Filed by the Registrant |
☒ Filed by a Party other than the Registrant |
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Name
|
| |
Age
|
| |
Director
Since |
| |
Board Committees
|
| |||
Class I Directors – Nominees for Election at the Annual Meeting | | ||||||||||||
Dr. Sandra Coufal, M.D.
|
| | | | 55 | | | |
July 2013
|
| | Compensation | |
Dr. David Hirsch, M.D., Ph.D.
|
| | | | 48 | | | |
July 2016
|
| | Compensation, Audit | |
Class II Directors – Term Expiring at the 2020 Annual Meeting | | ||||||||||||
Dr. Robert Alpern, M.D.
|
| | | | 68 | | | |
October 2013
|
| | Nominating and Corporate Governance |
|
Dr. David Bonita, M.D.
|
| | | | 43 | | | |
January 2014
|
| | Nominating and Corporate Governance, Compensation (Chair), Audit |
|
Class III Directors – Term Expiring at the 2021 Annual Meeting | | ||||||||||||
Ms. Kathryn Falberg
|
| | | | 58 | | | |
May 2018
|
| | Audit (Chair) | |
Dr. Gerrit Klaerner, Ph.D.
|
| | | | 48 | | | |
July 2013
|
| | — | |
Dr. Klaus Veitinger, M.D., Ph.D., M.B.A.
|
| | | | 57 | | | |
September
2015 |
| | Nominating and Corporate Governance (Chair) |
|
Name
|
| |
Shares
|
| |
Aggregated
Purchase Price |
| ||||||
OrbiMed Private Investments
|
| | | | 368,421 | | | | | $ | 6,999,999 | | |
Sibling Capital
|
| | | | 463,158 | | | | | $ | 8,800,002 | | |
Longitude
|
| | | | 131,579 | | | | | $ | 2,500,001 | | |
Wellington Management Company
|
| | | | 1,000,000 | | | | | $ | 19,000,000 | | |
Kathryn Falberg
|
| | | | 31,579 | | | | | $ | 600,001 | | |
Edward J. Hejlek, Esq.
|
| | | | 13,158 | | | | | $ | 250,002 | | |
Gerrit Klaerner, Ph.D.
|
| | | | 15,790 | | | | | $ | 300,010 | | |
Geoffrey M. Parker
|
| | | | 60,000 | | | | | $ | 1,140,000 | | |
Steffen Pietzke
|
| | | | 10,527 | | | | | $ | 200,013 | | |
Wilhelm Stahl, Ph.D.
|
| | | | 13,158 | | | | | $ | 250,002 | | |
Name
|
| |
Shares
|
| |
Purchase Price
|
| ||||||
OrbiMed Private Investments V, LP
|
| | | | 225,000 | | | | | $ | 8,100,000 | | |
Geoffrey M. Parker
|
| | | | 20,000 | | | | | $ | 720,000 | | |
Annual Cash Compensation Elements
|
| |
Amount
|
| |||
Board Retainer
|
| | | $ | 40,000 | | |
Audit Committee Retainer (chair/member)
|
| | | $ | 20,000/$7,500 | | |
Compensation Committee Retainer (chair/member)
|
| | | $ | 12,500/$6,000 | | |
Nominating and Corporate Governance Committee Retainer (chair/member)
|
| | | $ | 8,000/$4,000 | | |
Additional Retainer for Non-Executive Chair
|
| | | $ | 60,000 | | |
Name
|
| |
Fees
Earned or Paid in Cash |
| |
Stock
Awards(1)(2) |
| |
Option
Awards(2)(3) |
| |
All Other
Compensation |
| |
Total
|
| |||||||||||||||
Klaus Veitinger, M.D., Ph.D., M.B.A.(4)
|
| | | $ | 70,667 | | | | | $ | 69,000 | | | | | $ | 269,651 | | | | | $ | 33,333(5) | | | | | $ | 442,651 | | |
Robert J. Alpern, M.D.(4)
|
| | | | 38,667 | | | | | | 69,000 | | | | | | 161,000 | | | | | | 20,834(6) | | | | | | 289,501 | | |
David Bonita, M.D.
|
| | | | 32,000 | | | | | | 69,000 | | | | | | 161,000 | | | | | | — | | | | | | 262,000 | | |
Sandra I. Coufal, M.D.(4)
|
| | | | 39,667 | | | | | | 69,000 | | | | | | 161,000 | | | | | | 33,333(7) | | | | | | 303,000 | | |
Kathryn Falberg
|
| | | | 30,000 | | | | | | 69,000 | | | | | | 442,459 | | | | | | — | | | | | | 541,459 | | |
David Hirsch, M.D., Ph.D.
|
| | | | 26,750 | | | | | | 69,000 | | | | | | 161,000 | | | | | | — | | | | | | 256,750 | | |
Name and Principal Position
|
| |
Year
|
| |
Salary(1)
|
| |
Bonus(2)
|
| |
Option
Awards(3) |
| |
Non-Equity
Incentive Plan Compensation(4) |
| |
All Other
Compensation(5) |
| |
Total
|
| |||||||||||||||||||||
Gerrit Klaerner, Ph.D.,
Chief Executive Officer and President |
| | | | 2018 | | | | | $ | 503,333 | | | | | $ | — | | | | | $ | 682,982 | | | | | $ | 310,750 | | | | | $ | — | | | | | $ | 1,497,065 | | |
| | | 2017 | | | | | | 425,000 | | | | | | — | | | | | | 170,362 | | | | | | 223,600 | | | | | | 2,043 | | | | | | 821,005 | | | ||
Geoffrey M. Parker,
Chief Financial Officer and Senior Vice President |
| | | | 2018 | | | | | | 407,508 | | | | | | — | | | | | | 147,364 | | | | | | 164,320 | | | | | | 2,333 | | | | | | 721,525 | | |
| | | 2017 | | | | | | 287,388 | | | | | | — | | | | | | 272,547 | | | | | | 142,200 | | | | | | 2,333 | | | | | | 704,468 | | | ||
Dawn Parsell, Ph.D.,(5)
Senior Vice President of Clinical Development |
| | | | 2018 | | | | | | 166,667 | | | | | | 15,576 | | | | | | 3,172,187 | | | | | | 50,000 | | | | | | 253,989 | | | | | | 3,658,419 | | |
| | | 2017 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
Jeroen van Beek, Ph.D.,(6)
Former Senior Vice President, Chief Commercial Officer |
| | | | 2018 | | | | | | 259,231 | | | | | | — | | | | | | 995,651 | | | | | | 50,000 | | | | | | 3,253 | | | | | | 1,308,135 | | |
| | | 2017 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Name
|
| |
Grant
Date(1) |
| |
Vesting
Commencement Date |
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable(2) |
| |
Number of
Securities Underlying Unexercised Options (#) Unexercisable |
| |
Equity
Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Options (#) |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| |||||||||||||||||||||
Gerrit Klaerner Ph.D.
|
| | | | 3/9/2015 | | | | | | 3/1/2015 | | | | | | 109,296 | | | | | | — | | | | | | — | | | | | | 0.80 | | | | | | 3/8/2025 | | |
| | | 2/24/2016 | | | | | | 1/1/2016 | | | | | | 75,376 | | | | | | — | | | | | | — | | | | | | 0.96 | | | | | | 2/23/2026 | | | ||
| | | 9/27/2016 | | | | | | 6/8/2016 | | | | | | 76,633 | | | | | | — | | | | | | — | | | | | | 1.68 | | | | | | 9/26/2026 | | | ||
| | | 11/3/2016 | | | | | | 10/1/2016 | | | | | | 115,577 | | | | | | — | | | | | | — | | | | | | 1.68 | | | | | | 11/2/2026 | | | ||
| | | 9/15/2017 | | | | | | 9/1/2017 | | | | | | 144,472 | | | | | | — | | | | | | — | | | | | | 2.39 | | | | | | 9/14/2027 | | | ||
| | | 3/15/2018 | | | | | | 3/15/2018 | | | | | | 125,628 | | | | | | — | | | | | | — | | | | | | 7.49 | | | | | | 3/15/2028 | | | ||
| | | 5/15/2018 | | | | | | 5/15/2018 | | | | | | 25,125 | | | | | | — | | | | | | — | | | | | | 7.89 | | | | | | 5/14/2028 | | | ||
Geoffrey M. Parker
|
| | | | 6/15/2017 | | | | | | 4/10/2017 | | | | | | 251,256 | | | | | | — | | | | | | — | | | | | | 1.84 | | | | | | 6/14/2027 | | |
| | | 9/15/2017 | | | | | | 9/1/2017 | | | | | | 30,150 | | | | | | — | | | | | | — | | | | | | 2.39 | | | | | | 9/14/2027 | | | ||
| | | 3/15/2018 | | | | | | 3/15/2018 | | | | | | 35,175 | | | | | | — | | | | | | — | | | | | | 7.49 | | | | | | 3/15/2028 | | | ||
Dawn Parsell, Ph.D.
|
| | | | 3/9/2015 | | | | | | 12/19/2014 | | | | | | 12,562 | | | | | | — | | | | | | — | | | | | | 0.8 | | | | | | 3/8/2025 | | |
| | | 9/3/2015 | | | | | | 9/3/2015 | | | | | | 12,562 | | | | | | — | | | | | | — | | | | | | 0.8 | | | | | | 9/2/2025 | | | ||
| | | 9/27/2016 | | | | | | 6/8/2016 | | | | | | 10,050 | | | | | | — | | | | | | — | | | | | | 1.68 | | | | | | 9/26/2026 | | | ||
| | | 11/3/2016 | | | | | | 10/1/2016 | | | | | | 40,201 | | | | | | — | | | | | | — | | | | | | 1.68 | | | | | | 11/2/2026 | | | ||
| | | 9/15/2017 | | | | | | 9/1/2017 | | | | | | 25,125 | | | | | | — | | | | | | — | | | | | | 2.39 | | | | | | 9/13/2027 | | | ||
| | | 3/15/2018 | | | | | | 3/15/2018 | | | | | | 25,125 | | | | | | — | | | | | | — | | | | | | 7.49 | | | | | | 3/15/2028 | | | ||
| | | 9/27/2018 | | | | | | 8/1/2018 | | | | | | 125,000 | | | | | | — | | | | | | — | | | | | | 31.85 | | | | | | 9/26/2028 | | |
| | |
Years Ended December 31,
|
| |||||||||
| | |
2018
|
| |
2017
|
| ||||||
Audit fees
|
| | | $ | 2,381,172 | | | | | $ | 502,521 | | |
Audit-related fees
|
| | | | — | | | | | | — | | |
Tax fees
|
| | | | — | | | | | | — | | |
All other fees
|
| | | | 4,000 | | | | | | — | | |
Total fees
|
| | | $ | 2,385,172 | | | | | $ | 502,521 | | |
|
Name of Beneficial Owner
|
| |
Shares of
Common Stock Beneficially Owned |
| |
Percentage of
Outstanding Shares Beneficially Owned |
| ||||||
5% Stockholders | | | | ||||||||||
OrbiMed Private Investments V, LP(1)
|
| | | | 10,889,280 | | | | | | 25.5% | | |
Entities affiliated with Sibling Capital(2)
|
| | | | 6,905,624 | | | | | | 16.2% | | |
Entities affiliated with Wellington Management Company LLP(3)
|
| | | | 3,122,715 | | | | | | 7.3% | | |
Longitude Venture Partners II, L.P.(4)
|
| | | | 3,019,734 | | | | | | 7.1% | | |
Directors and Named Executive Officers(5) | | | | ||||||||||
Gerrit Klaerner, Ph.D.(6)
|
| | | | 1,905,531 | | | | | | 4.5% | | |
Robert J. Alpern, M.D.(7)
|
| | | | 188,080 | | | | | | * | | |
David P. Bonita, M.D.(8)
|
| | | | 10,906,059 | | | | | | 25.6% | | |
Sandra I. Coufal, M.D.(9)
|
| | | | 7,151,695 | | | | | | 16.8% | | |
Kathryn Falberg(10)
|
| | | | 101,121 | | | | | | * | | |
David Hirsch, M.D., Ph.D.(11)
|
| | | | 3,036,513 | | | | | | 7.1% | | |
Geoffrey M. Parker(12)
|
| | | | 482,355 | | | | | | 1.1% | | |
Dawn Parsell, Ph.D.(13)
|
| | | | 330,625 | | | | | | * | | |
Klaus Veitinger, M.D., Ph.D., M.B.A.(14)
|
| | | | 289,159 | | | | | | * | | |
All directors and executive officers as a group (13 persons)(15)
|
| | | | 28,472,084 | | | | | | 66.7% | | |