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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 | | | | | | | | | | | | | | | | | | | |
Scott Mendel(1)(2)(3)
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III
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57
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| | Director | | |
2021
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2024
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2027
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Thomas P. Schnettler(3)
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III
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67
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| | Director | | |
2019
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2024
|
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2027
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Robert Shepler(3)
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III
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67
|
| | Chair of the Board | | |
2015
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2024
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2027
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|
Directors | | | | | | | | | | | | | | | | | | | |
Matthew Winkler, PhD.(1)(2)(4)
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I
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71
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| | Director | | |
2017
|
| |
2025
|
| |
—
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Myla Lai-Goldman, M.D.(1)(2)(4)
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II
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66
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| | Director | | |
2021
|
| |
2026
|
| |
—
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Brian McKelligon
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II
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55
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| | President, Chief Executive Officer and Director | | |
2017
|
| |
2026
|
| |
—
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|
Thomas Raffin, M.D.
|
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II
|
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77
|
| | Director | | |
2015
|
| |
2026
|
| |
—
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|
Board Diversity Matrix (as of April 9, 2024)
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Total Number of Directors:
|
| |
7
|
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| | |
Female
|
| |
Male
|
| |
Non-Binary
|
| |
Did Not
Disclose Gender |
| ||||||||||||
Part I: Gender Identity | | | | | | | | | | | | | | | | | | | | | | | | | |
Directors
|
| | | | 1 | | | | | | 6 | | | | | | 0 | | | | | | 0 | | |
Part II: Demographic Background | | | | | | | | | | | | | | | | | | | | | | | | | |
White
|
| | | | 1 | | | | | | 6 | | | | | | 0 | | | | | | 0 | | |
LGBTQ+
|
| |
1
|
|
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
|
| |
Fees Earned or
Paid in Cash ($)(1) |
| |
Option
Awards ($)(2) |
| |
Total
($) |
| |||||||||
Myla Lai-Goldman, M.D.
|
| | | | 67,500 | | | | | | 169,997 | | | | | | 237,497 | | |
Scott Mendel
|
| | | | 80,000 | | | | | | 169,997 | | | | | | 249,997 | | |
Garry Nolan, Ph.D(3)
|
| | | | 50,000 | | | | | | 169,997 | | | | | | 219,997 | | |
Thomas Raffin, M.D.
|
| | | | 40,000 | | | | | | 169,997 | | | | | | 209,997 | | |
Thomas P. Schnettler
|
| | | | 50,000 | | | | | | 169,997 | | | | | | 219,997 | | |
Robert Shepler
|
| | | | 81,667 | | | | | | 169,997 | | | | | | 251,664 | | |
Matthew Winkler, Ph.D
|
| | | | 62,500 | | | | | | 169,997 | | | | | | 232,497 | | |
| | |
2023
|
| |
2022
|
| ||||||
Audit Fees(1)
|
| | | $ | 405,108 | | | | | $ | 379,317 | | |
Audit Related Fees(2)
|
| | | | 83,160 | | | | | | 82,950 | | |
Tax Fees(3)
|
| | | | 124,284 | | | | | | 66,999 | | |
All Other Fees
|
| | | | — | | | | | | — | | |
Total
|
| | | $ | 612,552 | | | | | $ | 529,266 | | |
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)
|
| | | | 17,675,247 | | | | | | 35.8% | | |
Entities affiliated with PSC Capital Partners LLC(3)
|
| | | | 3,537,161 | | | | | | 7.2% | | |
Entities affiliated with aMoon Growth Fund II, L.P.(4)
|
| | | | 3,077,195 | | | | | | 6.2% | | |
Named Executive Officers and Directors | | | | | | | | | | | | | |
Brian McKelligon(5)
|
| | | | 1,083,219 | | | | | | 2.1% | | |
Johnny Ek(6)
|
| | | | 106,666 | | | | | | * | | |
Frederic Pla(7)
|
| | | | 355,932 | | | | | | * | | |
Myla Lai-Goldman, M.D.(8)
|
| | | | 76,544 | | | | | | * | | |
Scott Mendel(9)
|
| | | | 82,757 | | | | | | * | | |
Thomas Raffin, M.D.(10)
|
| | | | 282,001 | | | | | | * | | |
Thomas P. Schnettler(11)
|
| | | | 47,409 | | | | | | * | | |
Robert Shepler(12)
|
| | | | 417,001 | | | | | | * | | |
Matthew Winkler, Ph.D.(13)
|
| | | | 1,031,922 | | | | | | 2.1% | | |
All executive officers and directors as a group (11 persons)(14)
|
| | | | 3,726,556 | | | | | | 7.3% | | |
Name
|
| |
Age
|
| |
Position(s)
|
|
Brian McKelligon | | |
55
|
| | President and Chief Executive Officer and Director | |
Johnny Ek | | |
49
|
| | Chief Financial Officer | |
Jennifer Kamocsay | | |
53
|
| | General Counsel | |
Frederic Pla, Ph.D. | | |
65
|
| | Chief Operating Officer | |
Niro Ramachandran, Ph.D. | | |
49
|
| | Chief Business Officer | |
Name and Principal Position
|
| |
Year
|
| |
Salary
($) |
| |
Bonus
($) |
| |
Stock
Awards ($)(1) |
| |
Option
Awards ($)(2) |
| |
Non-Equity
Incentive Plan Compensation ($)(3) |
| |
All Other
Compensation ($) |
| |
Total
($) |
| ||||||||||||||||||||||||
Brian McKelligon
Chief Executive Officer |
| | | | 2023 | | | | | | 542,500 | | | | | | — | | | | | | 984,000 | | | | | | 1,080,613 | | | | | | 307,125 | | | | | | 5,361(5) | | | | | | 2,919,599 | | |
| | | 2022 | | | | | | 517,500 | | | | | | — | | | | | | 950,400 | | | | | | 951,296 | | | | | | 630,000 | | | | | | 450(5) | | | | | | 3,049,646 | | | ||
Johnny Ek
Chief Financial Officer |
| | | | 2023 | | | | | | 313,889(4) | | | | | | — | | | | | | 1,216,000 | | | | | | 659,760 | | | | | | 118,269 | | | | | | 1,826(6) | | | | | | 2,309,744 | | |
Frederic Pla
Chief Operating Officer |
| | | | 2023 | | | | | | 414,167 | | | | | | — | | | | | | 360,000 | | | | | | 270,153 | | | | | | 156,375 | | | | | | 10,690(6) | | | | | | 1,211,385 | | |
| | | | | | | | |
Option Awards(1)
|
| |
Stock Awards(1)
|
| ||||||||||||||||||||||||||||||
Name
|
| |
Grant Date
|
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable |
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable |
| |
Options
Exercise Price ($)(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 | | | | | | 305,629(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 | | | | | | 147,540(7) | | | | | | 67,052 | | | | | | 16.12 | | | | | | 03/24/2031 | | | | | | — | | | | | | — | | | ||
| | | 03/23/2022 | | | | | | 70,000(8) | | | | | | 90,000 | | | | | | 11.88 | | | | | | 03/23/2032 | | | | | | 60,000(9) | | | | | | 292,800 | | | ||
| | | 02/23/2023 | | | | | | — | | | | | | 160,000(10) | | | | | | 12.30 | | | | | | 02/23/2033 | | | | | | 80,000(11) | | | | | | 390,400 | | | ||
Johnny Ek
|
| | | | 03/20/2023 | | | | | | — | | | | | | 160,000(12) | | | | | | 7.60 | | | | | | 03/20/2033 | | | | | | 160,000(13) | | | | | | 780,800 | | |
Frederic Pla
|
| | | | 03/24/2021 | | | | | | 250,808(14) | | | | | | 113,998 | | | | | | 16.12 | | | | | | 03/24/2031 | | | | | | — | | | | | | — | | |
| | | 03/23/2022 | | | | | | 19,687(8) | | | | | | 25,313 | | | | | | 11.88 | | | | | | 03/23/2032 | | | | | | 16,875(9) | | | | | | 82,350 | | | ||
| | | 02/23/2023 | | | | | | — | | | | | | 40,000(10) | | | | | | 12.30 | | | | | | 02/23/2033 | | | | | | 20,000(11) | | | | | | 97,600 | | | ||
| | | 11/6/2023 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 30,000(15) | | | | | | 146,400 | | |
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
|
| | | | 7,101,027(1) | | | | | $ | 7.36(2) | | | | | | 2,374,620(3) | | |
Equity compensation plans not approved by security holders
|
| | | | — | | | | | | — | | | | | | — | | |
Total
|
| | | | 7,101,027 | | | | | | | | | | | | 2,374,620 | | |
Director
|
| |
Principal stockholder
|
|
Thomas Raffin | | | Funds affiliated with Telegraph Hill Partners | |
Thomas P. Schnettler | | | Funds affiliated with PSC Capital Partners LLC | |