000(4) | | |
Target Cash Bonus Payment | | | | | — | | | | | | 330,000(5) | | |
COBRA Premiums | | | | | 21,478(6) | | | | | | 32,217(7) | | |
Accelerated Equity Vesting (Time-Based) | | | | | 764,028(8) | | | | | | 1,674,878(9) | | |
Accelerated Equity Vesting (Performance-Based) | | | | | — | | | | | | —(10) | | |
Total | | | | | 1,385,506 | | | | | | 3,432,095 | | |
Jose Carmona | | | | | | | | | | | | | |
Cash Severance Payment | | | | | 337,500(11) | | | | | | 630,000(12) | | |
COBRA Premiums | | | | | 16,109(13) | | | | | | 21,478(6) | | |
Accelerated Equity Vesting (Time-Based) | | | | | — | | | | | | 1,023,000(9) | | |
Total | | | | | 353,609 | | | | | | 1,674,478 | | |
Dannielle Appelhans | | | | | | | | | | | | | |
Cash Severance Payment | | | | | 337,500(11) | | | | | | 521,507(12) | | |
COBRA Premiums | | | | | 16,109(13) | | | | | | 21,478(6) | | |
Accelerated Equity Vesting (Time-Based) | | | | | — | | | | | | 484,000(9) | | |
Total | | | | | 353,609 | | | | | | 1,026,985 | | |
Maiken Keson-Brookes | | | | | | | | | | | | | |
Cash Severance Payment | | | | | 312,000(11) | | | | | | 582,400(12) | | |
COBRA Premiums | | | | | —(14) | | | | | | —(14) | | |
Accelerated Equity Vesting (Time-Based) | | | | | — | | | | | | 560,164(9) | | |
Total | | | | | 312,000 | | | | | | 1,142,564 | | |
Laurence Turka, M.D. | | | | | | | | | | | | | |
Cash Severance Payment | | | | | 348,740(11) | | | | | | 634,997(12) | | |
COBRA Premiums | | | | | 16,109(13) | | | | | | 21,478(6) | | |
Accelerated Equity Vesting (Time-Based) | | | | | — | | | | | | 658,105(9) | | |
Total | | | | | 364,849 | | | | | | 1,314,580 | | |
Plan Category | | | Number of securities to be issued upon exercise of outstanding options, warrants and rights (#) | | | Weighted- average exercise price of outstanding options, warrants and rights ($) | | | 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) | | | | | 18,290,816(2) | | | | | $ | 12.13(3) | | | | | | 5,007,745(4) | | |
Equity compensation plans not approved by security holders | | | | | — | | | | | | — | | | | | | — | | |
Total | | | | | 18,290,816 | | | | | $ | 12.13 | | | | | | 5,007,745 | | |
| | | Shares beneficially owned | | |||||||||
Name and address of beneficial owner | | | Number | | | Percentage | | ||||||
5% Stockholders: | | | | | | | | | | | | | |
Entities affiliated with the Flagship Pioneering Funds(1) | | | | | 38,506,526 | | | | | | 42.7% | | |
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) | | | | | 4,312,853 | | | | | | 4.6% | | |
Jose Carmona(5) | | | | | 150,000 | | | | | | * | | |
Dannielle Appelhans(6) | | | | | — | | | | | | * | | |
Maiken Keson-Brookes(7) | | | | | 165,499 | | | | | | * | | |
Laurence Turka, M.D.(8) | | | | | 242,811 | | | | | | * | | |
Noubar B. Afeyan, Ph.D.(9) | | | | | 38,606,526 | | | | | | 42.8% | | |
Francis Cuss, M.B., B.Chir., FRCP(10) | | | | | 240,000 | | | | | | * | | |
David R. Epstein(11) | | | | | 7,171,065 | | | | | | 7.8% | | |
Natalie Holles(5) | | | | | 100,000 | | | | | | * | | |
Anne Prener, M.D., Ph.D.(5) | | | | | 62,500 | | | | | | * | | |
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) | | | | | 51,828,754 | | | | | | 52.6% | | |
| | | 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) | | | | | 12,376,153 | | | | | | 13.7% | | |
David R. Epstein(3) | | | | | 4,900,012 | | | | | | 5.4% | | |
Baillie Gifford & Co(4) | | | | | 4,869,126 | | | | | | 5.4% | | |
Named Executive Officers and Directors: | | | | | | | | | | | | | |
Pablo J. Cagnoni, M.D.(5) | | | | | 4,617,478 | | | | | | 4.9% | | |
Jose Carmona(6) | | | | | — | | | | | | — | | |
Dannielle Appelhans(7) | | | | | 97,885 | | | | | | * | | |
Maiken Keson-Brookes(8) | | | | | 5,343 | | | | | | * | | |
Laurence Turka, M.D.(9) | | | | | 382,452 | | | | | | * | | |
Catherine A. Sohn, Pharm.D.(10) | | | | | 232,500 | | | | | | * | | |
Sir Jonathan R. Symonds, CBE(11) | | | | | 295,000 | | | | | | * | | |
All executive officers and directors as a group (7 persons)(12) | | | | | 5,630,658 | | | | | | 5.9% | | |