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Proposal | | | Voting Choices and Board Recommendation | |
Proposal 1: Election of Directors | | | • vote in favor of all nominees; | |
| • withhold authority to vote for all nominees; or | | ||
| • withhold authority to vote for any specified nominee. | | ||
| The Board recommends a vote FOR each of the nominees. | | ||
Proposal 2: Ratification of Selection of Independent Registered Public Accounting Firm | | | • vote in favor of ratification; | |
| • vote against ratification; or | | ||
| • abstain from voting on ratification. | | ||
| The Board recommends a vote FOR ratification. | | ||
Proposal 3: Advisory Proposal to Approve Executive Compensation | | | • vote in favor of | |
| • vote against | | ||
| • abstain from voting on ratification. | | ||
| The Board recommends a vote FOR the advisory vote to approve executive compensation. | | ||
Proposal 4: Advisory Proposal to Recommend the Frequency of Vote to Approve Executive Compensation | | | • vote for “Every Year”; | |
| • vote for “Every Two Years” | | ||
| • vote for “Every Three Years”; or | | ||
| • abstain from voting on proposal. | | ||
| The Board recommends a vote FOR | |
Proposal | | | Abstentions | | | Broker Non-Votes | |
Proposal 1: Election of Directors | | | N/A | | | Not counted and no effect on vote. | |
Proposal 2: Ratification of Independent Registered Public Accounting Firm | | | Not counted and no effect on vote. | | | N/A | |
Proposal 3: Advisory Proposal to Approve Executive Compensation | | | Not counted and no effect on vote. | | | Not counted and no effect on vote. | |
Proposal 4: Advisory Proposal to Recommend the Frequency of Vote to Approve Executive Compensation | | | Not counted and no effect on vote. | | | Not counted and no effect on vote | |
| | | Timothy C. Barabe (1) | | | Ronald M. Lindsay (3) | | | Michael Loberg (2)(3) | | | William Messenger (1)(2) | | | Paolo Pucci | | | Patrick Zenner (1)(2) | | | Susan L. Kelley (3) | | ||||||||||||||||||||||||||
High level of financial literacy | | | | | X | | | | | | | | | | | | X | | | | | | X | | | | | | X | | | | | | X | | | | ||||||||||
Relevant biotechnology business experience | | | | | X | | | | | | X | | | | | | X | | | | | | X | | | | | | X | | | | | | X | | | | | | X | | | |||||
Extensive knowledge of drug research and development | | | | | | | | | | | X | | | | | | X | | | | | | | | | | | | X | | | | | | X | | | | | | X | | | |||||
Extensive knowledge of drug commercialization and marketing | | | | | X | | | | | | X | | | | | | X | | | | | | | | | | | | X | | | | | | X | | | | ||||||||||
Expertise in corporate governance and business ethics | | | | | X | | | | | | | | | | | | | | | | | | X | | | | | | X | | | | | | X | | | | ||||||||||
Diversity of background, professional experience or culture | | | | | | | | | | | | | | | | | X | | | | | | X | | | | | | X | | | | | | | | | | | | X | | |
Name | | Fees Earned or Paid in Cash ($) | | Option Awards(1) ($) | | Total ($) | | | Fees Earned or Paid in Cash ($) | | Option Awards(1) ($) | | Total ($) | | ||||||||||||||||||||||||
Timothy C. Barabe(2) | | | $ | 62,250 | | | | $ | 17,160 | | | | $ | 79,410 | | | | | $ | 60,250 | | | | $ | 16,478 | | | | $ | 76,728 | | | ||||||
Susan L. Kelley, M.D | | | | 56,000 | | | | | 17,160 | | | | | 73,160 | | | ||||||||||||||||||||||
Ronald M. Lindsay, Ph.D | | | | 74,000 | | | | | 17,160 | | | | | 91,160 | | | ||||||||||||||||||||||
Susan L. Kelley, M.D. | | | | 50,000 | | | | | 16,478 | | | | | 66,478 | | | ||||||||||||||||||||||
Ronald M. Lindsay, Ph.D. | | | | 74,000 | | | | | 16,478 | | | | | 90,478 | | | ||||||||||||||||||||||
Michael D. Loberg, Ph.D.(3) | | | | 62,250 | | | | | 17,160 | | | | | 79,410 | | | | | | 60,250 | | | | | 16,478 | | | | | 76,728 | | | ||||||
William G. Messenger, D. Min. | | | | 68,500 | | | | | 17,160 | | | | | 85,660 | | | | | | 66,500 | | | | | 16,478 | | | | | 82,978 | | | ||||||
Patrick J. Zenner | | | | 73,500 | | | | | 28,600 | | | | | 102,100 | | | | | | 71,500 | | | | | 20,598 | | | | | 92,098 | | |
Name and Principal Position | | 2014 Annualized Base Salary ($) | | 2015 Annualized Base Salary ($) | | % Increase | | Comment | | | 2015 Annualized Base Salary ($) | | 2016 Annualized Base Salary ($) | | % Increase | | Comment | | ||||||||||||||||||||||||||
Paolo Pucci, CEO | | | | 489,000 | | | | | 489,000 | | | | | — | | | Base salary negotiated in and adjusted per amended employment agreement and annual review. | | | | | 489,000 | | | | | 489,000 | | | | | — | | | Base salary negotiated in and adjusted per amended employment agreement and annual review. | | ||||||||
Peter S. Lawrence, COO | | | | 414,000 | | | | | 422,000 | | | | | 2.0 | | | Base salary negotiated in and adjusted per amended employment agreement and annual review. | | | | | 422,000 | | | | | 431,000 | | | | | 2.0 | | | Base salary negotiated in and adjusted per amended employment agreement and annual review. | | ||||||||
Dr. Brian Schwartz, CMO | | | | 396,000 | | | | | 412,000 | | | | | 4.0 | | | Base salary negotiated in and adjusted per employment agreement and annual review. | | | | | 412,000 | | | | | 429,000 | | | | | 4.0 | | | Base salary negotiated in and adjusted per employment agreement and annual review. | | ||||||||
Robert J. Weiskopf, CFO | | | | 258,750 | | | | | 305,000 | | | | | 17.9 | | | Merit increase with additional responsibility, and increase to $305,000 related to promotion to Chief Financial Officer and Treasurer in June 2015. | | | | | 305,000 | | | | | 305,000 | | | | | — | | | No increase due to promotion to Chief Financial Officer and Treasurer in June 2015. | |
Name and Principal Position | | | (% of Base Salary) | | | (% of Base Salary) | | | Comment | |
Paolo Pucci, CEO | | | 60.0% | | | | | Target bonus set by terms of amended employment agreement. Actual bonus | | |
Peter S. Lawrence, COO | | | 45.0% | | | | | Target bonus set by terms of amended employment agreement. Actual bonus | | |
Dr. Brian Schwartz, CMO | | | 40.0% | | | | | Target bonus set by terms of employment agreement. Actual bonus | | |
Robert J. Weiskopf, CFO | | | 35.0% | | | | | Bonus target set by Compensation Committee in accordance with annual standard process. Actual bonus 87% of target. | |
Name and Principal Position | | Year | | Salary ($) (1) | | Bonus ($) | | Stock Awards ($) | | Option Awards ($) (2) | | Non-Equity Incentive Plan Compensation ($) (3) | | All Other Compensation ($) (4) | | Total ($) | | Year | | Salary ($) (1) | | Bonus ($) | | Stock Awards ($) | | Option Awards ($) (2) | | Non-Equity Incentive Plan Compensation ($) (3) | | All Other Compensation ($) (4) | | Total ($) | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Paolo Pucci Chief Executive Officer | | | | | 2015 | | | | | 489,345 | | | | | — | | | | | — | | | | | 285,948 | | | | | 293,607 | | | | | 8,550 | | | | | 1,077,450 | | | | | 2016 | | | | | 489,345 | | | | | — | | | | | — | | | | | 548,208 | | | | | 255,438 | | | | | 8,550 | | | | | 1,301,541 | ||||||||||||||
| | | 2014 | | | | | 489,345 | | | | | — | | | | | — | | | | | 532,134 | | | | | 249,566 | | | | | 8,400 | | | | | 1,279,445 | | | | 2015 | | | | | 489,345 | | | | | — | | | | | — | | | | | 285,948 | | | | | 293,607 | | | | | 8,550 | | | | | 1,077,450 | |||||||||||||||||
| | | 2013 | | | | | 489,345 | | | | | — | | | | | — | | | | | 486,609 | | | | | 249,566 | | | | | 8,100 | | | | | 1,233,620 | | | | 2014 | | | | | 489,345 | | | | | — | | | | | — | | | | | 532,134 | | | | | 249,566 | | | | | 8,400 | | | | | 1,279,445 | |||||||||||||||||
Peter S. Lawrence President, Chief Operating Officer, General Counsel and Secretary | | | | | 2015 | | | | | 421,562 | | | | | — | | | | | — | | | | | 160,571 | | | | | 189,990 | | | | | 8,550 | | | | | 780,673 | | | | | 2016 | | | | | 430,286 | | | | | — | | | | | — | | | | | 274,104 | | | | | 168,597 | | | | | 8,550 | | | | | 881,536 | ||||||||||||||
| | | 2014 | | | | | 413,921 | | | | | — | | | | | — | | | | | 245,130 | | | | | 158,325 | | | | | 8,400 | | | | | 825,776 | | | | 2015 | | | | | 421,562 | | | | | — | | | | | — | | | | | 160,571 | | | | | 189,990 | | | | | 8,550 | | | | | 780,673 | |||||||||||||||||
| | | 2013 | | | | | 413,921 | | | | | — | | | | | — | | | | | 210,864 | | | | | 158,325 | | | | | 8,100 | | | | | 791,210 | | | | 2014 | | | | | 413,921 | | | | | — | | | | | — | | | | | 245,130 | | | | | 158,325 | | | | | 8,400 | | | | | 825,776 | |||||||||||||||||
Dr. Brian Schwartz Chief Medical Officer and Senior Vice President | | | | | 2015 | | | | | 410,991 | | | | | — | | | | | — | | | | | 107,780 | | | | | 164,884 | | | | | 8,550 | | | | | 692,205 | | | | | 2016 | | | | | 428,001 | | | | | — | | | | | — | | | | | 237,557 | | | | | 149,187 | | | | | 8,550 | | | | | 823,295 | ||||||||||||||
| | | 2014 | | | | | 394,597 | | | | | — | | | | | — | | | | | 185,811 | | | | | 134,761 | | | | | 8,400 | | | | | 723,569 | | | | 2015 | | | | | 410,991 | | | | | — | | | | | — | | | | | 107,780 | | | | | 164,884 | | | | | 8,550 | | | | | 692,205 | |||||||||||||||||
| | | 2013 | | | | | 380,258 | | | | | — | | | | | — | | | | | 145,983 | | | | | 129,578 | | | | | 8,100 | | | | | 663,919 | | | | 2014 | | | | | 394,597 | | | | | — | | | | | — | | | | | 185,811 | | | | | 134,761 | | | | | 8,400 | | | | | 723,569 | |||||||||||||||||
Robert J. Weiskopf (5) Chief Financial Officer and Treasurer | | | | | 2015 | | | | | 288,372 | | | | | — | | | | | — | | | | | 91,876 | | | | | 106,750 | | | | | 8,550 | | | | | 495,548 | ||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 2016 | | | | | 305,000 | | | | | — | | | | | — | | | | | 137,052 | | | | | 92,873 | | | | | 8,550 | | | | | 543,475 | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | | 2015 | | | | | 288,372 | | | | | — | | | | | — | | | | | 91,876 | | | | | 106,750 | | | | | 8,550 | | | | | 495,548 |
| | | | | | | Estimated Future Payouts Under Non-Equity Incentive Plan Awards(1) | | | All Other Option Awards: Number of Securities Underlying Options (#) | | Grant Date Fair Value of Stock and Option Awards(2) ($) | | | | | | | | Estimated Future Payouts Under Non-Equity Incentive Plan Awards(1) | | | All Other Option Awards: Number of Securities Underlying Options (#) | | Grant Date Fair Value of Stock and Option Awards(2) ($) | | ||||||||||||||||||||||||||||||||||||||||||||||||
Name | | Grant Date | | Threshold ($) | | Target ($) | | Maximum ($) | | | Grant Date | | Threshold ($) | | Target ($) | | Maximum ($) | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Paolo Pucci | | | | N/A | | | | | — | | | | | 293,607 | | | | | 440,410 | | | | | | | N/A | | | | | — | | | | | 299,479 | | | | | 449,219 | | | | ||||||||||||||||||||||||||||||
| | | | 1/20/2015 | | | | | | | | | | | | | | | | | | | | 390,000 | | | | | 285,948 | | | | | | 1/19/2016 | | | | | | | | | | | | | | | | | | | | 480,000 | | | | | 548,208 | | | ||||||||||||
Peter S. Lawrence | | | | N/A | | | | | — | | | | | 193,789 | | | | | 290,684 | | | | | | | N/A | | | | | — | | | | | 201,541 | | | | | 302,311 | | | | | | | | | |||||||||||||||||||||||||
| | | | 1/20/2015 | | | | | | | | | | | | | | | | | | | | 219,000 | | | | | 160,571 | | | | | | 1/19/2016 | | | | | | | | | | | | | | | | | | | | 240,000 | | | | | 274,104 | | | ||||||||||||
Dr. Brian Schwartz | | | | N/A | | | | | — | | | | | 171,480 | | | | | 257,219 | | | | | | | N/A | | | | | — | | | | | 178,339 | | | | | 267,508 | | | | | | | | | |||||||||||||||||||||||||
| | | | 1/20/2015 | | | | | | | | | | | | | | | | | | | | 147,000 | | | | | 107,780 | | | | | | 1/19/2016 | | | | | | | | | | | | | | | | | | | | 208,000 | | | | | 237,557 | | | ||||||||||||
Robert J. Weiskopf | | | | N/A | | | | | — | | | | | 106,750 | | | | | 160,125 | | | | | | | N/A | | | | | — | | | | | 126,880 | | | | | 190,320 | | | | ||||||||||||||||||||||||||||||
| | | | 1/20/2015 | | | | | | | | | | | | | | | | | | | | 108,500 | | | | | 91,876 | | | | | | 1/19/2016 | | | | | | | | | | | | | | | | | | | | 120,000 | | | | | 137,052 | | |
| | Option Awards | | | | | | | Stock Awards | | | Option Awards | | | | | | | Stock Awards | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||
Name | | Number of Securities Underlying Unexercised Options (#)(1) Exercisable | | Number of Securities Underlying Unexercised Options (#)(1) Unexercisable | | Option Exercise Price ($) | | Option Expiration Date | | Equity Incentive Plan Awards: Number of Shares, Units or Other Rights that Have Not Vested | | Equity Incentive Plan Awards: Market or Payout Value of Shares, Units or Other Rights that Have Not Vested(2) | | | Number of Securities Underlying Unexercised Options (#)(1) Exercisable | | Number of Securities Underlying Unexercised Options (#)(1) Unexercisable | | Option Exercise Price ($) | | Option Expiration Date | | Equity Incentive Plan Awards: Number of Shares, Units or Other Rights that Have Not Vested | | Equity Incentive Plan Awards: Market or Payout Value of Shares, Units or Other Rights that Have Not Vested(2) | | ||||||||||||||||||||||||||||||||||||||||||||||||
Paolo Pucci | | | | | 500,000(3) | | | | | | | | | $ | 3.95 | | | | | 6/9/2018 | | | | | | | | | | | | | | | | | 500,000(3) | | | | | | | | | $ | 3.95 | | | | | 6/9/2018 | | | | | | | | | | | | | ||||||||||
| | | 225,000 | | | | | | | | | | 3.42 | | | | | 1/21/2020 | | | | | | | | | | | | | | | | 225,000 | | | | | | | | | | 3.42 | | | | | 1/21/2020 | | | | | | | | | | | | | |||||||||||||
| | | 100,000 | | | | | | | | | | 4.14 | | | | | 7/15/2020 | | | | | | | | | | | | | | | | 100,000 | | | | | | | | | | 4.14 | | | | | 7/15/2020 | | | | | | | | | | | | | |||||||||||||
| | | 300,000 | | | | | | | | | | 6.70 | | | | | 1/24/2021 | | | | | | | | | | | | | | | | 300,000 | | | | | | | | | | 6.70 | | | | | 1/24/2021 | | | | | | | | | | | | | |||||||||||||
| | | 236,250 | | | | | 78,750 | | | | | 7.95 | | | | | 2/1/2022 | | | | | | | | | | | | | | | | 315,000 | | | | | | | | | | 7.95 | | | | | 2/1/2022 | | | | | | | | | | | | | |||||||||||||
| | | 142,500 | | | | | 142,500 | | | | | 2.51 | | | | | 1/14/2023 | | | | | | | | | | | | | | | | 213,750 | | | | | 71,250 | | | | | 2.51 | | | | | 1/14/2023 | | | | | | | | | | | | | |||||||||||||
| | | 76,250 | | | | | 228,750 | | | | | 2.57 | | | | | 1/22/2024 | | | | | | | | | | | | | | | | 152,500 | | | | | 152,500 | | | | | 2.57 | | | | | 1/22/2024 | | | | | | | | | | | | | |||||||||||||
| | | | | | | | 390,000 | | | | | 1.16 | | | | | 1/20/2025 | | | | | | | | | | | | | | | | 2 | | | | | 292,500 | | | | | 1.16 | | | | | 1/20/2025 | | | | | | | | | | | | | |||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | 390,000(4) | | | | $ | 1,614,600 | | | | | | | | | | | 480,000 | | | | | 1.79 | | | | | 1/19/2026 | | | | | | | | | | | | | |||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | 390,000(4) | | | | $ | 1,614,600 | | | |||||||||||||||||||||||||||||||||||||||||||
Peter S. Lawrence | | | | | 300,000 | | | | | | | | | | 6.20 | | | | | 4/13/2016 | | | | | | | | | | | | | | | | | 50,000 | | | | | | | | | | 6.16 | | | | | 1/16/2017 | | | | | | | | | | | | | ||||||||||
| | | 50,000 | | | | | | | | | | 6.16 | | | | | 1/16/2017 | | | | | | | | | | | | | | | | 100,000 | | | | | | | | | | 7.56 | | | | | 10/4/2017 | | | | | | | | | | | | | |||||||||||||
| | | 100,000 | | | | | | | | | | 7.56 | | | | | 10/4/2017 | | | | | | | | | | | | | | | | 200,000 | | | | | | | | | | 4.75 | | | | | 1/17/2018 | | | | | | | | | | | | | |||||||||||||
| | | 200,000 | | | | | | | | | | 4.75 | | | | | 1/17/2018 | | | | | | | | | | | | | | | | 130,000 | | | | | | | | | | 3.42 | | | | | 1/21/2020 | | | | | | | | | | | | | |||||||||||||
| | | 130,000 | | | | | | | | | | 3.42 | | | | | 1/21/2020 | | | | | | | | | | | | | | | | 130,000 | | | | | | | | | | 6.70 | | | | | 1/24/2021 | | | | | | | | | | | | | |||||||||||||
| | | 130,000 | | | | | | | | | | 6.70 | | | | | 1/24/2021 | | | | | | | | | | | | | | | | 25,000 | | | | | | | | | | 6.70 | | | | | 1/24/2021 | | | | | | | | | | | | | |||||||||||||
| | | 25,000 | | | | | | | | | | 6.70 | | | | | 1/24/2021 | | | | | | | | | | | | | | | | 147,750 | | | | | | | | | | 7.95 | | | | | 2/1/2022 | | | | | | | | | | | | | |||||||||||||
| | | 110,812 | | | | | 36,938 | | | | | 7.95 | | | | | 2/1/2022 | | | | | | | | | | | | | | | | 92,625 | | | | | 30,875 | | | | | 2.51 | | | | | 1/14/2023 | | | | | | | | | | | | | |||||||||||||
| | | 61,750 | | | | | 61,750 | | | | | 2.51 | | | | | 1/14/2023 | | | | | | | | | | | | | | | | 70,250 | | | | | 70,250 | | | | | 2.57 | | | | | 1/22/2024 | | | | | | | | | | | | | |||||||||||||
| | | 35,125 | | | | | 105,375 | | | | | 2.57 | | | | | 1/22/2024 | | | | | | | | | | | | | | | | 42,250 | | | | | 126,750 | | | | | 1.16 | | | | | 1/20/2025 | | | | | | | | | | | | | |||||||||||||
| | | | | | | | 169,000 | | | | | 1.16 | | | | | 1/20/2025 | | | | | | | | | | | | | | | | 12,500 | | | | | 37,500 | | | | | 1.16 | | | | | 1/20/2025 | | | | | | | | | | | | | |||||||||||||
| | | | | | | | 50,000 | | | | | 1.16 | | | | | 1/20/2025 | | | | | | | | | | | | | | | | | | | | | 240,000 | | | | | 1.79 | | | | | 1/19/2026 | | | | | | | | | | | | | |||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | 12,500(5) | | | | $ | 31,375 | | | | | | | | | | | | | | | | | | | | | | | | | | 6,250(5) | | | | $ | 15,688 | | | |||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | 125,000(6) | | | | $ | 307,500 | | | | | | | | | | | | | | | | | | | | | | | | | | 125,000(6) | | | | $ | 307,500 | | | |||||||||||||
Dr. Brian Schwartz | | | | | 200,000 | | | | | | | | | | 3.62 | | | | | 7/14/2018 | | | | | | | | | | | | | | | | | 200,000 | | | | | | | | | | 3.62 | | | | | 7/14/2018 | | | | | | | | | | | | | ||||||||||
| | | 90,000 | | | | | | | | | | 3.42 | | | | | 1/21/2020 | | | | | | | | | | | | | | | | 90,000 | | | | | | | | | | 3.42 | | | | | 1/21/2020 | | | | | | | | | | | | | |||||||||||||
| | | 90,000 | | | | | | | | | | 6.70 | | | | | 1/24/2021 | | | | | | | | | | | | | | | | 90,000 | | | | | | | | | | 6.70 | | | | | 1/24/2021 | | | | | | | | | | | | | |||||||||||||
| | | 50,000 | | | | | | | | | | 6.70 | | | | | 1/24/2021 | | | | | | | | | | | | | | | | 50,000 | | | | | | | | | | 6.70 | | | | | 1/24/2021 | | | | | | | | | | | | | |||||||||||||
| | | 82,125 | | | | | 27,375 | | | | | 7.95 | | | | | 2/1/2022 | | | | | | | | | | | | | | | | 109,500 | | | | | | | | | | 7.95 | | | | | 2/1/2022 | | | | | | | | | | | | | |||||||||||||
| | | 42,750 | | | | | 42,750 | | | | | 2.51 | | | | | 1/14/2023 | | | | | | | | | | | | | | | | 64,125 | | | | | 21,375 | | | | | 2.51 | | | | | 1/14/2023 | | | | | | | | | | | | | |||||||||||||
| | | 26,625 | | | | | 79,875 | | | | | 2.57 | | | | | 1/22/2024 | | | | | | | | | | | | | | | | 53,250 | | | | | 53,250 | | | | | 2.57 | | | | | 1/22/2024 | | | | | | | | | | | | | |||||||||||||
| | | | | | | | 117,000 | | | | | 1.16 | | | | | 1/20/2025 | | | | | | | | | | | | | | | | 29,250 | | | | | 87,750 | | | | | 1.16 | | | | | 1/20/2025 | | | | | | | | | | | | | |||||||||||||
| | | | | | | | 30,000 | | | | | 1.16 | | | | | 1/20/2025 | | | | | | | | | | | | | | | | 7,500 | | | | | 22,500 | | | | | 1.16 | | | | | 1/20/2025 | | | | | | | | | | | | | |||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | 50,000(7) | | | | $ | 375,000 | | | | | | | | | | | 208,000 | | | | | 1.79 | | | | | 1/19/2026 | | | | | | | | | | | | | |||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | 15,000(8) | | | | $ | 37,650 | | | | | | | | | | | | | | | | | | | | | | | | | | 50,000(7) | | | | $ | 375,000 | | | |||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | 120,000(7) | | | | $ | 295,200 | | | | | | | | | | | | | | | | | | | | | | | | | | 7,500(8) | | | | $ | 18,825 | | | |||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | 120,000(7) | | | | $ | 295,200 | | |
| | Option Awards | | | | | | | Stock Awards | | | Option Awards | | | | | | | Stock Awards | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||
Name | | Number of Securities Underlying Unexercised Options (#)(1) Exercisable | | Number of Securities Underlying Unexercised Options (#)(1) Unexercisable | | Option Exercise Price ($) | | Option Expiration Date | | Equity Incentive Plan Awards: Number of Shares, Units or Other Rights that Have Not Vested | | Equity Incentive Plan Awards: Market or Payout Value of Shares, Units or Other Rights that Have Not Vested(2) | | | Number of Securities Underlying Unexercised Options (#)(1) Exercisable | | Number of Securities Underlying Unexercised Options (#)(1) Unexercisable | | Option Exercise Price ($) | | Option Expiration Date | | Equity Incentive Plan Awards: Number of Shares, Units or Other Rights that Have Not Vested | | Equity Incentive Plan Awards: Market or Payout Value of Shares, Units or Other Rights that Have Not Vested(2) | | ||||||||||||||||||||||||||||||||||||||||||||||||
Robert J. Weiskopf | | | | | 30,000 | | | | | | | | | | 6.81 | | | | | 2/19/2017 | | | | | | | | | | | | | | | | | 30,000 | | | | | | | | | | 6.81 | | | | | 2/19/2017 | | | | |||||||||||||||||||
| | | 22,500 | | | | | | | | | | 4.75 | | | | | 1/17/2018 | | | | | | | | | | | | | | | | 22,500 | | | | | | | | | | 4.75 | | | | | 1/17/2018 | | | | ||||||||||||||||||||||
| | | 45,000 | | | | | | | | | | 3.42 | | | | | 1/21/2020 | | | | | | | | | | | | | | | | 45,000 | | | | | | | | | | 3.42 | | | | | 1/21/2020 | | | | ||||||||||||||||||||||
| | | 45,000 | | | | | | | | | | 6.70 | | | | | 1/24/2021 | | | | | | | | | | | | | | | | 45,000 | | | | | | | | | | 6.70 | | | | | 1/24/2021 | | | | ||||||||||||||||||||||
| | | 40,500 | | | | | | | | | | 7.95 | | | | | 2/01/2022 | | | | | | | | | | | | | | | | 40,500 | | | | | | | | | | 7.95 | | | | | 2/01/2022 | | | | ||||||||||||||||||||||
| | | 32,062 | | | | | 10,688 | | | | | 2.51 | | | | | 1/14/2023 | | | | | | | | | | | | | | | | 32,062 | | | | | 10,688 | | | | | 2.51 | | | | | 1/14/2023 | | | | ||||||||||||||||||||||
| | | 24,125 | | | | | 24,125 | | | | | 2.57 | | | | | 1/22/2024 | | | | | | | | | | | | | | | | 24,125 | | | | | 24,125 | | | | | 2.57 | | | | | 1/22/2024 | | | | ||||||||||||||||||||||
| | | 14,625 | | | | | 43,875 | | | | | 1.16 | | | | | 1/20/2025 | | | | | | | | | | | | | | | | 14,625 | | | | | 43,875 | | | | | 1.16 | | | | | 1/20/2025 | | | | ||||||||||||||||||||||
| | | 5,000 | | | | | 15,000 | | | | | 1.16 | | | | | 1/20/2025 | | | | | | | | | | | | | | | | 5,000 | | | | | 15,000 | | | | | 1.16 | | | | | 1/20/2025 | | | | ||||||||||||||||||||||
| | | | | | | | 30,000 | | | | | 1.80 | | | | | 6/01/2025 | | | | | | | | | | | | | | | | 7,500 | | | | | 22,500 | | | | | 1.80 | | | | | 6/01/2025 | | | | ||||||||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | 3,200(9) | | | | $ | 8,032 | | | | | | | | | | | 120,000 | | | | | 1.79 | | | | | 1/19/2026 | | | | ||||||||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | 3,200(9) | | | | $ | 8,032 | | |
| | Option Awards | | Stock Awards | | | Option Awards | | Stock Awards | | ||||||||||||||||||||||||||||||||||||||||
Name | | Number of Securities Acquired on Exercise | | Value Realized Upon Exercise ($) | | Number of Shares Acquired on Vesting | | Value Realized on Vesting ($) (1) | | | Number of Securities Acquired on Exercise | | Value Realized Upon Exercise ($) | | Number of Shares Acquired on Vesting | | Value Realized on Vesting ($)(1) | | ||||||||||||||||||||||||||||||||
Paolo Pucci | | | | 97,498 | | | | | 173,546 | | | | | — | | | | | — | | | |||||||||||||||||||||||||||||
Peter S. Lawrence | | | | — | | | | | — | | | | | 6,250 | | | | | 7,500 | | | | | | — | | | | | — | | | | | 6,250 | | | | | 11,625 | | | ||||||||
Dr. Brian Schwartz | | | | — | | | | | — | | | | | 7,500 | | | | | 9,000 | | | | | | — | | | | | — | | | | | 7,500 | | | | | 13,950 | | | ||||||||
Robert J. Weiskopf | | | | — | | | | | — | | | | | 3,200 | | | | | 3,840 | | | | | | — | | | | | — | | | | | 3,200 | | | | | 5,952 | | |
Name | | Cash Payment(1) ($) | | Equity Acceleration(2) ($) | | Benefits and Perquisites(3) ($) | | Total ($) | | | Cash Payment(1) ($) | | Equity Acceleration(2) ($) | | Benefits and Perquisites(3) ($) | | Total ($) | | ||||||||||||||||||||||||||||||||
Paolo Pucci | | | $ | 1,477,822 | | | | | 1,240,200 | | | | $ | 28,060 | | | | $ | 2,746,082 | | | | | $ | 1,521,863 | | | | | 530,400 | | | | $ | 27,617 | | | | $ | 2,079,880 | | | ||||||||
Peter S. Lawrence | | | | 612,188 | | | | | 519,565 | | | | | 28,060 | | | | | 1,159,813 | | | | | | 624,432 | | | | | 181,800 | | | | | 27,617 | | | | | 833,849 | | | ||||||||
Dr. Brian Schwartz | | | | 577,095 | | | | | 549,920 | | | | | 28,060 | | | | | 1,155,075 | | | | | | 600,178 | | | | | 234,675 | | | | | 27,617 | | | | | 862,470 | | |
| | 2015 | | 2014 | | | 2016 | | 2015 | | ||||||||||||||||
Audit Fees | | | $ | 410,000 | | | | $ | 427,000 | | | | | $ | 471,500 | | | | $ | 410,000 | | | ||||
Audit-Related Fees | | | | — | | | | | — | | | |||||||||||||||
Tax Fees | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
All Other Fees | | | | — | | | | | — | | | | | | — | | | | | — | | | ||||
Total | | | $ | 410,000 | | | | $ | 427,000 | | | | | $ | 471,500 | | | | $ | 410,000 | | | |
Name | | Common Stock Owned | | Options to Purchase Common Stock | | Total Stock and Stock-based Holdings | | Percent of Class | | | Common Stock Owned | | Options to Purchase Common Stock | | Total Stock and Stock-based Holdings | | Percent of Class | | ||||||||||||||||||||||||||||||||
First Eagle Investment Management, LLC(1) 1345 Avenue of the Americas New York, NY 10105 | | | | 10,825,233 | | | | | 935,673 | | | | | 11,760,906 | | | | | 16.6% | | | | | | 10,912,733 | | | | | — | | | | | 10,912,733 | | | | | 15.3% | | | ||||||||
Nantahala Capital Management, LLC(2) 19 Old Kings Highway S, Suite 200 Darien, CT 06820 | | | | 8,615,547 | | | | | 1,053,333 | | | | | 9,668,880 | | | | | 13.6% | | | | | | 9,333,541 | | | | | — | | | | | 9,333,541 | | | | | 13.1% | | | ||||||||
BVF Partners, LP(3) 900 North Michigan Avenue, Suite 1100 Chicago, IL 60611 | | | | 7,862,478 | | | | | 467,868 | | | | | 8,330,316 | | | | | 11.7% | | | | | | 7,400,128 | | | | | — | | | | | 7,400,128 | | | | | 10.4% | | | ||||||||
1Globe Capital LLC(4) 245 First Street Riverview II, 18th Floor Cambridge, MA 02142 | | | | 4,008,664 | | | | | — | | | | | 4,008,664 | | | | | 5.6% | | | | | | 3,956,171 | | | | | — | | | | | 3,956,171 | | | | | 5.6% | | |
Directors and Executive Officers(1) | | Common Stock Owned | | Options to Purchase Common Stock | | Total Stock and Stock-based Holdings | | Percent of Class | | | Common Stock Owned | | Options to Purchase Common Stock | | Total Stock and Stock-based Holdings | | Percent of Class | | ||||||||||||||||||||||||||||||||
Timothy C. Barabe(2) | | | | 113,331 | | | | | 130,000 | | | | | 243,331 | | | | | * | | | | | | 136,897 | | | | | 140,000 | | | | | 276,897 | | | | | * | | | ||||||||
Susan L. Kelley | | | | 50,000 | | | | | 105,000 | | | | | 155,000 | | | | | * | | | | | | 50,000 | | | | | 125,000 | | | | | 175,000 | | | | | * | | | ||||||||
Ronald M. Lindsay | | | | 20,000 | | | | | 130,000 | | | | | 150,000 | | | | | * | | | | | | 20,000 | | | | | 140,000 | | | | | 160,000 | | | | | * | | | ||||||||
Michael D. Loberg | | | | 136,674 | | | | | 140,000 | | | | | 276,674 | | | | | * | | | | | | 157,522 | | | | | 140,000 | | | | | 297,522 | | | | | * | | | ||||||||
William G. Messenger | | | | 10,000 | | | | | 130,000 | | | | | 140,000 | | | | | * | | | | | | 10,000 | | | | | 140,000 | | | | | 150,000 | | | | | * | | | ||||||||
Patrick J. Zenner | | | | 73,770 | | | | | 210,000 | | | | | 283,770 | | | | | * | | | | | | 73,770 | | | | | 220,000 | | | | | 293,770 | | | | | * | | | ||||||||
Peter S. Lawrence | | | | 74,365 | | | | | 1,300,375 | | | | | 1,374,740 | | | | | 1.9% | | | | | | 77,743 | | | | | 1,131,125 | | | | | 1,208,868 | | | | | 1.7% | | | ||||||||
Paolo Pucci | | | | 410,614 | | | | | 1,806,252 | | | | | 2,216,866 | | | | | 3.1% | | | | | | 424,065 | | | | | 2,171,252 | | | | | 2,595,317 | | | | | 3.6% | | | ||||||||
Brian Schwartz | | | | 52,016 | | | | | 693,625 | | | | | 745,641 | | | | | 1.0% | | | | | | 63,886 | | | | | 830,375 | | | | | 894,261 | | | | | 1.3% | | | ||||||||
Robert J. Weiskopf | | | | 28,422 | | | | | 258,812 | | | | | 287,234 | | | | | * | | | | | | 30,407 | | | | | 338,687 | | | | | 369,094 | | | | | * | | | ||||||||
Directors and executive officers as a group (10 persons) | | | | 969,192 | | | | | 4,904,064 | | | | | 5,873,256 | | | | | 8.3% | | | | | | 1,044,290 | | | | | 5,376,439 | | | | | 6,420,729 | | | | | 9.0% | | | |