| | | | Important Notice Regarding the Availability of Proxy Materials for the Stockholders’ Meeting to Be Held on The proxy statement and annual report to stockholders are available at http://www.astproxyportal.com/ast/ | |
| | | | You are cordially invited to attend the meeting in person. Whether or not you expect to attend the meeting, please complete, date, sign and return the enclosed proxy, or vote over the telephone or the internet as instructed in these materials, as promptly as possible in order to ensure your representation at the meeting. Even if you have voted by proxy, you may still vote in person if you attend the meeting. Please note, however, that if your shares are held of record by a broker, bank or other nominee and you wish to vote at the meeting, you must obtain a proxy issued in your name from that record holder. | |
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| | | | Internet proxy voting may be provided to allow you to vote your shares online, with procedures designed to ensure the authenticity and correctness of your proxy vote instructions. However, please be aware that you must bear any costs associated with your internet access, such as usage charges from internet access providers and telephone companies. | |
Proposal Number | | | Proposal Description | | | Vote Required for Approval | | | Effect of Abstentions | | | Effect of Broker Non-Votes | |
1 | | | Election of Class | | | | | Withheld votes will have no effect | | | None | | |
2 | | | | | “For” votes from the holders of a majority of the | | | Against | | | |
Proposal Number | | | Proposal Description | | | Vote Required for Approval | | | Effect of Abstentions | | | Effect of Broker Non-Votes | |
3 | | | |||||||||||
Ratification of KPMG LLP as Independent Registered Public Accounting Firm for fiscal year | | | “For” votes from the holders of a majority of the voting power of the shares present in person or represented by proxy and entitled to vote on the subject matter | | | Against | | | None | |
| | | | NAME | | | AGE(1) | | | Principal Occupation/Position Held With the Company | |
| | | | Ralph H. “Randy” Thurman | | | 70 | | | Executive Chairman, Class III | |
| | | | NAME | | | AGE(1) | | | Principal Occupation/Position Held With the Company, Class | |
| | | | Yezan Haddadin | | | 44 | | | Director, Class I | |
| | | | Kurt J. Hilzinger | | | 59 | | | Director, Class I | |
| | | | Lawrence A. Kenyon | | | | | Director, Class II, Chief Executive Officer, President, Chief Financial Officer, Treasurer and Secretary | | |
| | | | | | | | Director, Class | | ||
| | | | | | | | Director, Class II | |
| | | Name | | Audit | | Compensation | | Nominating and Corporate Governance | | | | Name | | Audit | | Compensation | | Nominating and Corporate Governance | | ||||||||||||||||||||||||||
| | | Pankaj Mohan, Ph.D.(1) | | | | | | | | | | | | | | | | | | | Lawrence A. Kenyon(1) | | | | | | | | | | | | | | | | | ||||||||
| | | Todd C. Brady, M.D., Ph.D.(2) | | | | X | | | | | | | | | | X | | | | | Scott Canute(2) | | | | | | | | | X | | | | | | | | ||||||||
| | | Scott Canute(3) | | | | | | | | | X* | | | | | | | | | | Kurt J. Hilzinger | | | | X* | | | | | X | | | | | | | | ||||||||
| | | Albert D. Dyrness(2) | | | | | | | | | X | | | | | X | | | | | Pankaj Mohan, Ph.D.(3) | | | | | | | | | | | | | | | | | ||||||||
| | | Donald J. Griffith(4) | | | | | | | | | | | | | | | | | | | Faisal G. Sukhtian | | | | X | | | | | | | | | | X* | | | ||||||||
| | | Kurt J. Hilzinger | | | | X* | | | | | X | | | | | | | | | | Joe Thomas | | | | X | | | | | | | | | | | | | ||||||||
| | | Robin Smith Hoke(4) | | | | X | | | | | | | | | | X* | | | | | Joerg Windisch, Ph.D.(4) | | | | | | | | | X | | | | | | | | ||||||||
| | | Faisal G. Sukhtian(5) | | | | X | | | | | | | | | | X* | | | | | Ralph “Randy” H. Thurman(5) | | | | | | | | | X* | | | | | X | | | ||||||||
| | | Joe Thomas(5) | | | | | | | | | | | | | | X | | | | | Yezan Haddadin(6) | | | | | | | | | X | | | | | X | | | ||||||||
| | | Total meetings in fiscal year 2017 | | | | 4 | | | | | 2 | | | | | 0 | | | | | Total meetings in fiscal year 2018 | | | | 4 | | | | | 2 | | | | | 2 | | |
Status | | | Number of shares of Common Stock Authorized | | | Number of shares of Common Stock Issued and Outstanding | | | Number of shares of Common Stock Reserved for Future Issuance | | | Number of shares of Common Stock Authorized but Unreserved and Unissued | | ||||||||||||
Pre-reverse stock split | | | | | 200,000,000 | | | | | | 72,198,468 | | | | | | 54,688,979 | | | | | | 73,112,553 | | |
Post-reverse stock split 1-for-2 | | | | | 200,000,000 | | | | | | 36,099,234 | | | | | | 27,344,489 | | | | | | 136,556,277 | | |
Post-reverse stock split 1-for-6 | | | | | 200,000,000 | | | | | | 12,033,078 | | | | | | 9,114,829 | | | | | | 178,852,093 | | |
Post-reverse stock split 1-for-10 | | | | | 200,000,000 | | | | | | 7,219,846 | | | | | | 5,468,897 | | | | | | 187,311,257 | | |
| | | As of August 1, 2018 | | |||
Total shares subject to outstanding stock options | | | | | 1,534,454 | | |
Total shares subject to outstanding restricted stock unit awards | | | | | 83,821 | | |
Total shares subject to outstanding performance stock unit awards under the 2011 Stock Incentive Plan | | | | | 149,326 | | |
Weighted-average exercise price per share of outstanding stock options | | | | $ | 0.93 | | |
Weighted-average remaining term of outstanding stock options | | | | | 9.86 | | |
Total shares available for grant under the 2015 Plan | | | | | 367,377 | | |
Total shares available for grant under other equity plans | | | | | 289,855(1) | | |
Represents shares issuable pursuant to our 2016 Employee Stock Purchase Plan | | | | | | | |
| | | As of July 24, 2018 (Record Date) | | |||
Total common stock outstanding | | | | | 72,198,468 | | |
Total Series A-1 preferred stock on an as converted basis | | | | | 8,879,780 | | |
Closing price of common stock as reported on the Nasdaq Capital Market | | | | $ | 0.862 | | |
| | | As of July 31, 2019 | | |||
Total shares subject to outstanding stock options | | | | | 375,660 | | |
Weighted-average exercise price per share of outstanding stock options | | | | $ | 8.04 | | |
Weighted-average remaining term of outstanding stock options | | | | | 9.2 | | |
Total number of shares of common stock subject to outstanding full value awards | | | | | 18,975 | | |
Total shares available for grant under the 2015 Plan | | | | | 597,679 | | |
Total shares available for grant under other equity plans(1) | | | | | 68,145 | | |
| | | As of July 25, 2019 (Record Date) | | |||
Total common stock outstanding | | | | | 28,233,484 | | |
Total Series A-1 preferred stock on an as converted basis | | | | | 1,225,172 | | |
Closing price of common stock as reported on the Nasdaq Capital Market | | | | $ | 2.32 | | |
| | | Key Equity Metrics | | 2015 | | 2016(4) | | 2017 | | | | Key Equity Metrics | | 2016 | | 2017 | | 2018 | | ||||||||||||||||||||||||||
| | | Equity Run Rate(1) | | | | 0.00% | | | | | 4.10% | | | | | 2.56% | | | | | Equity Run Rate(1) | | | | 4.10% | | | | | 2.56% | | | | | 4.28% | | | ||||||||
| | | Overhang(2) | | | | 7.04% | | | | | 12.65% | | | | | 9.70% | | | | | Overhang(2) | | | | 12.65% | | | | | 9.70% | | | | | 18.26% | | | ||||||||
| | | Dilution(3) | | | | 7.28% | | | | | 5.88% | | | | | 4.47% | | | | | Dilution(3) | | | | 5.88% | | | | | 4.47% | | | | | 2.28% | | |
Name and position | | | Number of shares(1) | | |||
Lawrence A. Kenyon, Director, Chief Executive Officer, Chief Financial Officer, Treasurer and Corporate Secretary | | | | | — | | |
Pankaj Mohan, Director, former Chairman, President and Chief | | | | | | | |
Kenneth M. Bahrt M.D., former Chief Medical Officer | | | | | — | | |
Stephen J. McAndrew, Ph.D., former Senior Vice President, Business Strategy & Development | | | | | — | | |
All current executive officers as a group | | | | | | | |
All current directors who are not executive officers as a group | | | | | | | |
All employees, including all current officers who are not executive officers, as a group | | | | | — | | |
Name and position | | | Number of shares | | |||
Lawrence A. Kenyon, Director, Chief Executive Officer, Chief Financial Officer, Treasurer and Corporate Secretary | | | | | 174,184 | | |
Pankaj Mohan, Director, former Chairman, President and Chief | | | | | | | |
Kenneth M. Bahrt M.D., former Chief Medical Officer | | | | | | | |
Stephen J. McAndrew, Ph.D., former Senior Vice President, Business Strategy & Development | | | | | | | |
All current executive officers as a group | | | | | | | |
All current directors who are not executive officers as a group | | | | | | | |
Each nominee for election as a director: | | | | | | | |
| | | | ||||
| | ||||||
Each associate of any director, | | | | | — | | |
Each other person who received or is to receive 5% of rights under the 2015 Plan | | | | | — | | |
All employees, including all current officers who are not executive officers, as a group | | | | | | |
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 ($) | | Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column (a)) (#) | | | Number of securities to be issued upon exercise of outstanding options, warrants and rights | | Weighted- average exercise price of outstanding options, warrants and rights ($) | | Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in column (a)) (#) | | ||||||||||||||||||||||||
| | (a) | | (b) | | (c) | | | (a) | | (b) | | (c) | | ||||||||||||||||||||||||
Equity compensation plans approved by security holders: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ||||||
2011 Stock Incentive Plan | | | | 175,530 | | | | | 6.27(1) | | | | | —(2) | | | | | | 16,137 | | | | $ | 50.00(1) | | | | | —(2) | | | ||||||
2015 Equity Incentive Plan | | | | 939,879 | | | | | 18.78(3) | | | | | 1,214,309(4) | | | | | | 189,782 | | | | | (3) | | | | | 780,797(4) | | | ||||||
2016 Employee Stock Purchase Plan | | | | — | | | | | — | | | | | 289,855(5) | | | | | | — | | | | | — | | | | | 68,145(5) | | | ||||||
Equity compensation plans not approved by security holders: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | ||||||
None | | | | — | | | | | — | | | | | — | | | | | | — | | | | | — | | | | | — | | | ||||||
Total | | | | 1,115,409 | | | | | | | | | | 1,504,164 | | | | | | 205,919 | | | | | | | | | | 848,942 | | | ||||||
|
| | Fiscal Year Ended | | | Fiscal Year Ended | | ||||||||||||||||||||
| | 2017 | | 2016 | | | 2018 | | 2017 | | ||||||||||||||||
Audit Fees | | | $ | 350,000 | | | | $ | 350,000 | | | | | $ | 350,000 | | | | $ | 350,000 | | | ||||
Audit-related Fees | | | | 27,500 | | | | | 815,000 | | | | | | 32,500 | | | | | 27,500 | | | ||||
Tax Fees | | | | 31,504 | | | | | 87,000 | | | | | | 139,986 | | | | | 31,504 | | | ||||
Total Fees | | | $ | 409,004 | | | | $ | 1,252,000 | | | | | $ | 522,486 | | | | $ | 409,004 | | |
| | | Common Stock | | | Series A-1 Preferred | | ||||||||||||||||||||||||
Name of Beneficial Owner | | | Number of Shares Beneficially Owned | | | % of Class | | | Number of Shares Beneficially Owned | | | % of Class | | | % of Total Voting Power | | |||||||||||||||
Five Percent Stockholders (other than directors and officers): | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
GMS Tenshi Holdings Pte. Limited(1) | | | | | 90,469,983 | | | | | | 76.4% | | | | | | 58,735 | | | | | | 100.0% | | | | | | 76.4% | | |
Sabby Management, LLC(2) | | | | | 4,794,455 | | | | | | 6.5% | | | | | | — | | | | | | — | | | | | | 5.8% | | |
Named Executive Officers and Directors: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Lawrence A. Kenyon, Director, Chief Executive Officer, President, Chief Financial Officer, Treasurer and Corporate Secretary(3) | | | | | 45,574 | | | | | | * | | | | | | — | | | | | | — | | | | | | * | | |
Kenneth M. Bahrt, Chief Medical Officer | | | | | 40,327 | | | | | | * | | | | | | — | | | | | | — | | | | | | * | | |
Stephen McAndrew, Ph.D., Senior Vice President, Business Strategy & Development | | | | | 50,899 | | | | | | * | | | | | | — | | | | | | — | | | | | | * | | |
Randy Thurman, Executive Chairman of the Board | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Yezan Haddadin, Director | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Kurt J. Hilzinger, Director | | | | | 35,385 | | | | | | * | | | | | | — | | | | | | — | | | | | | * | | |
Pankaj Mohan, Ph.D., Director(4) | | | | | 8,097,372 | | | | | | 11.2% | | | | | | — | | | | | | — | | | | | | 10.0% | | |
Faisal G. Sukhtian, Director | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Joe Thomas, Director | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Joerg Windisch, Director | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
All executive officers and directors as a group (10 persons) | | | | | 8,269,557 | | | | | | 11.5% | | | | | | — | | | | | | — | | | | | | 10.2% | | |
| | | Common Stock | | | Series A-1 Convertible Preferred Stock | | ||||||||||||||||||||||||
Name of Beneficial Owner | | | Number of Shares Beneficially Owned | | | % | | | Number of Shares Beneficially Owned | | | % | | | % of Total Voting Power | | |||||||||||||||
Five Percent Stockholders (other than directors and officers): | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
BioLexis Pte. Ltd.(1) | | | | | 23,558,882 | | | | | | 62.4% | | | | | | 64,831 | | | | | | 100.0% | | | | | | 51.8% | | |
Named Executive Officers and Directors: | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Lawrence A. Kenyon, Director, President, Chief Executive Officer, Chief Financial Officer, Treasurer and Corporate Secretary(2) | | | | | 25,902 | | | | | | * | | | | | | — | | | | | | — | | | | | | † | | |
Kenneth M. Bahrt, M.D., former Chief Medical Officer(3) | | | | | 5,110 | | | | | | * | | | | | | — | | | | | | — | | | | | | † | | |
Stephen J. McAndrew, Ph.D., former Senior Vice President, Business Strategy & Development | | | | | 6,362 | | | | | | * | | | | | | — | | | | | | — | | | | | | † | | |
Ralph H. “Randy” Thurman, Executive Chairman (4) | | | | | 79,897 | | | | | | * | | | | | | — | | | | | | — | | | | | | † | | |
Yezan Haddadin, Director | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Kurt J. Hilzinger, Director(5) | | | | | 52,338 | | | | | | * | | | | | | — | | | | | | — | | | | | | † | | |
Pankaj Mohan, Ph.D., Director, former Chief Executive Officer(6) | | | | | 976,600 | | | | | | 3.5% | | | | | | — | | | | | | — | | | | | | 3.3% | | |
Faisal G. Sukhtian, Director | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Joe Thomas, Director | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
All current executive officers and directors as a group (9 persons)(7) | | | | | 1,134,737 | | | | | | 4.0% | | | | | | — | | | | | | — | | | | | | 3.4% | | |
| | | | Name | | | Age | | | Position(s) | |
| | | | Lawrence A. Kenyon | | | | | Director, Chief Executive Officer, President, Chief Financial Officer, Treasurer and Corporate Secretary | | |
| | | | | | | | Chief | | ||
| | | | | | | | |
Name and Principal Position | | Year | | Salary ($) | | Bonus ($) | | Equity Plan Awards ($)(3) | | All Other Compensation ($)(4) | | Total ($) | | | Year | | Salary ($) | | Bonus ($)(1) | | Stock Awards ($)(2) | | Option Awards ($)(3) | | Other Compensation ($)(4) | | Total ($) | | ||||||||||||||||||||||||||||||||||||||||||||||||||||
Pankaj Mohan, Ph.D.(1) Director, former Chairman, President and former Chief Executive Officer | | | | | 2017 | | | | | 490,000 | | | | | — | | | | | 555,942 | | | | | 31,610 | | | | | 1,077,551 | | | ||||||||||||||||||||||||||||||||||||||||||||||||
| | | 2016 | | | | | 369,926 | | | | | 990,000 | | | | | 11,787,997 | | | | | 26,658 | | | | | 13,174,581 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
Lawrence A. Kenyon(2) Director, Chief Executive Officer, President, Chief Financial Officer, Treasurer and Corporate Secretary | | | | | 2017 | | | | | 350,000 | | | | | 100,000 | | | | | 128,065 | | | | | 16,940 | | | | | 595,005 | | | ||||||||||||||||||||||||||||||||||||||||||||||||
| | | 2016 | | | | | 309,359 | | | | | — | | | | | 1,262,992 | | | | | 17,727 | | | | | 1,590,078 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
Kenneth M. Bahrt, M.D. Chief Medical Officer | | | | | 2017 | | | | | 400,000 | | | | | 100,000 | | | | | 108,209 | | | | | 21,469 | | | | | 629,678 | | | ||||||||||||||||||||||||||||||||||||||||||||||||
| | | 2016 | | | | | 310,202 | | | | | — | | | | | 80,040 | | | | | 22,174 | | | | | 412,416 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
Lawrence A. Kenyon(5) Director, Chief Executive Officer, President, Chief Financial Officer, Treasurer and Corporate Secretary | | | | | 2018 | | | | | 371,635 | | | | | — | | | | | — | | | | | 326,192 | | | | | 18,305 | | | | | 716,132 | | | |||||||||||||||||||||||||||||||||||||||||||
| | | 2017 | | | | | 350,000 | | | | | 100,000 | | | | | 128,065 | | | | | — | | | | | 16,940 | | | | | 595,005 | | | |||||||||||||||||||||||||||||||||||||||||||||
Pankaj Mohan, Ph.D.(6) Director, former Chairman, President and Chief Executive Officer | | | | | 2018 | | | | | 350,538 | | | | | — | | | | | — | | | | | — | | | | | 875,172 | | | | | 1,225,710 | | | |||||||||||||||||||||||||||||||||||||||||||
| | | 2017 | | | | | 490,000 | | | | | — | | | | | 555,942 | | | | | — | | | | | 31,610 | | | | | 1,077,551 | | | |||||||||||||||||||||||||||||||||||||||||||||
Kenneth M. Bahrt, M.D.(7) Former Chief Medical Officer | | | | | 2018 | | | | | 400,000 | | | | | — | | | | | — | | | | | — | | | | | 29,082 | | | | | 429,082 | | | |||||||||||||||||||||||||||||||||||||||||||
| | | 2017 | | | | | 400,000 | | | | | 100,000 | | | | | 108,209 | | | | | — | | | | | 21,469 | | | | | 629,678 | | | |||||||||||||||||||||||||||||||||||||||||||||
Stephen J. McAndrew, Ph.D.(8) Former Senior Vice President, Business Strategy & Development | | | | 2018 | | | | | 300,000 | | | | | — | | | | | — | | | | | 14,060 | | | | | 12,011 | | | | | 326,071 | | |
| | | | | | | | | Stock Awards(1) | | |||||||||
| | | Grant Date | | | Number of Share or Units of Stock That Have Not Vested (#) | | | Market Value of Shares or Units of Stock That Have Not Vested ($) | | |||||||||
Pankaj Mohan, Ph.D. | | | | | 12/31/2015 | | | | | | 202,899 | | | | | $ | 277,972 | | |
Lawrence A. Kenyon | | | | | 12/31/2015 | | | | | | 43,478(2) | | | | | | 59,565 | | |
Lawrence A. Kenyon | | | | | 12/21/2016 | | | | | | 50,000(3) | | | | | | 68,500 | | |
Kenneth M. Bahrt M.D. | | | | | 6/22/2015 | | | | | | 28,985(4) | | | | | | 39,709 | | |
Kenneth M. Bahrt M.D. | | | | | 12/21/2016 | | | | | | 50,000(3) | | | | | | 68,500 | | |
| | | | | | | | | Option awards(1) | | | Stock awards(1) | | ||||||||||||||||||||||||||||||||||||||||||||||||
Name | | | Grant date | | | 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 ($) | | ||||||||||||||||||||||||||||||
Lawrence A. Kenyon | | | | | 8/1/2018 | | | | | | — | | | | | | 62,500(2) | | | | | | — | | | | | | 6.88 | | | | | | 8/1/2028 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | 12/31/2015 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 2,717(3) | | | | | | 21,304 | | | | | | — | | | | | | — | | |
Kenneth M. Bahrt, M.D. | | | | | 06/22/2015 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 1,812(4) | | | | | | 14,203 | | | | | | — | | | | | | — | | |
Stephen J. McAndrew, Ph.D. | | | | | 06/15/2018 | | | | | | — | | | | | | 3,750(5) | | | | | | — | | | | | | 7.20 | | | | | | 06/15/2028 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | Name | | Fees Earned or Paid in Cash(1) ($) | | Total ($) | | | | Name | | Fees Earned or Paid in Cash(1) ($) | | Option Awards(2) ($) | | All Other Compensation(3) ($) | | Total ($) | | ||||||||||||||||||||||||||
| | | Todd C. Brady, M.D., Ph.D.(3) | | | | 57,596 | | | | | 57,596 | | | | | Claudio Albrecht(4) | | | | — | | | | | — | | | | | — | | | | | — | | | ||||||||
| | | Scott Canute | | | | 50,000 | | | | | 50,000 | | | | | Todd C. Brady, M.D., Ph.D.(5) | | | | 6,339 | | | | | 5,292 | | | | | — | | | | | 11,631 | | | ||||||||
| | | Albert Dyrness(3) | | | | 51,500 | | | | | 51,500 | | | | | Scott Canute(4) | | | | 28,447 | | | | | — | | | | | — | | | | | 28,447 | | | ||||||||
| | | Donald J. Griffith(2) | | | | 33,193 | | | | | 33,193 | | | | | Albert Dyrness(5) | | | | 4,198 | | | | | 5,292 | | | | | — | | | | | 9,490 | | | ||||||||
| | | Kurt Hilzinger | | | | 62,500 | | | | | 62,500 | | | | | Yezan Haddadin(6) | | | | — | | | | | — | | | | | — | | | | | — | | | ||||||||
| | | Robin Smith Hoke(2) | | | | 44,573 | | | | | 44,573 | | | | | Kurt Hilzinger | | | | 62,500 | | | | | 21,421 | | | | | — | | | | | 83,921 | | | ||||||||
| | | Faisal G. Sukhtian(4) | | | | — | | | | | — | | | | | Pankaj Mohan, Ph.D.(7) | | | | 9,997 | | | | | 9,837 | | | | | 61,250 | | | | | 81,084 | | | ||||||||
| | | Joe Thomas(4) | | | | — | | | | | — | | | | | Faisal G. Sukhtian(6) | | | | — | | | | | — | | | | | — | | | | | — | | | ||||||||
| | | Joe Thomas(6) | | | | — | | | | | — | | | | | — | | | | | — | | | ||||||||||||||||||||||
| | | Randy Thurman(8) | | | | 59,494 | | | | | 73,454 | | | | | — | | | | | 132,948 | | | ||||||||||||||||||||||
| | | Joerg Windisch, Ph.D.(9) | | | | 20,986 | | | | | 23,327 | | | | | — | | | | | 44,313 | | |
Board Committee | | Chairperson Fee ($) | | Member Fee ($) | | | Chairperson Fee | | Member Fee | | ||||||||||||||||
Audit Committee | | | | 15,000 | | | | | 7,500 | | | | | $ | 15,000 | | | | $ | 7,500 | | | ||||
Compensation Committee | | | | 10,000 | | | | | 5,000 | | | | | | 10,000 | | | | | 5,000 | | | ||||
Nominating and Corporate Governance Committee | | | | 8,000 | | | | | 4,000 | | | | | | 8,000 | | | | | 4,000 | | |
Name | | | Grant date | | | 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 | | |||||||||
Randy Thurman | | | 11/09/2018 | | | | | 70,940 | | | | | | — | | | | | | — | | | | 7.12 | | | 11/09/2028 | |
Kurt Hilzinger | | | 11/09/2018 | | | | | 25,481 | | | | | | — | | | | | | — | | | | 7.12 | | | 11/09/2028 | |
Joerg Windisch, Ph.D. | | | 11/09/2018 | | | | | 16,308 | | | | | | — | | | | | | — | | | | 7.12 | | | 11/09/2028 | |
Pankaj Mohan, Ph.D. | | | 11/09/2018 | | | | | 14,269 | | | | | | — | | | | | | — | | | | 7.12 | | | 11/09/2028 | |
Related Party | | | # of Shares of Series A Redeemable Preferred Stock Converted | | | # of Shares of Common Stock Received Upon Conversion | | | # of Shares of DE Series A Preferred Stock Received Upon Conversion | | |||||||||
Mr. Canute | | | | | 250 shares | | | | | | | | | | | 351 shares | | | |
Dr. Brady | | | | | 100 shares | | | | | | | | | | | 141 shares | | | |
Dr. Mohan’s immediate family | | | | | 150 shares | | | | | | | | | | | 212 shares | | | |
Mr. Gangloff’s immediate family | | | | | 55 shares | | | | | | | | | | | 79 shares | | | |
Mr. Griffith’s immediate family | | | | | 35 shares | | | | | | | | | | | 50 shares | | |