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Name
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Class
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Age
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Position
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Director
Since |
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Current
Term Expires |
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Expiration
of Term For Which Nominated |
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Nominees for Director | | | | | | | | | | | | | | | | | | | |
Myla Lai-Goldman,
M.D.(1)(2)(4) |
| |
II
|
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65
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| | Director | | |
2021
|
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2023
|
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2026
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|
Brian McKelligon
|
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II
|
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54
|
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President, Chief Executive Officer and Director
|
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2017
|
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2023
|
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2026
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Thomas Raffin, M.D.
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II
|
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76
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| | Director | | |
2015
|
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2023
|
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2026
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Directors | | | | | | | | | | | | | | | | | | | |
Scott Mendel(1)(2)(3)
|
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III
|
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56
|
| | Director | | |
2021
|
| |
2024
|
| |
—
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Thomas P. Schnettler(3)
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III
|
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66
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| | Director | | |
2019
|
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2024
|
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—
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Robert Shepler
|
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III
|
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66
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| | Chair of the Board | | |
2015
|
| |
2024
|
| |
—
|
|
Garry Nolan, Ph.D.(3)(4)
|
| |
I
|
| |
62
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| | Director | | |
2015
|
| |
2025
|
| |
—
|
|
Matthew Winkler,
Ph.D.(1)(2)(4) |
| |
I
|
| |
70
|
| | Director | | |
2017
|
| |
2025
|
| |
—
|
|
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Board Diversity Matrix (as of April 17, 2023)
|
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Total Number of Directors:
|
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8
|
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| | | | | |
Female
|
| | |
Male
|
| | |
Non-Binary
|
| | |
Did Not
Disclose Gender |
| | ||||||||||||
| | Part I: Gender Identity | | | ||||||||||||||||||||||||||||
| | Directors | | | | | | 1 | | | | | | | 7 | | | | | | | 0 | | | | | | | 0 | | | |
| | Part II: Demographic Background | | | ||||||||||||||||||||||||||||
| | White | | | | | | 1 | | | | | | | 7 | | | | | | | 0 | | | | | | | 0 | | | |
| | LGBTQ+ | | | |
2
|
| |
Position
|
| |
Annual Retainer
|
| |||
Board Membership
|
| | | $ | 40,000 | | |
Non-Executive Chair of the Board
|
| | | $ | 40,000 | | |
Chair of Audit Committee
|
| | | $ | 20,000 | | |
Chair of the Compensation Committee
|
| | | $ | 15,000 | | |
Chair of the Nominating and Corporate Governance Committee
|
| | | $ | 10,000 | | |
Chair of the Innovation and Technology Committee
|
| | | $ | 10,000 | | |
Audit Committee Members other than Chair
|
| | | $ | 10,000 | | |
Compensation Committee Members other than Chair
|
| | | $ | 7,500 | | |
Nominating and Corporate Governance Committee Members other than Chair
|
| | | $ | 5,000 | | |
Innovation and Technology Committee Members other than Chair
|
| | | $ | 5,000 | | |
Name
|
| |
Cash
Compensation(1) |
| |
Option
Grants(2) |
| |
Total
|
| |||||||||
Myla Lai-Goldman, M.D.
|
| | | $ | 60,625 | | | | | $ | 169,999 | | | | | $ | 230,624 | | |
Scott Mendel
|
| | | $ | 76,875 | | | | | $ | 169,999 | | | | | $ | 246,874 | | |
Garry Nolan, Ph.D.
|
| | | $ | 48,750 | | | | | $ | 169,999 | | | | | $ | 218,749 | | |
Thomas Raffin, M.D.
|
| | | $ | 43,750 | | | | | $ | 169,999 | | | | | $ | 213,749 | | |
Thomas P. Schnettler
|
| | | $ | 52,500 | | | | | $ | 169,999 | | | | | $ | 222,499 | | |
Robert Shepler
|
| | | $ | 81,250 | | | | | $ | 169,999 | | | | | $ | 251,249 | | |
Matthew Winkler, Ph.D.
|
| | | $ | 61,250 | | | | | $ | 169,999 | | | | | $ | 231,249 | | |
| | |
2022
|
| |
2021
|
| ||||||
Audit Fees(1)
|
| | | $ | 379,317 | | | | | $ | 295,897 | | |
Audit Related Fees(2)
|
| | | | 82,950 | | | | | | 433,125 | | |
Tax Fees(3)
|
| | | | 66,999 | | | | | | 84,158 | | |
All Other Fees
|
| | | | — | | | | | | — | | |
Total
|
| | | $ | 529,266 | | | | | $ | 813,180 | | |
Name and Address of Beneficial Owner
|
| |
Number of Shares
Beneficially Owned |
| |
Percentage of
Shares Beneficially Owned(1) |
| ||||||
5% and Greater Stockholders | | | | | | | | | | | | | |
Entities affiliated with Telegraph Hill Partners(2)
|
| | | | 15,675,247 | | | | | | 40.8% | | |
Entities affiliated with PSC Capital Partners LLC(3)
|
| | | | 2,737,161 | | | | | | 7.1% | | |
Named Executive Officers and Directors | | | | | | | | | | | | | |
Brian McKelligon(4)
|
| | | | 957,400 | | | | | | 2.4% | | |
Ehab El-Gabry, M.D.(5)
|
| | | | 40,625 | | | | | | * | | |
Marilee Moy(6)
|
| | | | 40,000 | | | | | | * | | |
Myla Lai-Goldman, M.D.(7)
|
| | | | 12,997 | | | | | | * | | |
Scott Mendel(8)
|
| | | | 20,354 | | | | | | * | | |
Garry Nolan, Ph.D.(9)
|
| | | | 651,656 | | | | | | 1.7% | | |
Thomas Raffin, M.D.(10)
|
| | | | 231,452 | | | | | | * | | |
Thomas P. Schnettler(11)
|
| | | | 16,860 | | | | | | * | | |
Robert Shepler(12)
|
| | | | 266,452 | | | | | | * | | |
Matthew Winkler, Ph.D.(13)
|
| | | | 797,985 | | | | | | 2.1% | | |
All executive officers and directors as a group (14 persons)(14)
|
| | | | 3,388,601 | | | | | | 8.5% | | |
Name
|
| |
Age
|
| |
Position(s)
|
|
Brian McKelligon | | |
54
|
| | President and Chief Executive Officer and Director | |
Johnny Ek | | |
48
|
| | Chief Financial Officer | |
Ehab El-Gabry | | |
55
|
| | Chief Medical Officer | |
Jennifer Kamocsay | | |
52
|
| | General Counsel | |
Marilee Moy | | |
64
|
| | Chief People Officer | |
Frederic Pla, Ph.D. | | |
64
|
| | Chief Operating Officer | |
Niro Ramachandran, Ph.D. | | |
48
|
| | Chief Business Officer | |
Name and principal position
|
| |
Year
|
| |
Salary
($) |
| |
Bonus
($)(1) |
| |
Stock
awards ($)(2) |
| |
Option
awards ($)(3) |
| |
Non-Equity
Incentive Plan Compensation ($)(4) |
| |
All other
compensation ($) |
| |
Total
($) |
| ||||||||||||||||||||||||
Brian McKelligon
Chief Executive Officer |
| | | | 2022 | | | | | | 517,500 | | | | | | — | | | | | | 950,400 | | | | | | 951,296 | | | | | | 630,000 | | | | | | 443(7) | | | | | | 3,049,639 | | |
| | | 2021 | | | | | | 393,333 | | | | | | — | | | | | | — | | | | | | 1,700,389 | | | | | | 173,599 | | | | | | — | | | | | | 2,267,321 | | | ||
Ehab El-Gabry, M.D.
Chief Medical Officer |
| | | | 2022 | | | | | | 327,273(5) | | | | | | 25,000 | | | | | | — | | | | | | 719,142 | | | | | | 180,000 | | | | | | 5,582(8) | | | | | | 1,256,997 | | |
| | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||
Marilee Moy
Chief People Officer |
| | | | 2022 | | | | | | 332,917(6) | | | | | | 30,000 | | | | | | — | | | | | | 638,856 | | | | | | 136,000 | | | | | | 3,806(8) | | | | | | 1,141,579 | | |
| | | | | | | | | | | | |
| | | | | | | | |
Option Awards(1)
|
| |
Stock Awards(1)
|
| ||||||||||||||||||||||||||||||
Name
|
| |
Grant Date
|
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable |
| |
Number of
Securities Underlying Unexercised Options (#) Unexercisable |
| |
Options
Exercise Price ($)(2) |
| |
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 ($)(3) |
| |||||||||||||||||||||
Brian McKelligon
|
| | | | 11/09/2017 | | | | | | 338,129(4) | | | | | | — | | | | | | 0.30 | | | | | | 11/09/2027 | | | | | | — | | | | | | — | | |
| | | 11/09/2017 | | | | | | 117,709(5) | | | | | | — | | | | | | 0.30 | | | | | | 11/09/2027 | | | | | | — | | | | | | — | | | ||
| | | 05/02/2019 | | | | | | 248,318(6) | | | | | | — | | | | | | 0.44 | | | | | | 05/02/2029 | | | | | | — | | | | | | — | | | ||
| | | 05/02/2019 | | | | | | 82,772(5) | | | | | | — | | | | | | 0.44 | | | | | | 05/02/2029 | | | | | | — | | | | | | — | | | ||
| | | 03/24/2021 | | | | | | 93,888(7) | | | | | | 120,704 | | | | | | 16.12 | | | | | | 03/24/2031 | | | | | | — | | | | | | — | | | ||
| | | 03/23/2022 | | | | | | — | | | | | | 160,000(8) | | | | | | 11.88 | | | | | | 03/23/2032 | | | | | | 80,000(9) | | | | | | 765,600 | | | ||
Ehab El-Gabry
|
| | | | 05/19/2022 | | | | | | — | | | | | | 150,000(10) | | | | | | 9.47 | | | | | | 05/19/2032 | | | | | | — | | | | | | — | | |
Marilee Moy
|
| | | | 02/24/2022 | | | | | | — | | | | | | 120,000(11) | | | | | | 10.85 | | | | | | 02/24/2032 | | | | | | — | | | | | | — | | |
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)) |
| |||||||||
| | |
(a)
|
| |
(b)
|
| |
(c)
|
| |||||||||
Equity compensation plans approved by security holders
|
| | | | 6,590,725(1) | | | | | $ | 8.71(2) | | | | | | 1,603,622(3) | | |
Equity compensation plans not approved by security holders
|
| | | | — | | | | | | — | | | | | | — | | |
Total
|
| | | | 6,590,725 | | | | | | | | | | | | 1,603,622 | | |
Director
|
| |
Principal stockholder
|
|
Thomas Raffin | | | Funds affiliated with Telegraph Hill Partners | |
Thomas P. Schnettler | | | Piper Sandler Merchant Banking Fund II, L.P. | |