| | | | | 6 | | | |
| | | | | 15 | | | |
| | | | | 17 | | | |
| | | | | 19 | | | |
| | | | | 25 | | | |
| | | | | 30 | | | |
| | | | | 33 | | | |
| | | | | 38 | | |
Name
|
| |
Age
|
| |
Position
|
| |
Date Appointed
|
|
Young-Jin Kim | | |
65
|
| | Director | | | February 10, 2019 | |
Nevan Charles Elam
|
| |
54
|
| | Acting Chairman of the Board, Chief Executive Officer and Principal Financial Officer | | | January 31, 2013 | |
Gil Labrucherie | | |
50
|
| | Director | | | November 20, 2019 | |
Philippe Fauchet | | |
64
|
| | Director | | | September 10, 2020 | |
Nerissa Kreher | | |
49
|
| | Director | | | March 2, 2021 | |
Wladimir Hogenhuis
|
| |
57
|
| | Director | | | March 2, 2021 | |
|
Total Number of Directors
|
| |
6
|
| |||||||||
| | | | | | Male | | | | | | Female | | |
| Part I: Gender Identity | | | | | | | | | | | | | |
|
Directors
|
| | | | 5 | | | | | | 1 | | |
| Part II: Demographic Background | | | | | | | | | | | | | |
|
White
|
| | | | 3 | | | | | | 1 | | |
|
Did Not Disclose Demographic Background
|
| | | | 0 | | | | | | 0 | | |
|
Directors who are Military Veterans:
|
| | | | 1 | | | | | | 0 | | |
|
Directors with Disability:
|
| | | | 0 | | | | | | 0 | | |
Director Name
|
| |
Audit
|
| |
Compensation
|
| |
Nominating
and Governance |
| |||||||||
Gil Labrucherie
|
| | |
|
X
|
| | | |
|
X
|
| | | |
|
X
|
| |
Philippe Fauchet
|
| | |
|
X
|
| | | |
|
X
|
| | | |
|
X
|
| |
Wladimir Hogenhuis
|
| | |
|
X
|
| | | |
|
X
|
| | | |
|
X
|
| |
Nerissa Kreher
|
| | | | | | | | |
|
X
|
| | | |
|
X
|
| |
Name
|
| |
Fees Earned
or Paid in Cash ($) |
| |
Option
Awards ($)(5) |
| |
Total ($)
|
| |||||||||
Gil Labrucherie
|
| | | | 28,500(1) | | | | | | 51,842(6) | | | | | | 80,342 | | |
Philippe Fauchet
|
| | | | 28,500(2) | | | | | | 182,220(7) | | | | | | 210,720 | | |
Wladimir Hogenhuis
|
| | | | 20,333(3) | | | | | | 103,683(8) | | | | | | 124,016 | | |
Nerissa Kreher
|
| | | | 16,833(4) | | | | | | 103,683(8) | | | | | | 120,516 | | |
| | |
Shares Underlying
Options outstanding |
| |||||||||
| | |
Vested
|
| |
Unvested
|
| ||||||
Gil Labrucherie
|
| | | | 4,222 | | | | | | 8,778 | | |
Philippe Fauchet
|
| | | | 2,000 | | | | | | 8,000 | | |
Wladimir Hogenhuis
|
| | | | — | | | | | | 10,000 | | |
Nerissa Kreher
|
| | | | — | | | | | | 10,000 | | |
Name of Beneficial Owner
|
| |
Position with Company
|
| |
Beneficial
Ownership |
| |
Percent of Class
|
| ||||||
Stockholders in excess of 5% | | | | | | | | | | | | | | | | |
Entities associated with Federated Hermes, Inc.
|
| | Stockholder | | | | | 6,733,274(1) | | | | | | 19.9% | | |
Handok, Inc.
|
| | Stockholder | | | | | 2,784,722(2) | | | | | | 8.3% | | |
Genexine, Inc.
|
| | Stockholder | | | | | 1,826,019(3) | | | | | | 5.4% | | |
Stonepine Capital, L.P.
|
| | Stockholder | | | | | 3,308,405(4) | | | | | | 9.9% | | |
Directors and Executive Officers: | | | | | | | | | | | | | | | | |
Nevan Charles Elam
|
| |
Acting Chairman of the Board and
Chief Executive Officer |
| | | | 338,233(5) | | | | | | * | | |
Young-Jin Kim
|
| | Director | | | | | 4,610,741(6) | | | | | | 13.7% | | |
Gil Labrucherie
|
| | Director | | | | | 62,265(7) | | | | | | * | | |
Philippe Fauchet
|
| | Director | | | | | 5,166(8) | | | | | | * | | |
Wladimir Hogenhuis
|
| | Director | | | | | 36,304(9) | | | | | | * | | |
Nerissa Kreher
|
| | Director | | | | | 3,611(10) | | | | | | * | | |
Brian Roberts
|
| |
Senior Vice President of Clinical
Development |
| | | | 100,114(11) | | | | | | * | | |
Directors and executive officers as a group (7 people)
|
| | | | | | | 5,156,434(12) | | | | | | 15.2% | | |
| | |
FISCAL 2021
|
| |
FISCAL 2020
|
| ||||||
Audit fees(1)
|
| | | $ | 175,500 | | | | | $ | 142,000 | | |
Tax fees(2)
|
| | | | 38,100 | | | | | | 12,000 | | |
Total
|
| | | $ | 213,600 | | | | | $ | 154,000 | | |
| | | | | |
As of May 5, 2022
|
| |
As of June 30, 2021
|
| ||||||||||||||||||||||||||||||
|
Plan
Termination Date |
| |
Shares to be Issued Upon
Exercise of Outstanding Options: |
| |
Securities
Available For Future Issuance |
| |
Shares to be Issued Upon
Exercise of Outstanding Options: |
| |
Securities
Available For Future Issuance |
| ||||||||||||||||||||||||||
|
Number of
Shares |
| |
Weighted Average
Exercise Price |
| |
Number of
Shares |
| |
Weighted Average
Exercise Price |
| |||||||||||||||||||||||||||||
Equity compensation plans approved by security holders:
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
2014 Stock and Incentive Plan
|
| | | | | | | — | | | | | | — | | | | | | — | | | | | | 1,999 | | | | | $ | 92.05 | | | | | | — | | |
2015 Non-Qualified Stock Option Plan
|
| |
February 23, 2020
|
| | | | 36,400 | | | | | $ | 50.73 | | | | | | — | | | | | | 50,900 | | | | | | 40.85 | | | | | | — | | |
2016 Non-Qualified Stock Option Plan
|
| |
October 31, 2021
|
| | | | 260,400 | | | | | | 22.63 | | | | | | — | | | | | | 326,612 | | | | | | 21.98 | | | | | | — | | |
2021 Equity Incentive Plan
|
| |
March 31, 2030
|
| | | | 1,079,766 | | | | | | 9.71 | | | | | | 120,234 | | | | | | 705,000 | | | | | | 12.28 | | | | | | 495,000 | | |
Equity compensation plans not approved by security holders:
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
2019 Non Qualified Stock Option Plan
|
| |
July 31, 2029
|
| | | | 200,000 | | | | | | 14.50 | | | | | | — | | | | | | 200,000 | | | | | | 14.50 | | | | | | — | | |
| | | | | |
As of May 5, 2022
|
| |
As of June 30, 2021
|
| ||||||||||||||||||||||||||||||
|
Plan
Termination Date |
| |
Shares to be Issued Upon
Exercise of Outstanding Options: |
| |
Securities
Available For Future Issuance |
| |
Shares to be Issued Upon
Exercise of Outstanding Options: |
| |
Securities
Available For Future Issuance |
| ||||||||||||||||||||||||||
|
Number of
Shares |
| |
Weighted Average
Exercise Price |
| |
Number of
Shares |
| |
Weighted Average
Exercise Price |
| |||||||||||||||||||||||||||||
Total
|
| | | | | | | 1,576,566 | | | | | | 13.40 | | | | | | 120,234 | | | | | | 1,284,511 | | | | | | 16.35 | | | | | | 495,000 | | |
|
Name
|
| |
Age
|
| |
Position
|
| |
Date Appointed
|
|
Nevan Charles Elam
|
| |
54
|
| |
Acting Chairman of the Board and
Chief Executive Officer |
| | January 31, 2013 | |
Young-Jin Kim | | |
65
|
| | Director | | |
February 10, 2019
|
|
Philippe Fauchet | | |
64
|
| | Director | | |
November 20, 2019
|
|
Gil Labrucherie | | |
50
|
| | Director | | |
November 20, 2019
|
|
Wladimir Hogenhuis
|
| |
57
|
| | Director | | | March 2, 2021 | |
Nerissa Kreher | | |
49
|
| | Director | | | March 2, 2021 | |
Brian Roberts | | |
47
|
| |
Senior Vice President of Clinical Development
|
| | October 23, 2020 | |
Name and Position
|
| |
Fiscal
Year |
| |
Salary
|
| |
Bonus
|
| |
Stock
Option Awards |
| |
All Other
Compensation |
| |
Total
|
| ||||||||||||||||||
Nevan Elam,
|
| | | | 2021 | | | | | $ | 495,682(1) | | | | | $ | 490,980(4) | | | | | $ | 3,888,117(6) | | | | | $ | 21,953(7) | | | | | $ | 4,896,732 | | |
Chief Executive Officer
|
| | | | 2020 | | | | | $ | 490,000(1) | | | | | $ | 97,020(5) | | | | | $ | 2,688,000(6) | | | | | $ | 23,683(7) | | | | | $ | 3,298,703 | | |
Brian Roberts
|
| | | | 2021 | | | | | $ | 371,364(2) | | | | | $ | 171,300(4) | | | | | $ | 775,203(6) | | | | | $ | 36,074(8) | | | | | $ | 1,353,941 | | |
SVP, Clinical Development
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Keith Vendola,
|
| | | | 2021 | | | | | $ | 244,716(3) | | | | | $ | 166,440(4) | | | | | $ | — | | | | | $ | 206,902(9) | | | | | $ | 618,058 | | |
Former Chief Financial Officer
|
| | | | 2020 | | | | | $ | 365,000(3) | | | | | $ | 36,135(5) | | | | | $ | 538,000(6) | | | | | $ | 13,581(9) | | | | | $ | 952,716 | | |
| | |
Grant
Date |
| |
Number of Securities Underlying
Unexercised Options |
| |
Option
Exercise Price |
| |
Option
Expiration Date |
| ||||||||||||||||||
Name
|
| |
Exercisable
|
| |
Unexercisable
|
| ||||||||||||||||||||||||
Nevan C. Elam | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 7/31/19 | | | | | | 145,833 | | | | | | 54,167(1) | | | | | $ | 14.50 | | | | | | 7/31/29 | | |
| | | | | 6/14/21 | | | | | | — | | | | | | 375,000(2) | | | | | | 12.28 | | | | | | 6/14/31 | | |
Total for Mr. Elam
|
| | | | | | | | | | 145,833 | | | | | | 429,167 | | | | | | | | | | | | | | |
Brian Roberts | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 7/31/19 | | | | | | 29,167 | | | | | | 10,833(1) | | | | | $ | 14.50 | | | | | | 7/31/29 | | |
| | | | | 6/14/21 | | | | | | 18,750 | | | | | | 56,250(3) | | | | | | 12.28 | | | | | | 6/14/31 | | |
Total for Mr. Roberts
|
| | | | | | | | | | 47,917 | | | | | | 67,083 | | | | | | | | | | | | | | |
Keith Vendola(4) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | 7/2/18 | | | | | | 14,583 | | | | | | 833 | | | | | $ | 25.50 | | | | | | 7/2/28 | | |
| | | | | 7/31/19 | | | | | | 29,167 | | | | | | 1,667 | | | | | | 14.50 | | | | | | 7/31/29 | | |
Total for Mr. Vendola
|
| | | | | | | | | | 43,750 | | | | | | 2,500 | | | | | | | | | | | | | | |
|
☐
Original Application
|
| |
|
|
|
☐
Change in Payroll Deduction Rate
|
| | | |
| Dated: | | | | | | ||
| | | | | | | Signature of Employee | |
| | | | Name: | | | | |
| | | | Address: | | | | |
| | | | | | | | |
| | | | Signature: | | | | |
| | | | Date: | | | |