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| | | |
|
Proposal |
|
|
Voting Choices and Board Recommendation |
|
---|---|---|---|---|---|
|
Proposal 1: Election of Directors |
|
|
•
|
|
|
•
|
| |||
|
•
|
| |||
|
The Board recommends a vote FOR each of the nominees. |
| |||
|
Proposal 2: Approval of our new 2014 Plan and the authorization of 3,750,000 shares of Common Stock to be available for future awards made under the 2014 Plan |
|
|
•
|
|
|
•
|
| |||
|
•
|
| |||
|
The Board recommends a vote FOR approval. |
| |||
|
Proposal 3: Approval of an amendment to our Director Option Plan to increase the number of shares of Common Stock available for issuance to directors under the Director Option Plan |
|
|
•
|
|
|
•
|
| |||
|
•
|
| |||
|
The Board recommends a vote FOR approval. |
| |||
|
Proposal 4: Ratification of Selection of Independent Registered Public Accounting Firm |
|
|
•
|
|
|
•
|
| |||
|
•
|
| |||
|
The Board recommends a vote FOR ratification. |
| |||
|
Proposal 5: Advisory Proposal to Approve Executive Compensation |
|
|
•
|
|
|
•
|
| |||
|
•
|
| |||
|
The Board recommends a vote FOR the advisory vote to approve executive compensation. |
| |||
| | | |
|
Proposal |
|
|
Abstentions |
|
|
Broker Non-Votes |
|
---|---|---|---|---|---|---|---|---|
|
Proposal 1: Election of Directors |
|
|
N/A |
|
|
Not counted and no effect on vote. |
|
|
Proposal 2: Approval of our new 2014 Plan and the authorization of 3,750,000 shares of Common Stock to be available for future awards made under the 2014 Plan |
|
|
Not counted and no effect on vote. |
|
|
Not counted and no effect on vote. |
|
|
Proposal 3: Approval of an amendment to our Director Option Plan to increase the number of shares of Common Stock available for issuance to directors under the Director Option Plan by 250,000 shares of Common Stock |
|
|
Not counted and no effect on vote. |
|
|
Not counted and no effect on vote. |
|
|
Proposal 4: Ratification of Independent Registered Public Accounting Firm |
|
|
Not counted and no effect on vote. |
|
|
N/A |
|
|
Proposal 5: Advisory Proposal to Approve Executive Compensation |
|
|
Not counted and no effect on vote. |
|
|
Not counted and no effect on vote. |
|
| | | | | |
|
|
|
|
Timothy C. Barabe (1) |
|
|
Ronald M. Lindsay (3) |
|
|
Michael Loberg (2)(3) |
|
|
William Messenger (1)(2) |
|
|
Paolo Pucci |
|
|
Patrick Zenner (1)(2) |
|
|
Susan L. Kelley (3) |
| ||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
High level of financial literacy |
|
|
|
|
X |
|
|
|
|
|
|
|
|
|
|
|
X |
|
|
|
|
|
X |
|
|
|
|
|
X |
|
|
|
|
|
X |
|
|
|
|
|
|
|
| |||||||
|
Relevant biotechnology business experience |
|
|
|
|
X |
|
|
|
|
|
X |
|
|
|
|
|
X |
|
|
|
|
|
X |
|
|
|
|
|
X |
|
|
|
|
|
X |
|
|
|
|
|
X |
|
| |||||||
|
Extensive knowledge of drug research and development |
|
|
|
|
|
|
|
|
|
|
X |
|
|
|
|
|
X |
|
|
|
|
|
|
|
|
|
|
|
X |
|
|
|
|
|
X |
|
|
|
|
|
X |
|
| |||||||
|
Extensive knowledge of drug commercialization and marketing |
|
|
|
|
X |
|
|
|
|
|
X |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
X |
|
|
|
|
|
X |
|
|
|
|
|
|
|
| |||||||
|
Expertise in corporate governance and business ethics |
|
|
|
|
X |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
X |
|
|
|
|
|
|
|
|
|
|
|
X |
|
|
|
|
|
|
|
| |||||||
|
Diversity of background, professional experience or culture |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
X |
|
|
|
|
|
X |
|
|
|
|
|
X |
|
|
|
|
|
|
|
|
|
|
|
X |
|
| |||||||
| | | | | | | | | | | | | | | | | | | | | | | |
|
Name |
|
|
Fees Earned or Paid in Cash ($) |
|
|
Option Awards(1) ($) |
|
|
Total ($) |
| ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Timothy C. Barabe(2) |
|
|
|
$ |
60,250 |
|
|
|
|
$ |
28,400 |
|
|
|
|
$ |
88,650 |
|
| |||
|
Susan L. Kelley, M.D. |
|
|
|
|
51,500 |
|
|
|
|
|
28,400 |
|
|
|
|
|
79,900 |
|
| |||
|
Ronald M. Lindsay, Ph.D. |
|
|
|
|
74,000 |
|
|
|
|
|
28,400 |
|
|
|
|
|
102,400 |
|
| |||
|
Michael D. Loberg, Ph.D.(3) |
|
|
|
|
57,750 |
|
|
|
|
|
28,400 |
|
|
|
|
|
86,150 |
|
| |||
|
William G. Messenger, D. Min. |
|
|
|
|
67,750 |
|
|
|
|
|
28,400 |
|
|
|
|
|
96,150 |
|
| |||
|
Patrick J. Zenner |
|
|
|
|
72,750 |
|
|
|
|
|
47,333 |
|
|
|
|
|
120,083 |
|
| |||
| | | | | | | | | | | |
|
Name and Principal Position |
|
|
2012 Annualized Base Salary ($) |
|
|
2013 Annualized Base Salary ($) |
|
|
% Increase |
|
|
Comment |
| ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Paolo Pucci, CEO |
|
|
|
|
489,000 |
|
|
|
|
|
489,000 |
|
|
|
|
|
— |
|
|
|
Base salary negotiated in and adjusted per amended employment agreement and annual review. |
| |||
|
Peter S. Lawrence, COO |
|
|
|
|
414,000 |
|
|
|
|
|
414,000 |
|
|
|
|
|
— |
|
|
|
Base salary negotiated in and adjusted per amended employment agreement and annual review. |
| |||
|
Dr. Brian Schwartz, CMO |
|
|
|
|
370,000 |
|
|
|
|
|
381,000 |
|
|
|
|
|
3.0 |
|
|
|
Base salary negotiated in and adjusted per employment agreement and annual review. |
| |||
| | | | | | | | | | | | | | |
|
Name and Principal Position |
|
|
2013 Bonus Target (% of Base Salary) |
|
|
2013 Bonus Actual (% of Base Salary) |
|
|
Comment |
|
---|---|---|---|---|---|---|---|---|---|---|---|
|
Paolo Pucci, CEO |
|
|
60.0% |
|
|
51.0% |
|
|
Target bonus set by terms of amended employment agreement. Actual bonus 85% of target. |
|
|
Peter S. Lawrence, COO |
|
|
45.0% |
|
|
38.3% |
|
|
Target bonus set by terms of amended employment agreement. Actual bonus 85% of target. |
|
|
Dr. Brian Schwartz, CMO |
|
|
40.0% |
|
|
34.0% |
|
|
Target bonus set by terms of employment agreement. Actual bonus 85% of target. |
|
| | | | | | | |
|
Name and Principal Position |
|
|
Year |
|
|
Salary ($) (1) |
|
|
Bonus ($) |
|
|
Stock Awards ($) |
|
|
Option Awards ($) (2) |
|
|
Non-Equity Incentive Plan Compensation ($) (3) |
|
|
All Other Compensation ($) (4) |
|
|
Total ($) |
| ||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Paolo Pucci Chief Executive Officer |
|
|
|
|
2013 |
|
|
|
|
|
489,345 |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
486,609 |
|
|
|
|
|
249,566 |
|
|
|
|
|
8,100 |
|
|
|
|
|
1,233,620 |
|
| ||||||||
|
|
|
2012 |
|
|
|
|
|
488,786 |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
1,549,485 |
|
|
|
|
|
278,927 |
|
|
|
|
|
7,950 |
|
|
|
|
|
2,325,148 |
|
| |||||||||||
|
|
|
2011 |
|
|
|
|
|
483,769 |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
1,214,070 |
|
|
|
|
|
261,630 |
|
|
|
|
|
7,950 |
|
|
|
|
|
1,967,419 |
|
| |||||||||||
|
Peter S. Lawrence President, Chief Operating Officer, General Counsel and Secretary |
|
|
|
|
2013 |
|
|
|
|
|
413,921 |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
210,864 |
|
|
|
|
|
158,325 |
|
|
|
|
|
8,100 |
|
|
|
|
|
791,210 |
|
| ||||||||
|
|
|
2012 |
|
|
|
|
|
412,530 |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
726,782 |
|
|
|
|
|
157,290 |
|
|
|
|
|
7,950 |
|
|
|
|
|
1,304,552 |
|
| |||||||||||
|
|
|
2011 |
|
|
|
|
|
401,111 |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
627,270 |
|
|
|
|
|
144,671 |
|
|
|
|
|
7,950 |
|
|
|
|
|
1,181,002 |
|
| |||||||||||
|
Dr. Brian Schwartz Chief Medical Officer and Senior Vice President |
|
|
|
|
2013 |
|
|
|
|
|
380,258 |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
145,983 |
|
|
|
|
|
129,578 |
|
|
|
|
|
8,100 |
|
|
|
|
|
663,919 |
|
| ||||||||
|
|
|
2012 |
|
|
|
|
|
367,520 |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
538,631 |
|
|
|
|
|
123,029 |
|
|
|
|
|
7,950 |
|
|
|
|
|
1,037,130 |
|
| |||||||||||
|
|
|
2011 |
|
|
|
|
|
347,630 |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
566,566 |
|
|
|
|
|
109,749 |
|
|
|
|
|
7,950 |
|
|
|
|
|
1,031,895 |
|
| |||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | | | |
|
|
|
|
|
|
Estimated Future Payouts Under Non-Equity Incentive Plan Awards(1) |
|
|
All Other Option Awards: Number of Securities Underlying Options (#) |
|
|
Grant Date Fair Value of Stock and Option Awards(2) ($) |
| ||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Name |
|
|
Grant Date |
|
|
Threshold ($) |
|
|
Target ($) |
|
|
Maximum ($) |
| |||||||||||||||||||||||||||||||||||||
|
Paolo Pucci |
|
|
|
|
N/A |
|
|
|
|
|
— |
|
|
|
|
|
293,607 |
|
|
|
|
|
440,410 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |||||||
|
|
|
|
|
|
1/14/2013 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
285,000 |
|
|
|
|
|
486,609 |
|
| |||||||||||||
|
Peter S. Lawrence |
|
|
|
|
N/A |
|
|
|
|
|
— |
|
|
|
|
|
186,264 |
|
|
|
|
|
279,397 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| |||||||||||||
|
|
|
|
|
|
1/14/2013 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
123,500 |
|
|
|
|
|
210,864 |
|
| |||||||||||||
|
Dr. Brian Schwartz |
|
|
|
|
N/A |
|
|
|
|
|
— |
|
|
|
|
|
158,542 |
|
|
|
|
|
237,814 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| |||||||||||||
|
|
|
|
|
|
1/14/2013 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
85,500 |
|
|
|
|
|
145,983 |
|
| |||||||||||||
| | | | | | | | | | | | | | | | | | | | | | |
|
|
|
|
Option Awards |
|
|
|
|
Stock Awards |
| ||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Name |
|
|
Number of Securities Underlying Unexercised Options (#) (1) Exercisable |
|
|
Number of Securities Underlying Unexercised Options (#) (1) Unexercisable |
|
|
Option Exercise Price ($) |
|
|
Option Expiration Date |
|
|
Equity Incentive Plan Awards: Number of Shares, Units or Other Rights that Have Not Vested |
|
|
Equity Incentive Plan Awards: Market or Payout Value of Shares, Units or Other Rights that Have Not Vested(2) |
| ||||||||||||||||||||||||
|
Paolo Pucci |
|
|
|
|
500,000 |
(3) |
|
|
|
|
|
|
|
|
|
|
$ |
3.95 |
|
|
|
|
|
6/9/2018 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| |||||
|
|
|
|
|
|
168,750 |
|
|
|
|
|
56,250 |
|
|
|
|
|
3.42 |
|
|
|
|
|
1/21/2020 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
100,000 |
|
|
|
|
|
|
|
|
|
|
|
4.14 |
|
|
|
|
|
7/15/2020 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
150,000 |
|
|
|
|
|
150,000 |
|
|
|
|
|
6.70 |
|
|
|
|
|
1/24/2021 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
78,750 |
|
|
|
|
|
236,250 |
|
|
|
|
|
7.95 |
|
|
|
|
|
2/1/2022 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
|
|
|
|
|
|
285,000 |
|
|
|
|
|
2.51 |
|
|
|
|
|
1/14/2023 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
390,000(4 |
) |
|
|
|
|
$ |
1,614,600 |
|
| |||||
|
Peter S. Lawrence |
|
|
|
|
300,000 |
|
|
|
|
|
|
|
|
|
|
|
6.20 |
|
|
|
|
|
4/13/2016 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
50,000 |
|
|
|
|
|
|
|
|
|
|
|
6.16 |
|
|
|
|
|
1/16/2017 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
100,000 |
|
|
|
|
|
|
|
|
|
|
|
7.56 |
|
|
|
|
|
10/4/2017 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
200,000 |
|
|
|
|
|
|
|
|
|
|
|
4.75 |
|
|
|
|
|
1/17/2018 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
97,500 |
|
|
|
|
|
32,500 |
|
|
|
|
|
3.42 |
|
|
|
|
|
1/21/2020 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
65,000 |
|
|
|
|
|
65,000 |
|
|
|
|
|
6.70 |
|
|
|
|
|
1/24/2021 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
12,500 |
|
|
|
|
|
12,500 |
|
|
|
|
|
6.70 |
|
|
|
|
|
1/24/2021 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
36,937 |
|
|
|
|
|
110,813 |
|
|
|
|
|
7.95 |
|
|
|
|
|
2/1/2022 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
|
|
|
|
|
|
123,500 |
|
|
|
|
|
2.51 |
|
|
|
|
|
1/14/2023 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
25,000(5 |
) |
|
|
|
|
$ |
62,750 |
|
| |||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
125,000(6 |
) |
|
|
|
|
$ |
307,500 |
|
| |||||
|
Dr. Brian Schwartz |
|
|
|
|
200,000 |
|
|
|
|
|
|
|
|
|
|
|
3.62 |
|
|
|
|
|
7/14/2018 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
67,500 |
|
|
|
|
|
22,500 |
|
|
|
|
|
3.42 |
|
|
|
|
|
1/21/2020 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
45,000 |
|
|
|
|
|
45,000 |
|
|
|
|
|
6.70 |
|
|
|
|
|
1/24/2021 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
25,000 |
|
|
|
|
|
25,000 |
|
|
|
|
|
6.70 |
|
|
|
|
|
1/24/2021 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
27,375 |
|
|
|
|
|
82,125 |
|
|
|
|
|
7.95 |
|
|
|
|
|
2/1/2022 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
|
|
|
|
|
|
85,500 |
|
|
|
|
|
2.51 |
|
|
|
|
|
1/14/2023 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
50,000(7 |
) |
|
|
|
|
$ |
375,000 |
|
| |||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
30,000(8 |
) |
|
|
|
|
$ |
75,300 |
|
| |||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
120,000(7 |
) |
|
|
|
|
$ |
295,200 |
|
| |||||
| | | | | | | | | | | | | | | | | | | | |
|
|
|
|
Option Awards |
|
|
Stock Awards |
| ||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Name |
|
|
Number of Securities Acquired on Exercise |
|
|
Value Realized Upon Exercise ($) |
|
|
Number of Shares Acquired on Vesting |
|
|
Value Realized on Vesting ($) (1) |
| ||||||||||||||||
|
Paolo Pucci |
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
16,875 |
|
|
|
|
$ |
42,863 |
|
| ||||
|
Peter S. Lawrence |
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
18,750 |
|
|
|
|
|
47,625 |
|
| ||||
|
Dr. Brian Schwartz |
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
2,925 |
|
|
|
|
|
7,430 |
|
| ||||
| | | | | | | | | | | | | | |
|
Name |
|
|
Cash Payment(1) ($) |
|
|
Equity Acceleration(2) ($) |
|
|
Benefits and Perquisites(3) ($) |
|
|
Total ($) |
| ||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Paolo Pucci |
|
|
|
$ |
1,519,247 |
|
|
|
|
|
838,500 |
|
|
|
|
$ |
25,985 |
|
|
|
|
$ |
2,383,732 |
|
| ||||
|
Peter S. Lawrence |
|
|
|
|
600,186 |
|
|
|
|
|
322,500 |
|
|
|
|
|
25,985 |
|
|
|
|
|
948,671 |
|
| ||||
|
Dr. Brian Schwartz |
|
|
|
|
533,557 |
|
|
|
|
|
430,000 |
|
|
|
|
|
25,985 |
|
|
|
|
|
989,542 |
|
| ||||
| | | | | | | | | | | | | | |
|
|
|
|
(a) |
|
|
(b) |
|
|
(c)(1) |
| ||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
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)) |
| ||||||||||||
|
Equity compensation plans approved by security holders |
|
|
|
|
7,502,814 |
|
|
|
|
$ |
5.28 |
|
|
|
|
|
3,162,103 |
|
| |||
|
Equity compensation plans not approved by security holders |
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
| |||
|
Total |
|
|
|
|
7,502,814 |
|
|
|
|
$ |
5.28 |
|
|
|
|
|
3,162,103 |
|
| |||
| | | | | | | | | | | |
|
|
|
|
2013 |
|
|
2012 |
| ||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Audit Fees |
|
|
|
$ |
430,000 |
|
|
|
|
$ |
479,000 |
|
| ||
|
Audit-Related Fees |
|
|
|
|
— |
|
|
|
|
|
— |
|
| ||
|
Tax Fees |
|
|
|
|
— |
|
|
|
|
|
— |
|
| ||
|
All Other Fees |
|
|
|
|
— |
|
|
|
|
|
— |
|
| ||
|
Total |
|
|
|
$ |
430,000 |
|
|
|
|
$ |
479,000 |
|
| ||
| | | | | | | |
|
Name |
|
|
Common Stock Owned |
|
|
Options to Purchase Common Stock |
|
|
Total Stock and Stock-based Holdings |
|
|
Percent of Class |
| ||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
BlackRock, Inc.(1) 55 East 52nd Street New York, NY 10055 |
|
|
|
|
6,271,758 |
|
|
|
|
|
— |
|
|
|
|
|
6,271,758 |
|
|
|
|
|
10.00 |
% |
|
| |||
|
OrbiMed Advisors LLC(2) OrbiMed Capital LLC 601 Lexington Avenue 54th Floor New York, NY 10022 |
|
|
|
|
5,702,000 |
|
|
|
|
|
— |
|
|
|
|
|
5,702,000 |
|
|
|
|
|
9.09 |
% |
|
| |||
|
1Globe Capital LLC(3) 245 First Street Riverview II, 18th Floor Cambridge, MA 02142 |
|
|
|
|
4,008,664 |
|
|
|
|
|
— |
|
|
|
|
|
4,008,664 |
|
|
|
|
|
6.39 |
% |
|
| |||
|
Pfizer Inc(4) 235 East 42nd Street New York, New York 10017 |
|
|
|
|
3,273,679 |
|
|
|
|
|
— |
|
|
|
|
|
3,273,679 |
|
|
|
|
|
6.07 |
% |
|
| |||
| | | | | | | | | | | | | | |
|
Directors and Executive Officers(1) |
|
|
Common Stock Owned |
|
|
Options to Purchase Common Stock |
|
|
Total Stock and Stock-based Holdings |
|
|
Percent of Class |
| ||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Timothy C. Barabe(2) |
|
|
|
|
67,997 |
|
|
|
|
|
110,000 |
|
|
|
|
|
177,997 |
|
|
|
|
|
* |
|
| ||||
|
Susan L. Kelley |
|
|
|
|
— |
|
|
|
|
|
75,000 |
|
|
|
|
|
75,000 |
|
|
|
|
|
* |
|
| ||||
|
Ronald M. Lindsay |
|
|
|
|
20,000 |
|
|
|
|
|
110,000 |
|
|
|
|
|
130,000 |
|
|
|
|
|
* |
|
| ||||
|
Michael D. Loberg |
|
|
|
|
92,094 |
|
|
|
|
|
110,000 |
|
|
|
|
|
202,094 |
|
|
|
|
|
* |
|
| ||||
|
William G. Messenger |
|
|
|
|
1,500 |
|
|
|
|
|
115,000 |
|
|
|
|
|
116,500 |
|
|
|
|
|
* |
|
| ||||
|
Patrick J. Zenner |
|
|
|
|
40,015 |
|
|
|
|
|
170,000 |
|
|
|
|
|
210,015 |
|
|
|
|
|
* |
|
| ||||
|
Peter S. Lawrence |
|
|
|
|
67,422 |
|
|
|
|
|
1,001,000 |
|
|
|
|
|
1,068,422 |
|
|
|
|
|
1.7 |
% |
|
| |||
|
Paolo Pucci |
|
|
|
|
254,540 |
|
|
|
|
|
1,278,750 |
|
|
|
|
|
1,533,290 |
|
|
|
|
|
2.4 |
% |
|
| |||
|
Brian Schwartz |
|
|
|
|
42,710 |
|
|
|
|
|
471,125 |
|
|
|
|
|
513,835 |
|
|
|
|
|
* |
|
| ||||
|
Directors and executive officers as a group (10 persons) |
|
|
|
|
586,278 |
|
|
|
|
|
3,440,875 |
|
|
|
|
|
4,027,153 |
|
|
|
|
|
6.4 |
% |
|
| |||
| | | | | | | | | | | | | | |