| Date and Time: | | | | |
| Format: | | | | |
| | | Pennsylvania 19341 | | |
| Items of Business: | | | • Elect two Class | |
• Approve, by non-binding vote, the compensation of the Company’s named executive officers for | |||||
• Ratify the selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, • Approve the amendment to the 2013 Stock Incentive Plan to increase the number of authorized shares; • Approve the amendment to the 2017 Employee Stock Purchase Plan to increase the number of authorized shares; and | |||||
• Transact any other business as may properly come before the | |||||
The board of directors has no knowledge of any other business to be transacted at the | | ||||
| Record Date: | | | You may vote on the matters to be presented at the | |
| Proxy | | | It is important that your shares be represented and voted at the | |
| | IMPORTANT NOTICE REGARDING THE AVAILABILITY OF PROXY MATERIALS FOR THE ANNUAL MEETING OF STOCKHOLDERS TO BE HELD ON JUNE Idera’s Proxy Statement for the https://ir.iderapharma.com/shareholder-services/annual-meeting | | |
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| Proposal | | | Affirmative Vote Required | | | Withholds | | | Broker Non-Votes | |
| Election of Directors (Proposal One) | | | Plurality of votes cast by holders of common stock entitled to vote | | | No effect(1) | | | No effect | |
| Advisory Vote on Named Executive Officer (Proposal Two) | | | Majority of common stock present or represented and voting on the matter | | | No effect | | | | |
| Ratification of Selection of Ernst & Young LLP (Proposal Three) | | | Majority of common stock present or represented and voting on the matter | | | No effect | | | | |
| Approval of Amendment to 2013 Stock Incentive Plan (Proposal Four) | | | Majority of common stock present or represented and voting on the matter | | | No effect | | | No effect | |
| Approval of Amendment to 2017 Employee Stock Purchase Plan (Proposal Five) | | | Majority of common stock present or represented and voting on the matter | | | No effect | | | No effect | |
| | | Member Annual Fee | | | Chairperson Annual Fee | | ||||||
Board of Directors | | | | $ | 40,000 | | | | | $ | 70,000 | | |
Audit Committee | | | | $ | 7,500 | | | | | $ | 15,000 | | |
Compensation Committee | | | | $ | 6,250 | | | | | $ | 12,500 | | |
Nominating and Corporate Governance Committee | | | | $ | 4,000 | | | | | $ | 8,000 | | |
Scientific Advisory Committee | | | | $ | 4,000 | | | | | $ | 8,000 | | |
Name | | Fees Earned or Paid in Cash ($) | | Option Awards ($)(1) | | Total ($) | | |||||||||||||||||||||||||||||||
| | Fees Earned or Paid in Cash ($) | | Option Awards ($)(1) | | Total ($) | | |||||||||||||||||||||||||||||||
Cristina Csimma | | | | 50,250 | | | | | 14,383 | | | | | 64,633 | | | | | | 50,250 | | | | | 24,658 | | | | | 74,908 | | | ||||||
Michael Dougherty | | | | 52,757(2) | | | | | 14,383 | | | | | 67,140 | | | | | | 78,027(2) | | | | | 24,658 | | | | | 102,685 | | | ||||||
James A. Geraghty | | | | 78,000(3) | | | | | 18,135 | | | | | 96,135 | | | | | | 57,726(3) | | | | | 24,658 | | | | | 82,384 | | | ||||||
Mark Goldberg | | | | 55,500(4) | | | | | 14,383 | | | | | 69,883 | | | | | | 55,500(4) | | | | | 24,658 | | | | | 80,158 | | | ||||||
Maxine Gowen | | | | 56,500 | | | | | 14,383 | | | | | 70,883 | | | | | | 56,500 | | | | | 24,658 | | | | | 81,158 | | | ||||||
Howard Pien | | | | 42,330(5) | | | | | 14,383 | | | | | 56,713 | | | ||||||||||||||||||||||
Carol A. Schafer | | | | 55,804(6) | | | | | 14,383 | | | | | 70,187 | | | | | | 59,004(5) | | | | | 24,658 | | | | | 83,662 | | |
Board Diversity Matrix (as of February 4, 2022) | | ||||||||||||||||||||||||
Total number of Directors | | | 7 | | |||||||||||||||||||||
| | | Female | | | Male | | | Non-Binary | | | Did not Disclose Gender | | ||||||||||||
Part I: Gender Identity | | | | | | | | | | | | | | | | | | | | | | | | | |
Directors | | | | | 3 | | | | | | 4 | | | | | | 0 | | | | | | 0 | | |
Part II: Demographic Background | | | | | | | | | | | | | | | | | | | | | | | | | |
African American or Blank | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | |
Alaskan Native or Native American | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | |
Asian | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | |
Hispanic or Latinx | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | |
Native Hawaiian or Pacific Islander | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | |
White | | | | | 3 | | | | | | 4 | | | | | | 0 | | | | | | 0 | | |
Two or More Races or Ethnicities | | | | | 0 | | | | | | 0 | | | | | | 0 | | | | | | 0 | | |
LGBTQ+ | | | 0 | | |||||||||||||||||||||
Did Not Disclose Demographic Background | | | 0 | |
Name | | | Age | | | Position | |
Vincent J. Milano* | | | | | President and Chief Executive Officer | | |
Daniel B. Soland | | | | | Senior Vice President, Chief Operating Officer | | |
John J. Kirby | | | | | Senior Vice President, Chief Financial Officer | | |
Bryant D. Lim | | | | | Senior Vice President, General Counsel and Corporate Secretary | ||
|
| | | Number of Shares Beneficially Owned | | | Percentage of Outstanding Shares | | ||||||
Name and Address of Beneficial Owner(1) | | | | | | | | | | | | | |
5% Stockholders | | | | | | | | | | | | | |
Pillar Investment Entities | | | | | | | | | | 19.99 | | | |
c/o Stuarts Corporate Services Ltd. Kensington House, 69 Dr. Roy’s Drive Georgetown, Grand Cayman KY1-1104 Cayman Islands | | | | | | | | | | | | | |
Named Executive Officers and Directors | | | | | | | | | | | | | |
Vincent J. Milano | | | | | | | | | | | | ||
John J. Kirby | | | | | | | | | | * | | | |
Bryant D. Lim | | | | | | | | | | * | | | |
Daniel Soland | | | | | 278,843(6) | | | | | | * | | |
Elizabeth Tarka | | | | | |||||||||
| | | | | * | | | ||||||
Cristina Csimma | | | | | | | | | | * | | | |
Michael R. Dougherty | | | | | | | | | | * | | | |
James A. Geraghty | | | | | | | | | | * | | | |
Mark Goldberg | | | | | | | | | | * | | | |
Maxine Gowen | | | | | 49,500(12) | | | | | | * | | |
Carol A. Schafer | | | | | | | | | | * | | | |
All current directors and executive officers as a group | | | | | | | | | | | |
| Aeglea BioTherapeutics, Inc. | | | | | Syndax Pharmaceuticals, Inc. | | |
| Calithera Biosciences, Inc. | | | | | Syros Pharmaceuticals, Inc. | | |
| Diffusion Pharmaceuticals Inc.* | | | Miragen Therapeutics, Inc. | | | Tyme Technologies, Inc. | |
| Galectin Therapeutics, Inc. | | | |||||
| | ZIOPHARM Oncology, Inc. | | |||||
| | | | | | | ||
| | | Sunesis Pharmaceuticals, | | | | |
NEO | | 2019 Base Salary | | 2020 Base Salary | | % Increase | | | 2020 Base Salary | | 2021 Base Salary | | % Increase | | ||||||||||||||||||||||||
Mr. Milano | | | $ | 600,000 | | | | $ | 600,000 | | | | | 0.0 | | | | | $ | 600,000 | | | | $ | 600,000 | | | | | — | | | ||||||
Mr. Kirby | | | $ | 336,000 | | | | $ | 336,000 | | | | | 0.0 | | | | | $ | 336,000 | | | | $ | 365,000 | | | | | 8.6 | | | ||||||
Mr. Lim | | | $ | 336,000 | | | | $ | 336,000 | | | | | 0.0 | | | | | $ | 336,000 | | | | $ | 365,000 | | | | | 8.6 | | | ||||||
Dr. Tarka | | | $ | 375,000 | | | | $ | 375,000 | | | | | 0.0 | | | ||||||||||||||||||||||
Mr. Fletcher(2) | | | $ | 400,000 | | | | $ | 400,000 | | | | | 0.0 | | | ||||||||||||||||||||||
Mr. Soland(1) | | | | — | | | | $ | 425,000 | | | | | — | | | ||||||||||||||||||||||
Dr. Tarka(2) | | | $ | 375,000 | | | | $ | 413,000 | | | | | 10.1 | | |
NEO | | | Cash Bonus (% of Base Salary) | | |||
Mr. Milano | | | | | 50% | | |
Mr. Kirby | | | | | 40% | | |
Mr. Lim | | | | | 40% | | |
| | | | 40% | | | |
| | | | 40% | | |
| Annual Base Salary ($) | |
| X | |
| Individual Target Bonus % | |
| X | |
| Corporate Performance Score (0-125%) | |
| X | |
| Individual Performance Score (0-125%) | |
| = | |
| Annual Incentive Award ($) (Individual Payout) | |
Primary Goals | | Contribution toward Corporate Performance Score(1) | | Weighted Achievement of Performance Goal(2) | | Highlights of Performance on Key Objectives | | | Contribution toward Corporate Performance Score(1) | | Weighted Achievement of Performance Goal(2) | | Highlights of Performance on Key Objectives | | ||||||
Advance Tilsotolimod (IMO-2125) program through Phase 3 and beyond PD-1 refractory melanoma | | 80% | | 70% | | • Progressed ILLUMINATE-301 study toward database lock and New Drug Application (“NDA”) filing. • Completed initial assessment of patients in first phase of MSSCRC cohort for ILLUMINATE-206 study and commenced enrollment of additional patients for evaluation. • Completed various NDA-readiness initiatives, including successful manufacturing of GMP batch of tilsotolimod. • Completed ILLUMINATE-204 study database lock and released topline data. | | |||||||||||||
Continue moving Tilsotolimod (IMO-2125) program toward registration | | 80% | | 25% | | • Delivered ILLUMINATE-301 topline results, which failed to meet primary endpoint. • Completed cohort expansion in the first phase of MSS-CRC cohort for ILLUMINATE-206. | | |||||||||||||
Continue business development initiatives through rare disease exploration | | 10% | | 10% | | • Active due diligence on multiple strategic business development options. | | | 10% | | 10% | | • Active due diligence on multiple strategic business development options. | | ||||||
Enhance ability to be successful through relevant foundational objectives | | 10% | | 15% | | • On target with respect to financial budget. • Closed two private placement financings from which we have received $15.1 million in 2020 with the potential for up to $40.7 million in aggregate. • Extended cash runway into the second quarter of 2022. • Minimized impact of COVID-19 disruption. | | | 10% | | 10% | | • On target with respect to financial budget. • Maintained strong corporate compliance. | | ||||||
Modifier(3) | | n/a | | 5% | | • Entered collaboration with Scriptr Global for discovery of gene therapy techniques. • Improved cash position. | | |||||||||||||
TOTAL | | 100% | | 95% | | | | | 100% | | 50% | | | |
NEO | | Target Bonus | | Overall Score | | Bonus Payout | | | Target Bonus | | Overall Score | | Bonus Earned | | Bonus Payout(1) | | ||||||||||||||||||||||
Mr. Milano | | | $ | 300,000 | | | 95% | | | $ | 285,000 | | | | | $ | 300,000 | | | 50% | | | $ | 150,000 | | | | $ | 0 | | | |||||||
Mr. Kirby | | | $ | 134,400 | | | 105% | | | $ | 140,448 | | | | | $ | 146,000 | | | 50% | | | $ | 73,000 | | | | $ | 73,000 | | | |||||||
Mr. Lim | | | $ | 134,400 | | | 105% | | | $ | 140,448 | | | | | $ | 146,000 | | | 50% | | | $ | 73,000 | | | | $ | 73,000 | | | |||||||
Dr. Tarka | | | $ | 150,000 | | | 95% | | | $ | 142,500 | | | |||||||||||||||||||||||||
Mr. Fletcher | | | $ | 160,000 | | | 95% | | | $ | 152,000 | | | |||||||||||||||||||||||||
Mr. Soland | | | $ | 170,000 | | | 50% | | | $ | 85,000 | | | | $ | 0 | | | ||||||||||||||||||||
Dr. Tarka(2) | | | $ | 165,200 | | | — | | | | — | | | | | — | | |
NEO | | | January Grants | | July Grants | | | | January 2021 Grants | | July 2021 Grants | | Total | | ||||||||||||||||||||||||||||||
| Stock Options (# options) | | RSUs (# units)(1) | | Stock Options (# options) | | RSUs (# units)(2) | | | Stock Options (# options) | | Stock Options (# options) | | Stock Options (# options) | | |||||||||||||||||||||||||||||
Mr. Milano | | | | 92,000 | | | | | 37,000 | | | | | 92,000 | | | | | 100,000 | | | | | | 95,000 | | | | | 124,000 | | | | | 219,000 | | | |||||||
Mr. Kirby | | | | 50,000 | | | | | 20,000 | | | | | 50,000 | | | | | 57,203 | | | | | | 51,000 | | | | | 66,500 | | | | | 117,500 | | | |||||||
Mr. Lim | | | | 50,000 | | | | | 20,000 | | | | | 50,000 | | | | | 2,523 | | | | | | 51,000 | | | | | 66,500 | | | | | 117,500 | | | |||||||
Mr. Soland | | | | 200,000(1) | | | | | 66,500 | | | | | 266,500 | | | ||||||||||||||||||||||||||||
Dr. Tarka | | | | 50,000 | | | | | 20,000 | | | | | 50,000 | | | | | — | | | | | | 51,000 | | | | | —(2) | | | | | 51,000 | | | |||||||
Mr. Fletcher | | | | 50,000 | | | | | 20,000 | | | | | 50,000 | | | | | 100,000 | | |
Name and Principal Position | | Year | | Salary ($) | | Stock Awards ($)(1) | | Option Awards ($)(2) | | Non-Equity Incentive Plan Compensation ($) | | All Other Compensation ($)(3) | | Total ($) | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
NAME AND PRINCIPAL POSITION | | YEAR | | SALARY ($) | | STOCK AWARDS ($)(1) | | OPTION AWARDS ($)(2) | | NON-EQUITY INCENTIVE PLAN COMPENSATION ($) | | ALL OTHER COMPENSATION ($)(3) | | TOTAL ($) | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Vincent J. Milano President and Chief Executive Officer | | | | | 2020 | | | | | 24,786 | | | | | 764,713(4) | | | | | 234,642 | | | | | 285,000 | | | | | 37,929 | | | | | 1,347,070 | | | | | | | 2021 | | | | | 600,000 | | | | | — | | | | | 340,189 | | | | | 150,000(4) | | | | | 44,244 | | | | | 1,134,433 | | | ||||||||||||
| | | 2019 | | | | | 600,000 | | | | | 105,975 | | | | | 279,160 | | | | | 315,000 | | | | | 37,082 | | | | | 1,337,217 | | | | | | 2020 | | | | | 24,786 | | | | | 764,713(5) | | | | | 234,642 | | | | �� | 285,000 | | | | | 37,929 | | | | | 1,347,070 | | | |||||||||||||||
| | | 2018 | | | | | 600,000 | | | | | — | | | | | 998,081 | | | | | 150,000 | | | | | 33,863 | | | | | 1,781,944 | | | | | | 2019 | | | | | 600,000 | | | | | 105,975 | | | | | 279,160 | | | | | 315,000 | | | | | 37,082 | | | | | 1,337,217 | | | |||||||||||||||
John J. Kirby Senior Vice President, Chief Financial Officer | | | | | 2020 | | | | | 336,000 | | | | | 123,755 | | | | | 127,523 | | | | | 140,448 | | | | | 37,519 | | | | | 765,245 | | | | | | | 2021 | | | | | 365,000 | | | | | — | | | | | 182,575 | | | | | 73,000 | | | | | 39,408 | | | | | 659,983 | | | ||||||||||||
| | | 2019 | | | | | 308,000 | | | | | 32,185 | | | | | 113,955 | | | | | 114,660 | | | | | 36,849 | | | | | 605,649 | | | | | | 2020 | | | | | 336,000 | | | | | 123,755 | | | | | 127,523 | | | | | 140,448 | | | | | 37,519 | | | | | 765,245 | | | |||||||||||||||
| | | 2018 | | | | | 249,888 | | | | | — | | | | | 206,479 | | | | | 64,771 | | | | | 32,735 | | | | | 553,873 | | | | | | 2019 | | | | | 308,000 | | | | | 32,185 | | | | | 113,955 | | | | | 114,660 | | | | | 36,849 | | | | | 605,649 | | | |||||||||||||||
Bryant D. Lim Senior Vice President, General Counsel and Corporate Secretary | | | | | 2020 | | | | | 336,000 | | | | | 39,679 | | | | | 127,523 | | | | | 140,448 | | | | | 37,779 | | | | | 681,429 | | | | | | | 2021 | | | | | 365,000 | | | | | — | | | | | 182,575 | | | | | 73,000 | | | | | 42,965 | | | | | 663,540 | | | ||||||||||||
| | | 2019 | | | | | 336,000 | | | | | 56,834 | | | | | 150,317 | | | | | 155,232 | | | | | 33,412 | | | | | 731,795 | | | | | | 2020 | | | | | 336,000 | | | | | 39,679 | | | | | 127,523 | | | | | 140,448 | | | | | 37,779 | | | | | 681,429 | | | |||||||||||||||
| | | 2018 | | | | | 103,125 | | | | | — | | | | | 639,969 | | | | | 25,160 | | | | | 6,924 | | | | | 775,178 | | | | | | 2019 | | | | | 336,000 | | | | | 56,834 | | | | | 150,317 | | | | | 155,232 | | | | | 33,412 | | | | | 731,795 | | | |||||||||||||||
Daniel B. Soland Senior Vice President, Chief Commercial Officer | | | | 2021 | | | | | 423,390 | | | | | — | | | | | 534,621 | | | | | 85,000(4) | | | | | 44,437 | | | | | 1,087,448 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||
Elizabeth Tarka Senior Vice President, Chief Medical Officer | | | | 2020 | | | | | 375,000 | | | | | 35,800 | | | | | 127,523 | | | | | 142,500 | | | | | 17,082 | | | | | 697,905 | | | | | | | 2021 | | | | | 172,594 | | | | | — | | | | | 131,407 | | | | | — | | | | | 489,502 | | | | | 793,503 | | | |||||||||||||
R. Clayton Fletcher Senior Vice President, Business Development and Strategy | | | | | 2020 | | | | | 400,000 | | | | | 189,560 | | | | | 127,523 | | | | | 152,000 | | | | | 23,679 | | | | | 892,762 | | | |||||||||||||||||||||||||||||||||||||||||||||||||
| | | 2019 | | | | | 400,000 | | | | | 56,834 | | | | | 150,317 | | | | | 168,000 | | | | | 23,082 | | | | | 798,233 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||
| | | 2018 | | | | | 400,000 | | | | | — | | | | | 461,837 | | | | | 92,000 | | | | | 23,613 | | | | | 977,450 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||
Elizabeth Tarka Senior Vice President, Chief Medical Officer | | | | | 2020 | | | | | 375,000 | | | | | 35,800 | | | | | 127,523 | | | | | 142,500 | | | | | 17,082 | | | | | 697,905 | | |
| | Premiums paid by us for all insurance plans ($) | | Company match on 401(k) ($) | | Total ($) | | | Premiums Paid by us for all Insurance Plans ($) | | Company Match on 401(K) ($) | | Severance ($) | | Total ($) | | ||||||||||||||||||||||||||||
Mr. Milano | | | | 23,679 | | | | | 14,250 | | | | | 37,929 | | | | | | 29,744 | | | | | 14,500 | | | | | — | | | | | 44,244 | | | |||||||
Mr. Kirby | | | | 23,269 | | | | | 14,250 | | | | | 37,519 | | | | | | 24,908 | | | | | 14,500 | | | | | — | | | | | 39,408 | | | |||||||
Mr. Lim | | | | 23,529 | | | | | 14,250 | | | | | 37,779 | | | | | | 28,465 | | | | | 14,500 | | | | | — | | | | | 42,965 | | | |||||||
Mr. Soland | | | | 29,937 | | | | | 14,500 | | | | | — | | | | | 44,437 | | | |||||||||||||||||||||||
Dr. Tarka | | | | 2,832 | | | | | 14,250 | | | | | 17,082 | | | | | | 1,180 | | | | | 14,500 | | | | | 473,822 | | | | | 489,502 | | | |||||||
Mr. Fletcher | | | | 23,679 | | | | | — | | | | | 23,679 | | |
Name | | Grant Date | | | Estimated Possible Payouts Under Non-Equity Incentive Plan Awards | | Estimated Possible Payouts Under Equity Incentive Plan Awards | | | All Other Stock Awards: Number of Shares of Stock or Units (#)(1) | | All Other Option Awards: Number of Securities Underlying Options (#)(2) | | Exercise or Base Price of Securities Underlying Awards ($/Sh) | | Grant Date Fair Value of Awards ($)(3) | | | Grant Date | | | Estimated Possible Payouts Under Non-Equity Incentive Plan Awards | | | All Other Option Awards: Number of Securities Underlying Options (#)(1) | | Exercise or Base Price of Option Awards ($/Sh) | | Grant Date Fair Value of Stock and Option Awards ($)(2) | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| Target ($) | | Maximum ($) | | Target (#) | | | Target ($) | | Maximum ($) | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Vincent J. Milano | | | | N/A | | | | | 300,000 | | | | | 468,750 | | | | | | | | | | — | | | | | — | | | | | — | | | | | — | | | | | | N/A | | | | | 300,000 | | | | | 468,750 | | | | | — | | | | | — | | | | | — | | | ||||||||||||||
| | | | 1/10/2020(4)(5) | | | | | | | | | | | | | | | | | | | | 37,000 | | | | | — | | | | | | | | | | 66,230 | | | | | | 1/8/2021(3)(4) | | | | | | | | | | | | | | | 95,000 | | | | | 4.28 | | | | | 244,788 | | | ||||||||||||||
| | | | 1/10/2020(4)(6) | | | | | | | | | | | | | | | | | | | | — | | | | | 92,000 | | | | | 1.79 | | | | | 97,536 | | | | | | 7/8/2021(3)(4) | | | | | | | | | | | | | | | 124,000 | | | | | 1.11 | | | | | 95,411 | | | ||||||||||||||
| | | | 7/21/2020(4)(7) | | | | | | | | | | | | | | | 100,000 | | | | | | | | | | — | | | | | | | | | | 153,760 | | | |||||||||||||||||||||||||||||||||||||||||||||
| | | | 7/21/2020(4)(6) | | | | | | | | | | | | | | | | | | | | — | | | | | 92,000 | | | | | 2.48 | | | | | 137,106 | | | |||||||||||||||||||||||||||||||||||||||||||||
| | | | 12/18/2020(4)(8) | | | | | | | | | | | | | | | | | | | | 128,170 | | | | | — | | | | | | | | | | 544,723 | | | |||||||||||||||||||||||||||||||||||||||||||||
John J. Kirby | | | | N/A | | | | | 134,400 | | | | | 210,000 | | | | | | | | | | — | | | | | — | | | | | — | | | | | — | | | | | | N/A | | | | | 146,000 | | | | | 228,125 | | | | | — | | | | | — | | | | | — | | | ||||||||||||||
| | | | 1/10/2020(4)(5) | | | | | | | | | | | | | | | | | | | | 20,000 | | | | | — | | | | | | | | | | 35,800 | | | |||||||||||||||||||||||||||||||||||||||||||||
| | | | 1/10/2020(4)(6) | | | | | | | | | | | | | | | | | | | | — | | | | | 50,000 | | | | | 1.79 | | | | | 53,009 | | | |||||||||||||||||||||||||||||||||||||||||||||
| | | | 7/21/2020(4)(7) | | | | | | | | | | | | | | | 27,203 | | | | | | | | | | — | | | | | | | | | | 87,955 | | | | | | 1/8/2021(3)(4) | | | | | | | | | | | | | | | 51,000 | | | | | 4.28 | | | | | 131,407 | | | ||||||||||||||
| | | | 7/21/2020(4)(6) | | | | | | | | | | | | | | | | | | | | — | | | | | 50,000 | | | | | 2.48 | | | | | 74,514 | | | | | | 7/8/2021(3)(4) | | | | | | | | | | | | | | | 66,500 | | | | | 1.11 | | | | | 51,168 | | | ||||||||||||||
Bryant D. Lim | | | | N/A | | | | | 134,400 | | | | | 210,000 | | | | | | | | | | — | | | | | — | | | | | — | | | | | — | | | | | | N/A | | | | | 146,000 | | | | | 228,125 | | | | | — | | | | | — | | | | | — | | | ||||||||||||||
| | | | 1/10/2020(4)(5) | | | | | | | | | | | | | | | | | | | | 20,000 | | | | | — | | | | | | | | | | 35,800 | | | | | | 1/8/2021(3)(4) | | | | | | | | | | | | | | | 51,000 | | | | | 4.28 | | | | | 131,407 | | | ||||||||||||||
| | | | 1/10/2020(4)(6) | | | | | | | | | | | | | | | | | | | | — | | | | | 50,000 | | | | | 1.79 | | | | | 53,009 | | | | | | 7/8/2021(3)(4) | | | | | | | | | | | | | | | 66,500 | | | | | 1.11 | | | | | 51,168 | | | ||||||||||||||
Daniel B. Soland | | | | N/A | | | | | 170,000 | | | | | 265,625 | | | | | — | | | | | — | | | | | — | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | | | 7/21/2020(4)(7) | | | | | | | | | | | | | | | 2,523 | | | | | | | | | | — | | | | | | | | | | 3,879 | | | | | | 1/4/2021(3)(5) | | | | | | | | | | | | | | | 200,000 | | | | | 4.02 | | | | | 483,453 | | | ||||||||||||||
| | | | 7/21/2020(4)(6) | | | | | | | | | | | | | | | | | | | | — | | | | | 50,000 | | | | | 2.48 | | | | | 74,514 | | | | | | 7/8/2021(3)(4) | | | | | | | | | | | | | | | 66,500 | | | | | 1.11 | | | | | 51,168 | | | ||||||||||||||
Elizabeth Tarka | | | | N/A | | | | | 150,000 | | | | | 234,375 | | | | | | | | | | — | | | | | — | | | | | — | | | | | — | | | | | | N/A | | | | | 165,200 | | | | | 258,125 | | | | | — | | | | | — | | | | | — | | | ||||||||||||||
| | | | 1/10/2020(4)(5) | | | | | | | | | | | | | | | | | | | | 20,000 | | | | | — | | | | | | | | | | 35,800 | | | | | | 1/8/2021(3)(4) | | | | | | | | | | | | | | | 51,000 | | | | | 4.28 | | | | | 131,407 | | | ||||||||||||||
| | | | 1/10/2020(4)(6) | | | | | | | | | | | | | | | | | | | | — | | | | | 50,000 | | | | | 1.79 | | | | | 53,009 | | | |||||||||||||||||||||||||||||||||||||||||||||
| | | | 7/21/2020(4)(6) | | | | | | | | | | | | | | | | | | | | — | | | | | 50,000 | | | | | 2.48 | | | | | 74,514 | | | |||||||||||||||||||||||||||||||||||||||||||||
R. Clayton Fletcher | | | | N/A | | | | | 160,000 | | | | | 250,000 | | | | | | | | | | — | | | | | — | | | | | — | | | | | — | | | |||||||||||||||||||||||||||||||||||||||||||||
| | | | 1/10/2020(4)(5) | | | | | | | | | | | | | | | | | | | | 20,000 | | | | | — | | | | | | | | | | 35,800 | | | |||||||||||||||||||||||||||||||||||||||||||||
| | | | 1/10/2020(4)(6) | | | | | | | | | | | | | | | | | | | | — | | | | | 50,000 | | | | | 1.79 | | | | | 53,009 | | | |||||||||||||||||||||||||||||||||||||||||||||
| | | | 7/21/2020(4)(7) | | | | | | | | | | | | | | | 100,000 | | | | | | | | | | — | | | | | | | | | | 153,760 | | | |||||||||||||||||||||||||||||||||||||||||||||
| | | | 7/21/2020(4)(6) | | | | | | | | | | | | | | | | | | | | — | | | | | 50,000 | | | | | 2.48 | | | | | 74,514 | | |
| | Option Awards | | Stock Awards | | | | | | | | Option Awards | | Stock Awards | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Name | | Number of Securities Underlying Unexercised Options Exercisable (#) | | Number of Securities Underlying Unexercised Options Unexercisable (#) | | Option Exercise Price ($) | | Option Expiration Date | | Number of Units of Stock That Have Not Vested (#)(11) | | Market Value of Shares or or Units of Stock That Have Not Vested ($)(1) | | Equity Incentive Plan Awards: Number of Unearned Shares, Units or Other Rights that have Not Vested (#)(12) | | Equity Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested ($) | | | Number of Securities Underlying Unexercised Options Exercisable (#) | | Number of Securities Underlying Unexercised Options Unexercisable (#) | | Option Exercise Price ($) | | Option Expiration Date | | Number of Shares or Units of Stock That Have Not Vested (#) | | Market Value of Shares or Units of Stock That Have Not Vested ($)(1) | | Equity Incentive Plan Awards: Number of Unearned Shares, Units or Other Rights that have Not Vested (#)(20) | | Equity Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights Not Vested ($) | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Vincent J. Milano | | | | | 250,000 | | | | | — | | | | | 24.96 | | | | | 12/1/2024 | | | | | | | | | | | | | | | | | | | | | | | | | | | 250,000 | | | | | — | | | | | 24.96 | | | | | 12/1/2024 | | | | | | | | | | | | | | | | | | | | | | | ||||||||||||||
| | | 37,499 | | | | | — | | | | | 23.04 | | | | | 1/6/2026 | | | | | | | | | | | | | | | | | | | | | | | | | | 37,499 | | | | | — | | | | | 23.04 | | | | | 1/6/2026 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | 35.156 | | | | | 2.344(2) | | | | | 12.72 | | | | | 1/4/2027 | | | | | | | | | | | | | | | | | | | | | | | | | | 37,500 | | | | | — | | | | | 12.72 | | | | | 1/4/2027 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | 51,562 | | | | | 23,437(3) | | | | | 17.92 | | | | | 1/3/2028 | | | | | | | | | | | | | | | | | | | | | | | | | | 70,311 | | | | | 4,688(2) | | | | | 17.92 | | | | | 1/3/2028 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | 36,562 | | | | | 28,438(4) | | | | | 7.39 | | | | | 8/13/2028 | | | | | | | | | | | | | | | | | | | | | | | | | | 52,812 | | | | | 12,188(3) | | | | | 7.39 | | | | | 8/13/2028 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | 36,968 | | | | | 47,532(5) | | | | | 3.14 | | | | | 1/3/2029 | | | | | | | | | | | | | | | | | | | | | | | | | | 58,093 | | | | | 26,407(4) | | | | | 3.14 | | | | | 1/3/2029 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | 26,406 | | | | | 58,094(6) | | | | | 2.52 | | | | | 7/9/2029 | | | | | | | | | | | | | | | | | | | | | | | | | | 47,531 | | | | | 36,969(5) | | | | | 2.52 | | | | | 7/9/2029 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | — | | | | | 92,000(7) | | | | | 1.79 | | | | | 1/10/2030 | | | | | | | | | | | | | | | | | | | | | | | | | | 40,250 | | | | | 51,750(6) | | | | | 1.79 | | | | | 1/10/2030 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | — | | | | | 92,000(8) | | | | | 2.48 | | | | | 7/21/2030 | | | | | | | | | | | | | | | | | | | | | | | | | | 28,750 | | | | | 63,250(7) | | | | | 2.48 | | | | | 7/21/2030 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | 62,313 | | | | | 228,689 | | | | | | | | | | | | | | | | — | | | | | 95,000(8) | | | | | | | | | | 1/8/2031 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 100,000 | | | | | 367,000 | | | | | | — | | | | | 124,000(9) | | | | | | | | | | 7/8/2031 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | 44,625(19) | | | | | 25,436 | | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 100,000 | | | | | 57,000 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
John J. Kirby | | | | | 18,750 | | | | | — | | | | | 24.88 | | | | | 11/2/2025 | | | | | | | | | | | | | | | | | | | | | | | | | | | 18,750 | | | | | — | | | | | 24.88 | | | | | 11/2/2025 | | | | | | | | | | | | | | | | | | | | | | | ||||||||||||||
| | | 11,249 | | | | | — | | | | | 23.04 | | | | | 1/6/2026 | | | | | | | | | | | | | | | | | | | | | | | | | | 11,249 | | | | | — | | | | | 23.04 | | | | | 1/6/2026 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | 11,718 | | | | | 781(2) | | | | | 12.72 | | | | | 1/4/2027 | | | | | | | | | | | | | | | | | | | | | | | | | | 12,499 | | | | | — | | | | | 12.72 | | | | | 1/4/2027 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | 11,601 | | | | | 5,273(3) | | | | | 17.92 | | | | | 1/3/2028 | | | | | | | | | | | | | | | | | | | | | | | | | | 15,819 | | | | | 1,055(2) | | | | | 17.92 | | | | | 1/3/2028 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | 5,625 | | | | | 4,375(4) | | | | | 7.39 | | | | | 8/13/2028 | | | | | | | | | | | | | | | | | | | | | | | | | | 8,125 | | | | | 1,875(3) | | | | | 7.39 | | | | | 8/13/2028 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | 11,200 | | | | | 14,400(5) | | | | | 3.14 | | | | | 1/3/2029 | | | | | | | | | | | | | | | | | | | | | | | | | | 25,600(10) | | | | | —(11) | | | | | 3.14 | | | | | 1/3/2029 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | 14,218 | | | | | 31,282(6) | | | | | 2.52 | | | | | 7/9/2029 | | | | | | | | | | | | | | | | | | | | | | | | | | 45,500(10) | | | | | —(12) | | | | | 2.52 | | | | | 7/9/2029 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | — | | | | | 50,000(7) | | | | | 1.79 | | | | | 1/10/2030 | | | | | | | | | | | | | | | | | | | | | | | | | | 50,000(10) | | | | | —(13) | | | | | 1.79 | | | | | 1/10/2030 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | — | | | | | 50,000(8) | | | | | 2.48 | | | | | 7/21/2030 | | | | | | | | | | | | | | | | | | | | | | | | | | 50,000(10) | | | | | —(14) | | | | | 2.48 | | | | | 7/21/2030 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | 27,688 | | | | | 101,615 | | | | | | | | | | | | | | | | 51,000(10) | | | | | —(15) | | | | | 4.28 | | | | | 1/8/2031 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 57,203 | | | | | 209,935 | | | | | | — | | | | | 66,500(9) | | | | | 1.11 | | | | | 7/8/2031 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 57,203 | | | | | 32,606 | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
Bryant D. Lim | | | | | 73,125 | | | | | 56,875(9) | | | | | 9.29 | | | | | 9/10/2028 | | | | | | | | | | | | | | | | | | | | | | | | | | | 105,625 | | | | | 24,375(16) | | | | | 9.29 | | | | | 9/10/2028 | | | | | | | | | | | | | | | | | | | | | | | ||||||||||||||
| | | 19,906 | | | | | 25,594(5) | | | | | 3.14 | | | | | 1/3/2029 | | | | | | | | | | | | | | | | | | | | | | | | | | 45,500(10) | | | | | —(17) | | | | | 3.14 | | | | | 1/3/2029 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | 14,218 | | | | | 31,282(6) | | | | | 2.52 | | | | | 7/9/2029 | | | | | | | | | | | | | | | | | | | | | | | | | | 45,500(10) | | | | | —(12) | | | | | 2.52 | | | | | 7/9/2029 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | — | | | | | 50,000(7) | | | | | 1.79 | | | | | 1/10/2030 | | | | | | | | | | | | | | | | | | | | | | | | | | 50,000(10) | | | | | —(13) | | | | | 1.79 | | | | | 1/10/2030 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | — | | | | | 50,000(8) | | | | | 2.48 | | | | | 7/21/2030 | | | | | | | | | | | | | | | | | | | | | | | | | | 50,000(10) | | | | | —(14) | | | | | 2.48 | | | | | 7/21/2030 | | | | | | | | | | | | | | | �� | | | | | | | | |||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | 33,575 | | | | | 123,220 | | | | | | | | | | | | | | | | 51,000(10) | | | | | —(15) | | | | | 4.28 | | | | | 01/8/2031 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | | | | | — | | | | | | | | | | | | | | | | — | | | | | 66,500(9) | | | | | 1.11 | | | | | 07/8/2031 | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | | | | | — | | | | | 2,523 | | | | | 9,259 | | | ||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 2,523 | | | | | 1,438 | | |
| | | Option Awards | | | Stock Awards | | | | | | | | ||||||||||||||||||||||||||||||||||||
Name | | | Number of Securities Underlying Unexercised Options Exercisable (#) | | | Number of Securities Underlying Unexercised Options Unexercisable (#) | | | Option Exercise Price ($) | | | Option Expiration Date | | | Number of Units of Stock That Have Not Vested (#)(11) | | | Market Value of Shares or or Units of Stock That Have Not Vested ($)(1) | | | Equity Incentive Plan Awards: Number of Unearned Shares, Units or Other Rights that have Not Vested (#)(12) | | | Equity Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested ($) | | ||||||||||||||||||||||||
Elizabeth Tarka | | | | | 40,625 | | | | | | 89,375(10) | | | | | | 2.54 | | | | | | 7/22/2029 | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | — | | | | | | 50,000(7) | | | | | | 1.79 | | | | | | 1/10/2030 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | — | | | | | | 50,000(8) | | | | | | 2.48 | | | | | | 7/21/2030 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | | | | | | | | | | | | | | | | | | | | | | | | | 20,000 | | | | | | 73,400 | | | | | | | | | | | | | | | ||
R. Clayton Fletcher | | | | | 75,000 | | | | | | — | | | | | | 37.36 | | | | | | 1/26/2025 | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | 23,124 | | | | | | — | | | | | | 23.04 | | | | | | 1/6/2026 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | 21,679 | | | | | | 1,445(2) | | | | | | 12.72 | | | | | | 1/4/2027 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | 23,203 | | | | | | 10,546(3) | | | | | | 17.92 | | | | | | 1/3/2028 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | 18,281 | | | | | | 14,219(4) | | | | | | 7.39 | | | | | | 8/13/2028 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | 19,906 | | | | | | 25,594(5) | | | | | | 3.14 | | | | | | 1/3/2029 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | 14,218 | | | | | | 31,282(6) | | | | | | 2.52 | | | | | | 7/9/2029 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | — | | | | | | 50,000(7) | | | | | | 1.79 | | | | | | 1/10/2030 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | — | | | | | | 50,000(8) | | | | | | 2.48 | | | | | | 7/21/2030 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | | | | | | | | | | | | | | | | | | | | | | | | | 33,575 | | | | | | 123,220 | | | | | | | | | | | | | | | ||
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | — | | | | | | | | | | | | | | | ||
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | — | | | | | | 100,000 | | | | | | 367,000 | | |
| | | Option Awards | | | Stock Awards | | ||||||||||||||||||||||||||||||
Name | | | Number of Securities Underlying Unexercised Options Exercisable (#) | | | Number of Securities Underlying Unexercised Options Unexercisable (#) | | | Option Exercise Price ($) | | | Option Expiration Date | | | Number of Shares or Units of Stock That Have Not Vested (#) | | | Market Value of Shares or Units of Stock That Have Not Vested ($)(1) | | | Equity Incentive Plan Awards: Number of Unearned Shares, Units or Other Rights that have Not Vested (#)(20) | | | Equity Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights Not Vested ($) | | ||||||||||||
Daniel B. Soland | | | | | 200,000(10) | | | | | | —(18) | | | | | | 4.02 | | | | | | 01/4/2031 | | | | | | | | | | | | | | |
| | | — | | | | | | 66,500(9) | | | | | | 1.11 | | | | | | 07/8/2031 | | | | | | | | | | | | | | | ||
Elizabeth Tarka | | | | | 130,000(10) | | | | | | — | | | | | | 2.54 | | | | | | 07/22/2029 | | | | | | | | | | | | | | |
| | | 50,000 (10) | | | | | | — | | | | | | 1.79 | | | | | | 01/10/2030 | | | | | | | | | | | | | | | ||
| | | 50,000 (10) | | | | | | — | | | | | | 2.48 | | | | | | 07/21/2030 | | | | | | | | | | | | | | | ||
| | | 51,000 (10) | | | | | | — | | | | | | 4.28 | | | | | | 01/8/2031 | | | | | | | | | | | | | | |
Name | | | Stock Awards | | |||||||||
| Number of Shares Acquired on Vesting(1) (#) | | | Value Realized on Vesting(2) ($) | | ||||||||
Vincent Milano | | | | | 17,688 | | | | | | 70,557 | | |
John Kirby | | | | | 27,688(3) | | | | | | 61,597 | | |
Bryant Lim | | | | | 33,575(4) | | | | | | 74,803 | | |
Elizabeth Tarka | | | | | 20,000 | | | | | | 44,350 | | |
Name | | | Cash Severance(1) ($) | | | Benefits(2) ($) | | | Total ($) | | |||||||||
Vincent J. Milano | | | | | 885,000 | | | | | | 27,656 | | | | | | 912,656 | | |
John J. Kirby | | | | | 476,448 | | | | | | 27,656 | | | | | | 504,104 | | |
Bryant D. Lim | | | | | 476,448 | | | | | | 27,656 | | | | | | 504,104 | | |
Elizabeth Tarka | | | | | 517,500 | | | | | | — | | | | | | 517,500 | | |
R. Clayton Fletcher(3) | | | | | — | | | | | | — | | | | | | — | | |
Name | | | Cash Severance(1) ($) | | | Benefits(2) ($) | | | Total ($) | | |||||||||
Vincent J. Milano | | | | | 800,000 | | | | | | 38,458 | | | | | | 838,458 | | |
John J. Kirby | | | | | 474,369 | | | | | | 27,657 | | | | | | 502,026 | | |
Bryant D. Lim | | | | | 487,893 | | | | | | 35,748 | | | | | | 523,641 | | |
Daniel B. Soland | | | | | 510,000 | | | | | | 38,745 | | | | | | 548,745 | | |
Elizabeth Tarka(3) | | | | | 473,822 | | | | | | — | | | | | | 473,822 | | |
Name | | Medical Insurance Premiums ($) | | Dental Insurance Premiums ($) | | Total ($) | | | Medical Insurance Premiums ($) | | Dental Insurance Premiums ($) | | Total ($) | | ||||||||||||||||||||||||
Vincent J. Milano | | | | 25,724 | | | | | 1,932 | | | | | 27,656 | | | | | | 36,526 | | | | | 1,932 | | | | | 38,458 | | | ||||||
John J. Kirby | | | | 25,724 | | | | | 1,932 | | | | | 27,656 | | | | | | 25,725 | | | | | 1,932 | | | | | 27,657 | | | ||||||
Bryant D. Lim | | | | 25,724 | | | | | 1,932 | | | | | 27,656 | | | | | | 33,816 | | | | | 1,932 | | | | | 35,748 | | | ||||||
Daniel B. Soland | | | | 36,813 | | | | | 1,932 | | | | | 38,745 | | | ||||||||||||||||||||||
Elizabeth Tarka(a) | | | | — | | | | | — | | | | | — | | | | | | — | | | | | — | | | | | — | | | ||||||
R. Clayton Fletcher | | | | — | | | | | — | | | | | — | | |
Name | | Cash Severance(1) ($) | | Equity(2) ($) | | Benefits(3) ($) | | Total ($) | | | Cash Severance(1) ($) | | Equity(2)(3) ($) | | Benefits(4) ($) | | Total ($) | | ||||||||||||||||||||||||||||||||
Vincent J. Milano | | | | 1,650,822 | | | | | 970,129 | | | | | 41,486 | | | | | 2,662,437 | | | | | | 1,650,000 | | | | | 82,436 | | | | | 57,691 | | | | | 1,790,127 | | | ||||||||
John J. Kirby | | | | 743,190 | | | | | 508,656 | | | | | 41,486 | | | | | 1,399,582 | | | | | | 912,500 | | | | | 32,606 | | | | | 41,491 | | | | | 986,597 | | | ||||||||
Bryant D. Lim | | | | 871,248 | | | | | 335,519 | | | | | 41,486 | | | | | 1,226,445 | | | | | | 912,500 | | | | | 1,438 | | | | | 53,623 | | | | | 967,561 | | | ||||||||
Elizabeth Tarka | | | | 871,248 | | | | | 327,894 | | | | | — | | | | | 1,265,805 | | | |||||||||||||||||||||||||||||
R. Clayton Fletcher(4) | | | | — | | | | | — | | | | | — | | | | | — | | | |||||||||||||||||||||||||||||
Daniel B. Soland | | | | 1,062,500 | | | | | — | | | | | 58,123 | | | | | 1,120,623 | | | |||||||||||||||||||||||||||||
Elizabeth Tarka(5) | | | | — | | | | | — | | | | | — | | | | | — | | |
Name | | Medical Insurance Premiums ($) | | Dental Insurance Premiums ($) | | Total ($) | | | Medical Insurance Premiums ($) | | Dental Insurance Premiums ($) | | Total ($) | | ||||||||||||||||||||||||
Vincent J. Milano | | | | 38,587 | | | | | 2,899 | | | | | 41,486 | | | | | | 54,792 | | | | | 2,899 | | | | | 57,691 | | | ||||||
John J. Kirby | | | | 38,587 | | | | | 2,899 | | | | | 41,486 | | | | | | 38,592 | | | | | 2,899 | | | | | 41,491 | | | ||||||
Bryant D. Lim | | | | 38,587 | | | | | 2,899 | | | | | 41,486 | | | | | | 50,724 | | | | | 2,899 | | | | | 53,623 | | | ||||||
Daniel B. Soland | | | | 55,224 | | | | | 2,899 | | | | | 58,123 | | | ||||||||||||||||||||||
Elizabeth Tarka(a) | | | | — | | | | | — | | | | | — | | | | | | — | | | | | — | | | | | — | | | ||||||
R. Clayton Fletcher | | | | — | | | | | — | | | | | — | | |
Fiscal Year | | | Equity Awards Granted | | | Basic Weighted Average Number of Shares of Common Stock Outstanding | | | Gross Burn Rate(1) | | |||||||||
2021 | | | | | 1,356,700 | | | | | | 49,203,000 | | | | | | 2.8% | | |
2020 | | | | | 1,581,227 | | | | | | 33,821,000 | | | | | | 4.7% | | |
2019 | | | | | 1,473,566 | | | | | | 28,545,000 | | | | | | 5.2% | | |
Three-Year Average | | | | | 1,470,498 | | | | | | 37,189,667 | | | | | | 4.0% | | |
| | | April 1, 2022* | | |||
Total shares of common stock underlying all outstanding options and RSUs | | | | | 5,677,159 | | |
Weighted-average exercise price of outstanding options | | | | $ | 7.92 | | |
Weighted-average remaining contractual life of outstanding options (in years) | | | | | 6.71 | | |
Total shares available for future awards | | | | | 194,994 | | |
Name and Position(1) | | | Number of Shares of Common Stock Underlying Options and RSUs Granted under the Stock Incentive Plan | | |||
Named Executive Officers | | | | | | | |
Vincent J. Milano (President and Chief Executive Officer) | | | | | 1,209,918 | | |
John J. Kirby (Senior Vice President, Chief Financial Officer) | | | | | 511,925 | | |
Bryant D. Lim (Senior Vice President General Counsel, and Secretary) | | | | | 545,623 | | |
Daniel B. Soland (Senior Vice President, Chief Operating Officer) | | | | | 333,333 | | |
Elizabeth A. Tarka (Former Senior Vice President, Chief Medical Officer) | | | | | 301,000 | | |
All current executive officers as a group(2) | | | | | 2,600,799 | | |
All current directors (who are not executive officers) as a group(3) | | | | | 469,436 | | |
Nominees for director | | | | | | | |
Mark Goldberg, M.D. | | | | | 83,375 | | |
Carol A. Schafer | | | | | 72,000 | | |
All other employees, including all current officers who are not executive officers, as a group | | | | | 5,287,767 | | |
Plan Category | | | Number of Securities to be Issued Upon Exercise of Outstanding Options, Warrants and Rights (a) | | | Weighted-Average Exercise Price of Outstanding Options, Warrants and Rights (b) | | | Number of Securities Remaining Available for Future Issuance Under Equity Compensation Plans (Excluding Securities Reflected in Column (a)) (c) | | |||||||||
Equity compensation plans approved by stockholders(1) | | | | | 5,158,269 | | | | | $ | 8.38 | | | | | | 1,084,142 | | |
Equity compensation plans not approved by stockholders(2) | | | | | 359,375 | | | | | $ | 26.35 | | | | | | — | | |
Total | | | | | 5,517,644 | | | | | $ | 9.78 | | | | | | 1,084,142 | | |
Fee Category | | 2020 | | 2019 | | | 2021 | | 2020 | | ||||||||||||||||
Audit Fees | | | $ | 475,000 | | | | $ | 605,387 | | | | | $ | 475,000 | | | | $ | 475,000 | | | ||||
Audit-Related Fees | | | $ | 89,000 | | | | | 78,000 | | | | | $ | 15,000 | | | | $ | 89,000 | | | ||||
Tax Fees | | | $ | 25,235 | | | | | 26,780 | | | | | | — | | | | $ | 25,235 | | | ||||
Total Fees | | | $ | 598,235 | | | | $ | 710,167 | | | | | $ | 490,000 | | | | $ | 598,235 | | |