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Director Name | | | Age | | | Position with the Company | | | Since | |
Class I Director – Term expires 2020; Nominated to Serve a Term Expiring 2023 | | | | | | | | | | |
James Shmerling,* DHA, FACHE(1)(2)(3) | | | 65 | | | Director | | | 2018 | |
Class II Directors – Term expires 2021 | | | | | | | | | | |
Ting Li | | | 43 | | | Director | | | 2018 | |
Jeffrey Young(1) | | | 47 | | | Director | | | 2018 | |
Wei Zhang, MD, Ph.D.(2)(3) | | | 48 | | | Director | | | 2018 | |
Class III Director – Term expires 2023 | | | | | | | | | | |
Jason Jing Chen | | | 58 | | | Chairman | | | 2018 | |
Director Name | | | Age | | | Position with the Company | | | Since | |
Class I Director – Term expires 2023 | | | | | | | | | | |
James Shmerling, DHA, FACHE(1)(2)(3) | | | 67 | | | Director | | | 2018 | |
Junli He(2)(3) | | | 48 | | | Director | | | 2021 | |
Class II Directors – Term expires 2024 | | | | | | | | | | |
Ting Li | | | 45 | | | Director | | | 2018 | |
David Green | | | 57 | | | Chairman | | | 2021 | |
Class III Director – Term expires 2022 | | | | | | | | | | |
Jason Jing Chen* | | | 60 | | | Vice Chairman | | | 2018 | |
Herman Sanchez(1)* | | | 47 | | | Director | | | 2021 | |
Name and Principal Position | | Year | | Salary | | Stock Awards(1) | | Option Awards(2) | | All Other Compensation | | Total | | | Year | | Salary | | Stock Awards | | Option Awards(1) | | All Other Compensation | | Total | | ||||||||||||||||||||||||||||||||||||||||||||||||
James McGorry Former Chief Executive Officer) | | | | | 2019 | | | | $ | 375,000 | | | | | — | | | | | — | | | | $ | 20,651(3) | | | | $ | 395,651 | | | ||||||||||||||||||||||||||||||||||||||||||
| | | 2018 | | | | $ | 411,058 | | | | | — | | | | $ | 699,694 | | | | $ | 9,545(4) | | | | $ | 1,120,297 | | | ||||||||||||||||||||||||||||||||||||||||||||
David Green Interim Chief Executive Officer | | | | | 2021 | | | | $ | 35,568 | | | | | — | | | | $ | 222,971 | | | | $ | — | | | | $ | 258,539 | | | ||||||||||||||||||||||||||||||||||||||||||
| | | 2020 | | | | | — | | | | | — | | | | | — | | | | | — | | | | | — | | | ||||||||||||||||||||||||||||||||||||||||||||
Hong Yu President | | | | | 2021 | | | | $ | 150,000 | | | | | — | | | | $ | 222,827 | | | | $ | 7,950(2) | | | | $ | 380,777 | | | ||||||||||||||||||||||||||||||||||||||||||
| | | 2020 | | | | $ | 150,000 | | | | | — | | | | | — | | | | $ | 7,950(3) | | | | $ | 157,950 | | | ||||||||||||||||||||||||||||||||||||||||||||
William Fodor, PhD Chief Scientific Officer | | | | | 2019 | | | | $ | 305,000 | | | | | — | | | | | — | | | | $ | 17,151(5) | | | | $ | 322,151 | | | | | | | 2021 | | | | $ | 152,500 | | | | | — | | | | $ | 386,303 | | | | $ | 10,552(4) | | | | $ | 549,355 | | | ||||||||||
| | | 2018 | | | | $ | 140,769 | | | | | — | | | | $ | 847,713 | | | | $ | 4,396(6) | | | | $ | 992,878 | | | | | | 2020 | | | | $ | 305,000 | | | | | — | | | | | — | | | | $ | 17,151(5) | | | | $ | 322,151 | | | |||||||||||||
Thomas McNaughton(9) Former Chief Financial Officer) | | | | | 2019 | | | | $ | 235,498 | | | | | — | | | | $ | 61,982 | | | | $ | 8,531(7) | | | | $ | 306,011 | | | ||||||||||||||||||||||||||||||||||||||||||
| | | 2018 | | | | $ | 338,712 | | | | | — | | | | $ | 427,592 | | | | $ | 14,916(8) | | | | $ | 781,220 | | | ||||||||||||||||||||||||||||||||||||||||||||
Hong Yu President | | | | | 2019 | | | | $ | 150,000 | | | | | — | | | | | — | | | | $ | 7,950(10) | | | | $ | 157,950 | | | ||||||||||||||||||||||||||||||||||||||||||
| | | 2018 | | | | $ | 88,269 | | | | | — | | | | $ | 427,592 | | | | $ | 2,849(11) | | | | $ | 518,710 | | | ||||||||||||||||||||||||||||||||||||||||||||
Peter Chakoutis Vice President of Finance | | | | | 2019 | | | | $ | 181,923 | | | | | — | | | | $ | 57,492 | | | | $ | 9,896(12) | | | | $ | 249,311 | | | ||||||||||||||||||||||||||||||||||||||||||
| | | 2018 | | | | $ | 119,000 | | | | | — | | | | $ | 75,583 | | | | $ | 4,773(13) | | | | $ | 199,356 | | |
Name and Principal Position | | | Stock Option Awards | | |||
David Green Interim Chief Executive Officer | | | | | 374,094(1) | | |
William Fodor, PhD Chief Scientific Officer | | | | | 196,103(2) | | |
Hong Yu President | | | | | 113,116(2) | | |
Name | | | Fees earned or paid in cash | | | Option awards(1)(2) | | | Total | | |||||||||
Jason Jing Chen | | | | $ | 0 | | | | | $ | 62,914 | | | | | $ | 62,914 | | |
Matthew Dallas | | | | $ | 0 | | | | | $ | 44,998 | | | | | $ | 44,998 | | |
Ting Li | | | | $ | 0 | | | | | $ | 48,010 | | | | | $ | 48,010 | | |
James Shmerling, DHA FACHE | | | | $ | 0 | | | | | $ | 44,998 | | | | | $ | 44,998 | | |
Jeffrey Young | | | | $ | 0 | | | | | $ | 44,998 | | | | | $ | 44,998 | | |
Wei Zhang MD, Ph.D | | | | $ | 0 | | | | | $ | 57,160 | | | | | $ | 57,160 | | |
Name | | | Fees earned or paid in cash | | | Option awards(1)(2) | | | Total | | |||||||||
Jason Jing Chen | | | | $ | — | | | | | $ | 45,026 | | | | | $ | 45,026 | | |
Junli He | | | | $ | — | | | | | $ | 44,996 | | | | | $ | 44,996 | | |
Ting Li | | | | $ | — | | | | | $ | 45,026 | | | | | $ | 45,026 | | |
Herman Sanchez | | | | $ | — | | | | | $ | 70,029 | | | | | $ | 70,029 | | |
James Shmerling, DHA, FACHE | | | | $ | — | | | | | $ | 45,030 | | | | | $ | 45,030 | | |
| | Option Awards | | Restricted Stock Units | | | Option Awards | | Restricted Stock Units | | ||||||||||||||||||||||||||||||||||||||||||||||||||||
| | Number of Securities Underlying Unexercised Options (#) Exercisable | | Number of Securities Underlying Unexercised Options (#) Unexercisable | | Option Exercise Price ($) | | Option Expiration Date | | Number of Securities Underlying Restricted Stock Units | | | Number of Securities Underlying Unexercised Options (#) Exercisable | | Number of Securities Underlying Unexercised Options (#) Unexercisable | | Option Exercise Price ($) | | Option Expiration Date | | Number of Securities Underlying Restricted Stock Units | | ||||||||||||||||||||||||||||||||||||||||
James McGorry | | | | | 1,250 | | | | | — | | | | $ | 85.80 | | | | | 11/18/2023 | | | | | — | | | |||||||||||||||||||||||||||||||||||
| | | 1,250 | | | | | — | | | | $ | 36.80 | | | | | 5/29/2025 | | | | | — | | | |||||||||||||||||||||||||||||||||||||
| | | 33,570 | | | | | — | | | | $ | 27.60 | | | | | 7/6/2025 | | | | | — | | | |||||||||||||||||||||||||||||||||||||
| | | 5,625 | | | | | 1,875(1) | | | | $ | 33.80 | | | | | 3/22/2026 | | | | | — | | | |||||||||||||||||||||||||||||||||||||
| | | 6,700 | | | | | 6,700(2) | | | | $ | 7.68 | | | | | 3/14/2027 | | | | | — | | | |||||||||||||||||||||||||||||||||||||
| | | 85,616 | | | | | 85,616(3) | | | | $ | 2.72 | | | | | 5/29/2028 | | | | | — | | | |||||||||||||||||||||||||||||||||||||
| | | 34,247 | | | | | 136,987(4) | | | | $ | 2.72 | | | | | 5/29/2028 | | | | | — | | | |||||||||||||||||||||||||||||||||||||
| | | — | | | | | — | | | | | — | | | | | — | | | | | 3,300(5) | | | |||||||||||||||||||||||||||||||||||||
David Green | | | | 8,907 | | | | | 97,977 (1) | | | | $ | 2.40 | | | | | 11/26/2031 | | | | | — | | | ||||||||||||||||||||||||||||||||||||
| | | | — | | | | | 267,210(2) | | | | $ | 2.40 | | | | | 11/26/2031 | | | | | — | | | ||||||||||||||||||||||||||||||||||||
William Fodor, Ph.D | | | | | 52,322 | | | | | 52,321(3) | | | | $ | 2.72 | | | | | 5/29/2028 | | | | | — | | | | | | 49,025 | | | | | 147,078(3) | | | | $ | 2.30 | | | | | 12/29/2031 | | | | | — | | | |||||||||
| | | 20,929 | | | | | 83,714(4) | | | | $ | 2.72 | | | | | 5/29/2028 | | | | | — | | | |||||||||||||||||||||||||||||||||||||
| | | | 104,643 | | | | | —(4) | | | | $ | 2.72 | | | | | 5/29/2028 | | | | | — | | | ||||||||||||||||||||||||||||||||||||
| | | | 20,929 | | | | | 83,714(5) | | | | $ | 2.72 | | | | | 5/29/2028 | | | | | — | | | ||||||||||||||||||||||||||||||||||||
Hong Yu | | | | | 52,322 | | | | | 52,321(3) | | | | $ | 2.72 | | | | | 5/29/2028 | | | | | — | | | | | | 28,279 | | | | | 84,837(3) | | | | $ | 2.30 | | | | | 12/29/2031 | | | | | | | | |||||||||
| | | 20,929 | | | | | 83,714(4) | | | | $ | 2.72 | | | | | 5/29/2028 | | | | | — | | | |||||||||||||||||||||||||||||||||||||
Peter Chakoutis | | | | | 19,026 | | | | | 19,026(6) | | | | $ | 2.72 | | | | | 5/29/2028 | | | | | — | | | |||||||||||||||||||||||||||||||||||
| | | 2,500 | | | | | 27,500(7) | | | | $ | 2.29 | | | | | 8/8/2029 | | | | | — | | | |||||||||||||||||||||||||||||||||||||
| | | | 104,643 | | | | | —(4) | | | | $ | 2.72 | | | | | 5/29/2028 | | | | | — | | | ||||||||||||||||||||||||||||||||||||
| | | | 20,929 | | | | | 83,714(5) | | | | $ | 2.72 | | | | | 5/29/2028 | | | | | — | | |
| | | Common Stock Beneficially Owned | | |||||||||
Name and Address of Beneficial Owner(1) | | | Shares | | | Percent(2) | | ||||||
Greater than 5% Holder | | | | | | | | | | | | | |
DST Capital LLC and Affiliates | | | | | | | | | | | | ||
An Zhang | | | | | 900,000 | | | | | | 8.4%(4) | | |
Du | | | | | 750,000 | | | | | | |||
| | ||||||||||||
Named Executive Officers | | | | | | | | | | | | | |
David Green | | | | | 213,065 | | | | | | 2.0%(6) | | |
Hong Yu | | | | | | | | | | 4.7% | | | |
William Fodor, Ph.D | | | | | | | | | | ||||
| | ||||||||||||
Non-employee Directors | | | | | | | | | | | | | |
Jason Jing Chen | | | | | | | | | | 2.8%(9) | | | |
Junli He | | | | | 249,852 | | | | | | 2.3%(10) | | |
Ting Li | | | | | |||||||||
| | | | | *%(11) | | | ||||||
| | | | | | | | | *%(12) | | | ||
| | | | | | | | | *%(13) | | | ||
All current executive officers and directors, as a group (8 persons) | | | | | | | | | | | |
Plan Category | | Number of Securities to be Issued Upon Exercise of Outstanding Options, Restricted Stock Units, 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)) | | | Number of Securities to be Issued Upon Exercise of Outstanding Options, Restricted Stock Units, 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) | | | (a) | | (b) | | (c) | | ||||||||||||||||||||||||
Equity compensation plans approved by security holders(1) | | | | 1,776,061 | | | | | 6.03 | | | | | 308,357(2) | | | | | | 2,332,603 | | | | | 3.93 | | | | | 2,747,676(2) | | | ||||||
Equity compensation plans not approved by security holders | | | | — | | | | | — | | | | | | | | | | | — | | | | | — | | | | | — | | | ||||||
Total | | | | 1,776,061 | | | | | 6.03 | | | | | 308,357 | | | | | | 2,332,603 | | | | | 3.93 | | | | | 2,747,676 | | |
| | 2019 | | 2018 | | |||||||||||||||||||||||||||||||||||||||
| | RSM | | RSM | | KPMG | | Total | | | 2021 | | 2020 | | Total | | ||||||||||||||||||||||||||||
Audit Fees(1) | | | $ | 212,625 | | | | $ | 189,000 | | | | $ | 71,000 | | | | $ | 260,000 | | | | | $ | 124,100 | | | | $ | 228,184 | | | | $ | 350,284 | | | |||||||
Tax Fees(2) | | | | 16,065 | | | | | 18,161 | | | | | — | | | | | 18,161 | | | | | | 34,920 | | | | | 18,585 | | | | | 55,505 | | | |||||||
Total Fees | | | $ | 228,690 | | | | $ | 207,161 | | | | $ | 71,000 | | | | $ | 278,161 | | | | | $ | 159,020 | | | | $ | 246,769 | | | | $ | 405,789 | | |