| | | | | 1 | | | |
| | | | | 4 | | | |
| | | | | 7 | | | |
| | | | | 8 | | | |
| | | | | 9 | | | |
| | | | | 11 | | | |
| | | | | 14 | | | |
| | | | | 15 | | | |
| | | | | | | ||
| | | | | | | ||
| | | | | 22 | | |
Name | | | Age | | | Position | | |||
Linda F. Powers | | | | | Class III Director, Chairperson, President and Chief Executive Officer | | ||||
J. Cofer Black | | | 70 | | | Class I Director | | |||
Dr. Alton L. Boynton | | | | | Class I Director, Chief Scientific Officer | | ||||
| | | | Class | | |||||
Dr. Navid Malik | | | | | Class III | |||||
|
Name of Beneficial Owner | | | Number of Shares Beneficially Owned | | | Percentage(1) | | ||||||
Officers and Directors | | | | ||||||||||
Alton L. Boynton, Ph.D.(2) | | | | | 2,280,808 | | | | | | *% | | |
Marnix L. Bosch, Ph.D., M.B.A.(3) | | | | | 5,444,494 | | | | | | 1.6% | | |
Linda F. Powers(4) | | | | | 107,205,135 | | | | | | 25.6% | | |
Leslie J. Goldman(5) | | | | | 294,661 | | | | | | *% | | |
Dr. Navid Malik | | | | | 10,000 | | | | | | *% | | |
Jerry Jasinowski(6) | | | | | 2,007,888 | | | | | | *% | | |
All executive officers and directors as a group (6 persons) | | | | | 35,822,576 | | | | | | 10.4% | | |
5% Security Holders | | | | ||||||||||
Cognate BioServices, Inc.(7) 4600 East Shelby Drive Suite 108, Memphis, TN | | | | | 102,024,505 | | | | | | 24.4% | | |
Woodford Investment Management LLP(8) 9400 Garsington Road Oxford OX4 2NH, UK | | | | | 24,815,028 | | | | | | 7.5% | | |
CF Woodford Equity Income Fund(9) 40 Dukes Place London EC3A 7NH, UK | | | | | 18,316,679 | | | | | | 5.6% | | |
Name of Beneficial Owner | | | Number of Shares Beneficially Owned | | | Percentage(1) | | ||||||
Officers and Directors | | | | | | | | | | | | | |
Alton L. Boynton, Ph.D.(2) | | | | | 11,034,937 | | | | | | 1.6% | | |
Marnix L. Bosch, Ph.D., M.B.A.(3) | | | | | 7,997,379 | | | | | | 1.2% | | |
Linda F. Powers(4) | | | | | 107,983,329 | | | | | | 14.6% | | |
Leslie J. Goldman(5) | | | | | 24,672,742 | | | | | | 3.6% | | |
Dr. Navid Malik(6) | | | | | 9,075,000 | | | | | | 1.4% | | |
Jerry Jasinowski(7) | | | | | 7,444,204 | | | | | | 1.1% | | |
J. Cofer Black(8) | | | | | 1,715,000 | | | | | | *% | | |
Jean M. Davis(9) | | | | | 643,055 | | | | | | *% | | |
All executive officers and directors as a group (eight persons) | | | | | 170,565,646 | | | | | | 21.3% | | |
Name | | | Age | | | Position | |
Linda F. Powers | | | | | Class III Director, Chairperson, President and Chief Executive Officer | | |
Alton L. Boynton, Ph.D. | | | | | Class I Director, Chief Scientific Officer | | |
Leslie J. Goldman | | | | | Senior Vice President, | | |
Marnix L. Bosch, Ph.D. | | | | | Chief Technical Officer | | |
Jean M. Davis | | | 48 | | | Chief Financial Officer, Chief Accounting Officer and Interim Chief Information Officer | |
Name and Principal Position | | | Year | | | Salary ($) | | | Bonus ($) | | | Option Awards ($) | | | Total ($) | | |||||||||||||||
Linda F. Powers Chairperson, President & Chief Executive Officer | | | | | 2017 | | | | | $ | 502,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 502,000 | | |
| | | 2016 | | | | | $ | 502,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 502,000 | | | ||
| | | 2015 | | | | | $ | 500,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 500,000 | | | ||
Alton L. Boynton, Ph.D. Chief Scientific Officer and Secretary | | | | | 2017 | | | | | $ | 325,000 | | | | | $ | — | | | | | $ | 216,228 | | | | | $ | 541,228 | | |
| | | 2016 | | | | | $ | 325,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 325,000 | | | ||
| | | 2015 | | | | | $ | 325,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 325,000 | | | ||
Leslie J. Goldman Senior Vice President, Business Development | | | | | 2017 | | | | | $ | 375,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 375,000 | | |
| | | 2016 | | | | | $ | 375,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 375,000 | | | ||
| | | 2015 | | | | | $ | 375,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 375,000 | | | ||
Marnix L. Bosch, Ph.D. Chief Technical Officer | | | | | 2017 | | | | | $ | 375,000 | | | | | $ | — | | | | | $ | 504,532 | | | | | $ | 879,532 | | |
| | | 2016 | | | | | $ | 375,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 375,000 | | | ||
| | | 2015 | | | | | $ | 375,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 375,000 | | | ||
Other | | | | | | | |||||||||||||||||||||||||
Susan Goldman* | | | | | 2017 | | | | | $ | 120,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 120,000 | | |
| | | 2016 | | | | | $ | 118,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 118,000 | | |
Name and Principal Position | | | Year | | | Salary ($) | | | Bonus (S) | | | Option Awards ($)(1) | | | Total ($) | | |||||||||||||||
Linda F. Powers Chairperson, President & Chief Executive Officer | | | | | 2019 | | | | | $ | 502,000 | | | | | $ | 100,000 | | | | | $ | — | | | | | $ | 602,000 | | |
| | | 2018 | | | | | $ | 502,000 | | | | | $ | — | | | | | $ | 6,698,000 | | | | | $ | 7,200,000 | | | ||
Alton L. Boynton, Ph.D. Chief Scientific Officer and Secretary | | | | | 2019 | | | | | $ | 325,000 | | | | | $ | 20,000 | | | | | $ | — | | | | | $ | 345,000 | | |
| | | 2018 | | | | | $ | 325,000 | | | | | $ | — | | | | | $ | 1,528,000 | | | | | $ | 1,853,000 | | | ||
Leslie Goldman Senior Vice President, General Counsel | | | | | 2019 | | | | | $ | 375,000 | | | | | $ | 67,000 | | | | | $ | — | | | | | $ | 442,000 | | |
| | | 2018 | | | | | $ | 375,000 | | | | | $ | — | | | | | $ | 4,186,000 | | | | | $ | 4,561,000 | | | ||
Marnix L. Bosch, Ph.D.(2) Chief Technical Officer | | | | | 2019 | | | | | $ | 397,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 397,000 | | |
| | | 2018 | | | | | $ | 375,000 | | | | | $ | — | | | | | $ | 260,000 | | | | | $ | 635,000 | | | ||
Jean M. Davis(3) Chief Financial Officer, Chief Accounting Officer and Interim Chief Information Officer | | | | | 2019 | | | | | $ | 16,000 | | | | | $ | — | | | | | $ | 500,000 | | | | | $ | 516,000 | | |
| | | 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 ($) | | | Option Expiration Date | | | Number of Shares or Units of Stock That Have Not Vested (#) | | | Market Value of Shares or Units of Stock That Have Not Vested ($) | | | 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 ($) | | |||||||||||||||||||||||||||
Linda F. Powers Chief Executive Officer and President | | | | | 592,500(1) | | | | | | 296,250 | | | | | | — | | | | | | 10.56 | | | | | | 6/21/2018 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Alton Boynton Chief Scientific Officer and Secretary | | | | | 2,268,619(2) | | | | | | 1,134,316 | | | | | | — | | | | | | 0.25 | | | | | | 6/13/2022 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Leslie J. Goldman Senior Vice President, Business Development | | | | | 93,535(3) | | | | | | 46,875 | | | | | | — | | | | | | 10.56 | | | | | | 6/21/2018 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Marnix L. Bosch Chief Technical Officer | | | | | 5,293,451(4) | | | | | | 2,646,731 | | | | | | — | | | | | | 0.25 | | | | | | 6/13/2022 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Name | | | Number of Securities Underlying Unexercised Options (#) Exercisable | | | Number of Securities Underlying Unexercised Options (#) Unexercisable | | | Option Exercise Price ($) | | | Option Expiration Date | | ||||||||||||
Linda F. Powers Chief Executive Officer and President | | | | | 37,495,653(1) | | | | | | 1,704,347 | | | | | | 0.23 | | | | | | 5/28/2028 | | |
Alton Boynton Chief Scientific Officer and Secretary | | | | | 3,402,935(2) | | | | | | — | | | | | | 0.25 | | | | | | 6/13/2027 | | |
| | | 4,686,959(3) | | | | | | 213,041 | | | | | | 0.23 | | | | | | 5/28/2028 | | | ||
| | | 2,472,557(4) | | | | | | 494,508 | | | | | | 0.23 | | | | | | 8/31/2028 | | | ||
Leslie J. Goldman Senior Vice President and General Counsel | | | | | 23,434,776(5) | | | | | | 1,065,224 | | | | | | 0.23 | | | | | | 5/28/2028 | | |
Marnix L. Bosch Chief Technical Officer | | | | | 31,770(6) | | | | | | 21,355 | | | | | | 11.20 | | | | | | 6/23/2022 | | |
| | | 15,625(7) | | | | | | — | | | | | | 8.80 | | | | | | 8/20/2022 | | | ||
| | | 7,940,182(8) | | | | | | — | | | | | | 0.25 | | | | | | 6/13/2027 | | | ||
Jean M. Davis Chief Financial Officer, Chief Accounting Officer and Interim Chief Information Officer | | | | | —(9) | | | | | | 3,000,000 | | | | | | 0.22 | | | | | | 12/9/2029 | | |
Name | | Year | | Fees Earned or Paid in Cash ($) | | All Other Compensation ($) | | Total ($) | | | Year | | Fees Earned or Paid in Cash ($) | | All Other Compensation ($) | | Option Awards ($)(1) | | Total ($) | | ||||||||||||||||||||||||||||||||||||
Dr. Navid Malik | | | | 2017 | | | | $ | 150,000 | | | | $ | — | | | | $ | 150,000 | | | | | | 2019 | | | | | 150,000 | | | | | — | | | | | — | | | | | 150,000 | | | |||||||||
Jerry Jasinowski | | | | 2017 | | | | $ | 150,000 | | | | $ | — | | | | $ | 150,000 | | | | | | 2019 | | | | | 150,000 | | | | | — | | | | | — | | | | | 150,000 | | | |||||||||
J. Cofer Black | | | | 2017 | | | | $ | 150,000 | | | | $ | — | | | | $ | 150,000 | | | | | | 2019 | | | | | 150,000 | | | | | — | | | | | — | | | | | 150,000 | | |