| | | | | 1 | | | |
| | | | | 1 | | | |
| | | | | 6 | | | |
| | | | | 17 | | | |
| | | | | 19 | | | |
| | | | | 25 | | | |
| | | | | 26 | | | |
| | | | | 26 | | | |
| | | | | 26 | | |
Name
|
| |
Age
|
| |
Position
|
| |
Date Appointed
|
|
Nevan Charles Elam | | |
55
|
| | Chief Executive Officer, Principal Financial Officer and Acting Chairman of the Board | | | January 31, 2013 | |
Gil Labrucherie | | |
51
|
| | Director | | |
November 20, 2019
|
|
Nerissa Kreher | | |
50
|
| | Director | | | March 2, 2021 | |
Philippe Fauchet | | |
65
|
| | Director | | |
September 10, 2020
|
|
Wladimir Hogenhuis | | |
58
|
| | Director | | | March 2, 2021 | |
Young-Jin Kim | | |
66
|
| | Director | | |
February 10, 2019
|
|
Total Number of Directors
|
| |
6
|
| |||||||||
| | |
Male
|
| |
Female
|
| ||||||
Part I: Gender Identity | | | | | | | | | | | | | |
Directors
|
| | | | 5 | | | | | | 1 | | |
Part II: Demographic Background | | | | | | | | | | | | | |
White
|
| | | | 3 | | | | | | 1 | | |
African American or Black
|
| | | | 1 | | | | | | — | | |
Asian
|
| | | | 1 | | | | | | — | | |
Did Not Disclose Demographic Background
|
| | | | — | | | | | | — | | |
Directors who are Military Veterans
|
| | | | 1 | | | | | | — | | |
| | |
Committee Appointments
|
| ||||||
Director Name
|
| |
Audit
|
| |
Compensation
|
| |
Nominating
and Governance |
|
Committee Members as of June 30, 2022: | | | | | | | | | | |
Gil Labrucherie(1)
|
| |
X
|
| |
X
|
| |
X
|
|
Nerissa Kreher(2)
|
| | | | |
X
|
| |
X
|
|
Philippe Fauchet(3)
|
| |
X
|
| |
X
|
| |
X
|
|
Wladimir Hogenhuis(4)
|
| |
X
|
| |
X
|
| |
X
|
|
Name
|
| |
Fees Earned
or Paid in Cash ($) |
| |
Option
Awards ($) |
| |
Total ($)
|
| |||||||||
Gil Labrucherie
|
| | | | 57,000 (1) | | | | | | 211,168(7) | | | | | | 268,168 | | |
Nerissa Kreher
|
| | | | 47,000(2) | | | | | | 211,168(7) | | | | | | 258,168 | | |
Phillippe Fauchet
|
| | | | 57,000(3) | | | | | | 211,168(7) | | | | | | 268,168 | | |
Wladimir Hogenhuis
|
| | | | 54,000(4) | | | | | | 211,168(7) | | | | | | 265,168 | | |
Young-Jin Kim
|
| | | | —(5) | | | | | | 105,584(8) | | | | | | 105,584 | | |
| | |
Shares Underlying
Options Outstanding |
| |||||||||
| | |
Vested
|
| |
Unvested
|
| ||||||
Gil Labrucherie
|
| | | | 8,554 | | | | | | 84,446 | | |
Philippe Fauchet
|
| | | | 5,110 | | | | | | 84,890 | | |
Wladimir Hogenhuis
|
| | | | 3,333 | | | | | | 86,667 | | |
Nerissa Kreher
|
| | | | 3,333 | | | | | | 86,667 | | |
Young-Jin Kim
|
| | | | — | | | | | | 40,000 | | |
Name of Beneficial Owner
|
| |
Position with Company
|
| |
Beneficial
Ownership |
| |
Percent of Class
|
| ||||||
Stockholders in excess of 5% | | | | | | | | | | | | | | | | |
Entities associated with Federated Hermes,
Inc. |
| | Stockholder | | | | | 7,549,032(1) | | | | | | 19.9% | | |
Handok Inc.
|
| | Stockholder | | | | | 5,942,617(2) | | | | | | 16.1% | | |
First Manhattan Co
|
| | Stockholder | | | | | 3,123,078(3) | | | | | | 8.5% | | |
Stonepine Capital, L.P.
|
| | Stockholder | | | | | 3,021,504(4) | | | | | | 8.2% | | |
Directors and Executive Officers: | | | | | | | | | | | | | | | | |
Nevan Charles Elam
|
| |
Chief Executive Officer and
Acting Chairman of the Board |
| | | | 452,817(5) | | | | | | 1.2% | | |
Gil Labrucherie
|
| | Director | | | | | 91,571(6) | | | | | | * | | |
Philippe Fauchet
|
| | Director | | | | | 34,887(7) | | | | | | * | | |
Nerissa Kreher
|
| | Director | | | | | 33,332(8) | | | | | | * | | |
Wladimir Hogenhuis
|
| | Director | | | | | 66,025(9) | | | | | | * | | |
Young-Jin Kim
|
| | Director | | | | | 6,034,897(10) | | | | | | 16.4% | | |
Brian Roberts
|
| | Chief Medical Officer | | | | | 118,802(11) | | | | | | * | | |
Directors and executive officers as a group
(7 people) |
| | | | | | | 6,832,331(12) | | | | | | 18.2% | | |
| | |
Plan Termination Date
|
| |
Shares to be Issued Upon
Exercise of Outstanding Options: |
| |
Securities
Available For Future Issuance |
| | ||||||||||||||
|
Number of
Shares |
| |
Weighted Average
Exercise Price |
| | |||||||||||||||||||
Equity compensation plans approved by security holders:
|
| | | | | | | | | | | | | | | | | | | | | | | ||
2015 Non-Qualified Stock Option Plan
|
| |
February 23, 2020
|
| | | | 36 | | | | | $ | 50.73 | | | | | | — | | | | ||
2016 Non-Qualified Stock Option Plan
|
| |
October 31, 2021
|
| | | | 256 | | | | | | 22.77 | | | | | | — | | | | ||
2021 Equity Incentive Plan
|
| |
March 31, 2031
|
| | | | 8,014 | | | | | | 4.24 | | | | | | 2,686 | | | | ||
Equity compensation plans not approved by security holders:
|
| | | | | | | | | | | | | | | | | | | | | | | ||
2019 Non Qualified Stock Option Plan
|
| |
July 31, 2029
|
| | | | 200 | | | | | | 14.50 | | | | | | — | | | | ||
Total
|
| | | | | | | 8,506 | | | | | | 5.24 | | | | | | 2,686 | | | | | |
| | |
2022
|
| |
2021
|
| ||||||||||||||||||
| | |
Amount
|
| |
Percent
|
| |
Amount
|
| |
Percent
|
| ||||||||||||
Audit fees(1)
|
| | | $ | 259,000 | | | | | | 85% | | | | | $ | 175,500 | | | | | | 82% | | |
Tax fees
|
| | | | 47,225 | | | | | | 15% | | | | | | 38,100 | | | | | | 18% | | |
Total
|
| | | $ | 306,225 | | | | | | 100% | | | | | $ | 213,600 | | | | | | 100% | | |
Name
|
| |
Age
|
| |
Position
|
| |
Date Appointed
|
|
Nevan Charles Elam | | |
55
|
| | Chief Executive Officer, Principal Financial Officer and Acting Chairman of the Board | | |
January 31, 2013
|
|
Brian Roberts | | |
48
|
| | Chief Medical Officer | | | June 1, 2022 | |
Name and Position
|
| |
Fiscal
Year |
| |
Salary
|
| |
Bonus
|
| |
Stock
Option Awards |
| |
All Other
Compensation |
| |
Total
|
| |||||||||||||||
Nevan Charles Elam
|
| |
2022
|
| | | $ | 515,000(1) | | | | | $ | 378,750(3) | | | | | $ | 6,862,960(5) | | | | | $ | 24,590(6) | | | | | $ | 7,781,300 | | |
Chief Executive Officer
|
| |
2021
|
| | | $ | 495,682(1) | | | | | $ | 490,980(4) | | | | | $ | 3,888,117(5) | | | | | $ | 21,953(6) | | | | | $ | 4,896,732 | | |
Brian Roberts, M.D.
|
| |
2022
|
| | | $ | 401,500(2) | | | | | $ | 121,875(3) | | | | | $ | 1,847,720(5) | | | | | $ | 52,053(7) | | | | | $ | 2,423,148 | | |
Chief Medical Officer
|
| |
2021
|
| | | $ | 371,364(2) | | | | | $ | 171,300(4) | | | | | $ | 775,203(5) | | | | | $ | 36,074(8) | | | | | $ | 1,353,941 | | |
Name
|
| |
Grant
Date |
| |
Number of Securities Underlying
Unexercised Options |
| |
Option
Exercise Price |
| |
Option
Expiration Date |
| ||||||||||||
|
Exercisable
|
| |
Unexercisable
|
| ||||||||||||||||||||
Nevan Charles Elam | | | | | | | | | | | | | | | | | | | | | | | | | |
| | |
7/31/19
|
| | | | 195,833 | | | | | | 4,167(1) | | | | | $ | 14.50 | | | |
7/31/29
|
|
| | |
6/14/21
|
| | | | 125,000 | | | | | | 250,000(2) | | | | | | 12.28 | | | |
6/14/31
|
|
| | |
6/23/22
|
| | | | — | | | | | | 2,600,000(4) | | | | | | 3.40 | | | |
6/23/32
|
|
Total for Mr. Elam
|
| | | | | | | 320,833 | | | | | | 2,854,167 | | | | | | | | | | | |
Brian Roberts, M.D. | | | | | | | | | | | | | | | | | | | | | | | | | |
| | |
7/31/19
|
| | | | 39,166 | | | | | | 834(1) | | | | | $ | 14.50 | | | |
7/31/29
|
|
| | |
6/14/21
|
| | | | 37,500 | | | | | | 37,500(3) | | | | | | 12.28 | | | |
6/14/31
|
|
| | |
6/23/22
|
| | | | — | | | | | | 700,000(4) | | | | | | 3.40 | | | |
6/23/32
|
|
Total for Dr. Roberts
|
| | | | | | | 76,666 | | | | | | 738,334 | | | | | | | | | | | |