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| | | As of May 31, 2022 | | | Upon Effectiveness of Amendment | | ||||||
TOTAL AUTHORIZED SHARES OF COMMON STOCK | | | | | 150,000,000 | | | | | | 300,000,000 | | |
Outstanding shares of Common Stock | | | | | 90,357,032 | | | | | | 90,357,032 | | |
Shares of Common Stock authorized for future issuance under the Company’s incentive plans | | | | | 3,811,343 | | | | | | 3,811,343 | | |
Shares of Common Stock authorized for future issuance under the Company’s employee stock purchase plan | | | | | 1,573,486 | | | | | | 1,573,486 | | |
Shares of Common Stock subject to outstanding equity awards under the Company’s incentive plans | | | | | 20,772,701 | | | | | | 20,772,701 | | |
TOTAL OUTSTANDING SHARES OF COMMON STOCK, SHARES OF COMMON STOCK SUBJECT TO OUTSTANDING EQUITY AWARDS AND OPTIONS, AND SHARES OF COMMON STOCK AUTHORIZED FOR FUTURE ISSUANCE UNDER THE COMPANY’S INCENTIVE AND EMPLOYEE STOCK PURCHASE PLANS | | | | | 116,514,562 | | | | | | 116,514,562 | | |
SHARES OF COMMON STOCK AVAILABLE FOR ISSUANCE | | | | | 33,485,438 | | | | | | 183,485,438 | | |
Name | | | Positions and Offices Held with Rubius | | | Director Since | | | Age | | ||||||
David R. Epstein | | | Director(1) | | | | | 2017 | | | | | | 60 | | |
Natalie Holles | | | Director(2)(3) | | | | | 2019 | | | | | | 49 | | |
Anne Prener, M.D., Ph.D. | | | Director(1)(3) | | | | | 2019 | | | | | | 64 | | |
Name | | | Positions and Offices Held with Rubius | | | Director Since | | | Class and Year in Which Term Will Expire | | | Age | | ||||||
Noubar B. Afeyan, Ph.D. | | | Director(3)(4) | | | | | 2013 | | | | Class II – 2023 | | | | | 59 | | |
Michael Rosenblatt, M.D. | | | Director(2)(4) | | | | | 2014 | | | | Class II – 2023 | | | | | 74 | | |
Catherine A. Sohn, Pharm.D. | | | Director(1)(3) | | | | | 2018 | | | | Class II – 2023 | | | | | 69 | | |
Pablo J. Cagnoni, M.D. | | | Director, President and Chief Executive Officer | | | | | 2018 | | | | Class III – 2024 | | | | | 59 | | |
Francis Cuss, M.B., B. Chir., FRCP | | | Director(3)(4) | | | | | 2018 | | | | Class III – 2024 | | | | | 67 | | |
Sir Jonathan R. Symonds, CBE | | | Director(1) | | | | | 2018 | | | | Class III – 2024 | | | | | 63 | | |
Name | | | Position Held with Rubius | | | Officer Since | | | Age | | ||||||
Jose Carmona | | | Chief Financial Officer | | | | | 2020 | | | | | | 50 | | |
Dannielle Appelhans | | | Chief Operating Officer | | | | | 2021 | | | | | | 39 | | |
Maiken Keson-Brookes | | | Chief Legal Officer and Corporate Secretary | | | | | 2019 | | | | | | 49 | | |
Laurence Turka, M.D. | | | Chief Scientific Officer and Head of Research and Translational Medicine | | | | | 2020 | | | | | | 64 | | |
| | | | | | | 2021 | | | 2020 | | ||||||
| | | | Audit fees(1) | | | | $ | 1,027,500 | | | | | $ | 582,500 | | |
| | | | Audit-related fees | | | | | — | | | | | | — | | |
| | | | Tax fees | | | | | — | | | | | | — | | |
| | | | All other fees(2) | | | | | 3,656 | | | | | | 2,700 | | |
| | | | Total fees | | | | $ | 1,031,156 | | | | | $ | 585,200 | | |
| | | | Name | | | Fees Earned In Cash ($)(1) | | | Option Awards ($)(2)(3)(4)(5) | | | All Other Compensation ($) | | | Total ($) | | ||||||||||||
| | | | Noubar B. Afeyan, Ph.D. | | | | | 44,744 | | | | | | 374,648 | | | | | | — | | | | | | 419,392 | | |
| | | | Francis Cuss, M.B., B.Chir., FRCP | | | | | 52,014 | | | | | | 374,648 | | | | | | — | | | | | | 426,662 | | |
| | | | David R. Epstein | | | | | 495,000 | | | | | | 404,994 | | | | | | — | | | | | | 899,994 | | |
| | | | Natalie Holles | | | | | 50,514 | | | | | | 374,648 | | | | | | — | | | | | | 425,162 | | |
| | | | Anne Prener, M.D., Ph.D. | | | | | 43,014 | | | | | | 374,648 | | | | | | — | | | | | | 417,662 | | |
| | | | Michael Rosenblatt, M.D. | | | | | 47,014 | | | | | | 374,648 | | | | | | — | | | | | | 421,662 | | |
| | | | Catherine A. Sohn, Pharm.D. | | | | | 55,741 | | | | | | 374,648 | | | | | | — | | | | | | 430,389 | | |
| | | | Sir Jonathan R. Symonds, CBE | | | | | 54,014 | | | | | | 374,648 | | | | | | — | | | | | | 428,662 | | |
| | | | | | | Annual Retainer(1) | | |||
| | | | Board of Directors: | | | | | | | |
| | | | All non-employee members, except Chairman | | | | $ | 40,000 | | |
| | | | Audit Committee: | | | | | | | |
| | | | Members | | | | $ | 7,500 | | |
| | | | Chair | | | | $ | 15,000 | | |
| | | | Compensation and Talent Committee: | | | | | | | |
| | | | Members | | | | $ | 5,000 | | |
| | | | Chair | | | | $ | 10,000 | | |
| | | | Nominating and Corporate Governance Committee: | | | | | | | |
| | | | Members | | | | $ | 4,000 | | |
| | | | Chair | | | | $ | 8,000 | | |
| | | | Science and Technology Committee: | | | | | | | |
| | | | Members | | | | $ | — | | |
| | | | Chair | | | | $ | 8,000 | | |
Name | | | 2020 Base Salary | | | 2021 Base Salary | | | Change (%) | | |||||||||
Pablo J. Cagnoni, M.D. | | | | $ | 585,000 | | | | | $ | 600,000 | | | | | | 2.6% | | |
Jose Carmona | | | | $ | 450,000 | | | | | $ | 450,000 | | | | | | — | | |
Dannielle Appelhans | | | | | — | | | | | $ | 450,000 | | | | | | — | | |
Maiken Keson-Brookes | | | | $ | 400,000 | | | | | $ | 416,000 | | | | | | 4.0% | | |
Laurence Turka, M.D. | | | | $ | 400,000 | | | | | $ | 425,026(1) | | | | | | 6.3% | | |
| | | | | | | | | | Measurement Criteria | | | | | |||
| | | | Corporate Objective | | | Weighting | | | 100% Achievement | | | Actual Achievement | | | Bonus Pool Funding | |
| | | | Deliver clinical data | | | 45% | | | • Achieve either recommended Phase 2 dose (RP2D) in solid tumor monotherapy arm of RTX-240 clinical trial or achieve RP2D in AML arm of RTX-240 clinical trial (data dependent) • Complete Type-C meeting with FDA and determine path forward for PD-1 combination arm of RTX-240 clinical trial • Submit for FDA approval, and receive clearance of, IND for RTX-224 • Achieve RP2D for RTX-321 monotherapy trial | | | • RP2D goals for solid tumor and AML arms of RTX-240 clinical trial partially achieved (due to addition of higher dose cohort) • Completed Type-C meeting with FDA and determined path forward for PD-1 combination arm of RTX-240 clinical trial • Received clearance of IND for RTX-224 from the FDA • Achieved the following stretch goals: • Initiated PD-1 combination arm of RTX-240 clinical trial • Initiated clinical trial for RTX-224 | | | 40% | |
| | | | Achieve development and operational goals | | | 25% | | | • Develop, transfer and prepare 200L IND-A for chosen asset to enable 2022 supply • Deliver average productivity output target for RTX-240 and RTX-321 • Deliver average productivity target in final pilot plant transferred process (200L scale) • Reduce drug product disposition average turnaround time • Achieve Quality Health Index equal to or greater than 70% | | | • Fully achieved IND-A goal • Fully achieved all manufacturing process development, optimization, productivity and quality objectives • Achieved the following stretch goals: • Met stretch RCT productivity target • Applied new analytical methods to process development approach • Met stretch quality index target | | | 40% | |
| | | | Build our pipeline | | | 15% | | | • Execute preclinical goal for T1D program • Execute preclinical goal for next aAPC program • Establish a mouse or non-human primate model | | | • Preclinical goals for autoimmune and aAPC programs mostly achieved • Established non-human primate model • Partially achieved stretch goal pertaining to plan development and initiation of preclinical studies for next RTX program • Fully achieved stretch goal pertaining to the evaluation of the scientific validity and technical feasibility of loadable human leukocyte antigen (HLA) | | | 20% | |
| | | | | | | | | | Measurement Criteria | | | | | |||
| | | | Corporate Objective | | | Weighting | | | 100% Achievement | | | Actual Achievement | | | Bonus Pool Funding | |
| | | | Maintain financial stability and achievement of additional financial and organizational goals | | | 15% | | | • Maintain sufficient funds to execute on 2022 business plan • Execute on business development objectives | | | • Fully achieved funds objective • Successfully completed an equity financing • Substantially completed, on schedule, Quality Control expansion design, build and commission • For the second year in a row, Rubius named among the “Top Places to Work” by the Boston Globe and one of the top three “Best Places to Work” by the Providence Business News • Made five scientific presentations and hosted Virtual Preclinical and Platform Day | | | 10% | |
| | | | Total | | | | | | | | | | | | 110% | |
Name and Principal Position | | | Base Salary ($) | | | Target Bonus (%) | | | Target Bonus ($) | | | Target Bonus – Corporate Component ($)(1) | | | Actual Bonus – Corporate Multiplier (%) | | | Target Bonus – Individual Component ($)(1) | | | Actual Bonus – Individual Multiplier (%) | | | Actual Payout ($) | | ||||||||||||||||||||||||
Pablo J. Cagnoni, M.D. President and Chief Executive Officer | | | | $ | 600,000 | | | | | | 55% | | | | | $ | 330,000 | | | | | $ | 330,000 | | | | | | 110% | | | | | | — | | | | | | — | | | | | $ | 363,000 | | |
Jose Carmona Chief Financial Officer | | | | $ | 450,000 | | | | | | 40% | | | | | $ | 180,000 | | | | | $ | 135,000 | | | | | | 110% | | | | | $ | 45,000 | | | | | | 115% | | | | | $ | 200,250 | | |
Dannielle Appelhans Chief Operating Officer | | | | $ | 450,000 | | | | | | 40% | | | | | $ | 180,000 | | | | | $ | 135,000 | | | | | | 110% | | | | | $ | 45,000 | | | | | | 100% | | | | | $ | 76,870(2) | | |
Maiken Keson-Brookes Chief Legal Officer and Corporate Secretary | | | | $ | 416,000 | | | | | | 40% | | | | | $ | 166,400 | | | | | $ | 124,800 | | | | | | 110% | | | | | $ | 41,600 | | | | | | 115% | | | | | $ | 185,120 | | |
Laurence Turka, M.D. Chief Scientific Officer and Head of Research & Translational Medicine | | | | $ | 425,026(3) | | | | | | 40% | | | | | $ | 170,010 | | | | | $ | 127,508 | | | | | | 110% | | | | | $ | 42,503 | | | | | | 115% | | | | | $ | 189,136 | | |
Name | | | Number of Shares Underlying Stock Options | | | Number of RSUs | | ||||||
Pablo J. Cagnoni, M.D. | | | | | 375,000 | | | | | | 85,000 | | |
Jose Carmona(1) | | | | | — | | | | | | — | | |
Dannielle Appelhans(2) | | | | | 150,000 | | | | | | 50,000 | | |
Maiken Keson-Brookes | | | | | 142,500 | | | | | | 32,300 | | |
Laurence Turka, M.D. | | | | | 131,250 | | | | | | 29,750 | | |
| | | 2020 Pay | | | 2021 Pay | | | Change (%) | | |||||||||
Target Total Cash Compensation ($) | | | | $ | 906,750 | | | | | $ | 930,000 | | | | | | 2.6% | | |
Base Salary(1) | | | | $ | 585,000 | | | | | $ | 600,000 | | | | | | | | |
Target Performance Bonus(2) | | | | $ | 321,750 | | | | | $ | 330,000 | | | | | | | | |
Target Equity Compensation (# of shares) | | | | | 500,000 | | | | | | 460,000 | | | | | | — | | |
Options | | | | | 500,000 | | | | | | 375,000 | | | | | | | | |
RSUs | | | | | — | | | | | | 85,000 | | | | | | | | |
| | | 2020 Pay | | | 2021 Pay | | | Change (%) | | |||||||||
Target Total Cash Compensation ($) | | | | $ | 630,000 | | | | | $ | 630,000 | | | | | | 0% | | |
Base Salary(1) | | | | $ | 450,000 | | | | | $ | 450,000 | | | | | | | | |
Target Performance Bonus(2) | | | | $ | 180,000 | | | | | $ | 180,000 | | | | | | | | |
Target Equity Compensation (# of shares)(3) | | | | | 400,000 | | | | | | — | | | | | | — | | |
Options | | | | | 400,000 | | | | | | — | | | | | | | | |
RSUs | | | | | — | | | | | | — | | | | | | | | |
| | | 2020 Pay(1) | | | 2021 Pay | | | Change (%) | | |||
Target Total Cash Compensation ($) | | | — | | | | $ | 630,000 | | | | — | |
Base Salary(2) | | | — | | | | $ | 450,000 | | | | | |
Target Performance Bonus(3) | | | — | | | | $ | 180,000 | | | | | |
Target Equity Compensation (# of shares)(4) | | | — | | | | | 200,000 | | | | — | |
Options | | | — | | | | | 150,000 | | | | | |
RSUs | | | — | | | | | 50,000 | | | | | |
| | | 2020 Pay | | | 2021 Pay | | | Change (%) | | |||||||||
Target Total Cash Compensation ($) | | | | $ | 560,000 | | | | | $ | 582,400 | | | | | | 4.0% | | |
Base Salary(1) | | | | $ | 400,000 | | | | | $ | 416,000 | | | | | | | | |
Target Performance Bonus(2) | | | | $ | 160,000 | | | | | $ | 166,400 | | | | | | | | |
Target Equity Compensation(3) (# of shares) | | | | | — | | | | | | 174,800 | | | | | | — | | |
Options | | | | | — | | | | | | 142,500 | | | | | | | | |
RSUs | | | | | — | | | | | | 32,300 | | | | | | | | |
| | | 2020 Pay | | | 2021 Pay | | | Change (%) | | |||||||||
Target Total Cash Compensation ($) | | | | $ | 560,000 | | | | | $ | 595,036 | | | | | | 6.3% | | |
Base Salary(1) | | | | $ | 400,000 | | | | | $ | 425,026 | | | | | | | | |
Target Performance Bonus(2) | | | | $ | 160,000 | | | | | $ | 170,010 | | | | | | | | |
Target Equity Compensation (# of shares)(3) | | | | | 350,000 | | | | | | 161,000 | | | | | | — | | |
Options | | | | | 350,000 | | | | | | 131,250 | | | | | | | | |
RSUs | | | | | — | | | | | | 29,750 | | | | | | | | |
Name and Principal Position | | | Year | | | Salary ($) | | | Bonus ($)(5) | | | Stock Awards ($)(6) | | | Option Awards ($)(7) | | | Non-Equity Incentive Plan Compensation ($)(8) | | | All Other Compensation ($)(9) | | | Total ($) | | ||||||||||||||||||||||||
Pablo J. Cagnoni, M.D. President and Chief Executive Officer | | | | | 2021 | | | | | | 597,528 | | | | | | — | | | | | | 1,017,450 | | | | | | 2,996,738 | | | | | | 363,000 | | | | | | 10,918 | | | | | | 4,985,634 | | |
| | | 2020 | | | | | | 579,167 | | | | | | 410,231 | | | | | | — | | | | | | 2,437,850 | | | | | | — | | | | | | 16,621 | | | | | | 3,443,869 | | | ||
| | | 2019 | | | | | | 547,500 | | | | | | 211,750 | | | | | | — | | | | | | 935,250 | | | | | | — | | | | | | 26,630 | | | | | | 1,721,130 | | | ||
Jose Carmona(1) Chief Financial Officer | | | | | 2021 | | | | | | 450,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | 200,250 | | | | | | 8,945 | | | | | | 659,195 | | |
Dannielle Appelhans(2) Chief Operating Officer | | | | | 2021 | | | | | | 177,404 | | | | | | 130,000 | | | | | | 1,086,000 | | | | | | 2,185,155 | | | | | | 76,870 | | | | | | 38,706 | | | | | | 3,694,135 | | |
Maiken Keson-Brookes(3) Chief Legal Officer and Corporate Secretary | | | | | 2021 | | | | | | 413,333 | | | | | | — | | | | | | 386,631 | | | | | | 1,138,760 | | | | | | 185,120 | | | | | | 9,290 | | | | | | 2,133,134 | | |
| | | 2020 | | | | | | 400,000 | | | | | | 202,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | 9,290 | | | | | | 611,290 | | | ||
| | | 2019 | | | | | | 50,000 | | | | | | 140,000 | | | | | | — | | | | | | 1,299,875 | | | | | | — | | | | | | 45 | | | | | | 1,489,920 | | | ||
Laurence Turka, M.D.(4) Chief Scientific Officer and Head of Research and Translational Medicine | | | | | 2021 | | | | | | 425,850 | | | | | | — | | | | | | 356,108 | | | | | | 1,048,858 | | | | | | 189,136 | | | | | | 11,564 | | | | | | 2,031,516 | | |
| | | 2020 | | | | | | 380,513 | | | | | | 312,693 | | | | | | — | | | | | | 1,706,495 | | | | | | — | | | | | | 11,731 | | | | | | 2,411,432 | | |
Name | | | Grant Date (1) | | | Estimated Possible Payouts Under Non-Equity Incentive Plan Awards – Target ($)(2) | | | All Other Stock Awards; Number of Shares of Stock or Units (#)(3) | | | All Other Option Awards; Number of Securities Underlying Options (#)(4) | | | Exercise or Base Price of Option Awards ($/Sh)(5) | | | Grant Date Fair Value of Stock and Option Awards ($)(6) | | ||||||||||||||||||
Pablo J. Cagnoni, M.D. | | | | | — | | | | | | 330,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | 1/29/2021 | | | | | | — | | | | | | — | | | | | | 375,000 | | | | | | 11.97 | | | | | | 2,996,738 | | |
| | | | | 1/29/2021 | | | | | | — | | | | | | 85,000 | | | | | | — | | | | | | — | | | | | | 1,017,450 | | |
Jose Carmona | | | | | — | | | | | | 180,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Dannielle Appelhans | | | | | — | | | | | | 71,507 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | 8/31/2021 | | | | | | — | | | | | | — | | | | | | 150,000 | | | | | | 21.72 | | | | | | 2,185,155 | | |
| | | | | 8/31/2021 | | | | | | — | | | | | | 50,000 | | | | | | — | | | | | | — | | | | | | 1,086,000 | | |
Maiken Keson- Brookes | | | | | — | | | | | | 166,400 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | 1/29/2021 | | | | | | — | | | | | | — | | | | | | 142,500 | | | | | | 11.97 | | | | | | 1,138,760 | | |
| | | | | 1/29/2021 | | | | | | — | | | | | | 32,300 | | | | | | — | | | | | | — | | | | | | 386,631 | | |
Laurence Turka, M.D. | | | | | — | | | | | | 170,010 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | 1/29/2021 | | | | | | — | | | | | | — | | | | | | 131,250 | | | | | | 11.97 | | | | | | 1,048,858 | | |
| | | | | 1/29/2021 | | | | | | — | | | | | | 29,750 | | | | | | — | | | | | | — | | | | | | 356,108 | | |
| | | Option Awards | | | Stock Awards | | ||||||||||||||||||||||||||||||||||||
Name | | | Number of Securities Underlying Unexercised Options (#) Exercisable | | | Number of Securities Underlying Unexercised Options (#) Unexercisable | | | Equity Incentive Plan Awards: Number of Securities Underlying Unexercised Unearned Options (#) | | | 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) | | |||||||||||||||||||||
Pablo J. Cagnoni, M.D. | | | | | 3,486,858 | | | | | | 316,988(2) | | | | | | — | | | | | | 8.66 | | | | | | 4/10/2028 | | | | | | 85,000(3) | | | | | | 822,800 | | |
| | | | | — | | | | | | — | | | | | | 164,400(4) | | | | | | 16.43 | | | | | | 10/30/2028 | | | | | | — | | | | | | — | | |
| | | | | — | | | | | | — | | | | | | 193,400(5) | | | | | | 16.43 | | | | | | 10/30/2028 | | | | | | — | | | | | | — | | |
| | | | | 68,750 | | | | | | 31,250(6) | | | | | | — | | | | | | 13.69 | | | | | | 1/30/2029 | | | | | | — | | | | | | — | | |
| | | | | 218,750 | | | | | | 281,250(7) | | | | | | — | | | | | | 7.80 | | | | | | 1/30/2030 | | | | | | — | | | | | | — | | |
| | | | | — | | | | | | 375,000(8) | | | | | | — | | | | | | 11.97 | | | | | | 1/28/2031 | | | | | | — | | | | | | — | | |
Jose Carmona | | | | | 100,000 | | | | | | 300,000(9) | | | | | | — | | | | | | 6.27 | | | | | | 11/29/2030 | | | | | | — | | | | | | — | | |
Dannielle Appelhans | | | | | — | | | | | | 150,000(10) | | | | | | — | | | | | | 21.72 | | | | | | 8/30/2031 | | | | | | 50,000(11) | | | | | | 484,000 | | |
Maiken Keson-Brookes | | | | | 100,000 | | | | | | 125,000(12) | | | | | | — | | | | | | 7.70 | | | | | | 11/28/2029 | | | | | | 32,300(3) | | | | | | 312,664 | | |
| | | | | — | | | | | | 142,500(8) | | | | | | — | | | | | | 11.97 | | | | | | 1/28/2031 | | | | | | — | | | | | | — | | |
Laurence Turka, M.D. | | | | | 153,125 | | | | | | 196,875(7) | | | | | | — | | | | | | 7.80 | | | | | | 1/30/2030 | | | | | | 29,750(3) | | | | | | 287,980 | | |
| | | | | — | | | | | | 131,250(8) | | | | | | — | | | | | | 11.97 | | | | | | 1/28/2031 | | | | | | — | | | | | | — | | |
| | | Option Awards | | |||
Name | | | Number of Shares Acquired on Exercise (#) | | | Value Realized on Exercise ($)(1) | |
Pablo J. Cagnoni, M.D. | | | — | | | — | |
Jose Carmona | | | — | | | — | |
Dannielle Appelhans | | | — | | | — | |
Maiken-Keson Brookes | | | 25,000 | | | 564,750 | |
Laurence Turka, M.D. | | | — | | | — | |
Name | | | Qualifying Termination Not in Connection with a Change in Control ($)(1) | | | Qualifying Termination in Connection with a Change in Control ($)(1)(2) | | ||||||
Pablo J. Cagnoni, M.D. | | | | | | | | | | | | | |
Cash Severance Payment | | | | | 600,000(3) | | | | | | 1,395,000(4) | | |
Target Cash Bonus Payment | | | | | — | | | | | | 330,000(5) | | |
COBRA Premiums | | | | | 21,478(6) | | | | | | 32,217(7) | | |
Accelerated Equity Vesting (Time-Based) | | | | | 764,028(8) | | | | | | 1,674,878(9) | | |
Accelerated Equity Vesting (Performance-Based) | | | | | — | | | | | | —(10) | | |
Total | | | | | 1,385,506 | | | | | | 3,432,095 | | |
Jose Carmona | | | | | | | | | | | | | |
Cash Severance Payment | | | | | 337,500(11) | | | | | | 630,000(12) | | |
COBRA Premiums | | | | | 16,109(13) | | | | | | 21,478(6) | | |
Accelerated Equity Vesting (Time-Based) | | | | | — | | | | | | 1,023,000(9) | | |
Total | | | | | 353,609 | | | | | | 1,674,478 | | |
Dannielle Appelhans | | | | | | | | | | | | | |
Cash Severance Payment | | | | | 337,500(11) | | | | | | 521,507(12) | | |
COBRA Premiums | | | | | 16,109(13) | | | | | | 21,478(6) | | |
Accelerated Equity Vesting (Time-Based) | | | | | — | | | | | | 484,000(9) | | |
Total | | | | | 353,609 | | | | | | 1,026,985 | | |
Maiken Keson-Brookes | | | | | | | | | | | | | |
Cash Severance Payment | | | | | 312,000(11) | | | | | | 582,400(12) | | |
COBRA Premiums | | | | | —(14) | | | | | | —(14) | | |
Accelerated Equity Vesting (Time-Based) | | | | | — | | | | | | 560,164(9) | | |
Total | | | | | 312,000 | | | | | | 1,142,564 | | |
Laurence Turka, M.D. | | | | | | | | | | | | | |
Cash Severance Payment | | | | | 348,740(11) | | | | | | 634,997(12) | | |
COBRA Premiums | | | | | 16,109(13) | | | | | | 21,478(6) | | |
Accelerated Equity Vesting (Time-Based) | | | | | — | | | | | | 658,105(9) | | |
Total | | | | | 364,849 | | | | | | 1,314,580 | | |
Plan Category | | | Number of securities to be issued upon exercise of outstanding options, warrants and rights (#) | | | Weighted- average exercise price of outstanding options, warrants and rights ($) | | | Number of securities remaining available for future issuance under equity compensation plans (excluding securities reflected in first column) | | |||||||||
Equity compensation plans approved by security holders(1) | | | | | 18,290,816(2) | | | | | $ | 12.13(3) | | | | | | 5,007,745(4) | | |
Equity compensation plans not approved by security holders | | | | | — | | | | | | — | | | | | | — | | |
Total | | | | | 18,290,816 | | | | | $ | 12.13 | | | | | | 5,007,745 | | |
| | Shares beneficially owned | | | Shares beneficially owned | | ||||||||||||||||||||
Name and address of beneficial owner | | Number | | Percentage | | | Number | | Percentage | | ||||||||||||||||
5% Stockholders: | | | | | | | | | | | | | | | | | | | | | | | ||||
Entities affiliated with the Flagship Pioneering Funds(1) | | | | 38,506,526 | | | | | 42.7% | | | | | | 38,506,526 | | | | | 42.6% | | | ||||
FMR LLC(2) | | | | 13,479,866 | | | | | 14.9% | | | | | | 13,479,866 | | | | | 14.9% | | | ||||
Baillie Gifford & Co(3) | | | | 4,930,859 | | | | | 5.5% | | | | | | 4,930,859 | | | | | 5.5% | | | ||||
Named Executive Officers and Directors: | | | | | | | | | | | | | | | | | | | | | | | ||||
Pablo J. Cagnoni, M.D.(4) | | | | 4,312,853 | | | | | 4.6% | | | | | | 4,336,291 | | | | | 4.6% | | | ||||
Jose Carmona(5) | | | | 150,000 | | | | | * | | | | | | 175,000 | | | | | * | | | ||||
Dannielle Appelhans(6) | | | | — | | | | | * | | | | | | — | | | | | * | | | ||||
Maiken Keson-Brookes(7) | | | | 165,499 | | | | | * | | | | | | 190,030 | | | | | * | | | ||||
Laurence Turka, M.D.(8) | | | | 242,811 | | | | | * | | | | | | 272,889 | | | | | * | | | ||||
Noubar B. Afeyan, Ph.D.(9) | | | | 38,606,526 | | | | | 42.8% | | | | | | 38,606,526 | | | | | 42.7% | | | ||||
Francis Cuss, M.B., B.Chir., FRCP(10) | | | | 240,000 | | | | | * | | | | | | 240,000 | | | | | * | | | ||||
David R. Epstein(11) | | | | 7,171,065 | | | | | 7.8% | | | | | | 7,700,827 | | | | | 8.3% | | | ||||
Natalie Holles(5) | | | | 100,000 | | | | | * | | | | | | 100,000 | | | | | * | | | ||||
Anne Prener, M.D., Ph.D.(5) | | | | 62,500 | | | | | * | | | | | | 66,666 | | | | | * | | | ||||
Michael Rosenblatt, M.D.(5) | | | | 250,000 | | | | | * | | | | | | 250,000 | | | | | * | | | ||||
Catherine A. Sohn, Pharm.D.(12) | | | | 232,500 | | | | | * | | | | | | 232,500 | | | | | * | | | ||||
Sir Jonathan R. Symonds, CBE(13) | | | | 295,000 | | | | | * | | | | | | 295,000 | | | | | * | | | ||||
All executive officers and directors as a group (13 persons)(14) | | | | 51,828,754 | | | | | 52.6% | | | | | | 52,465,729 | | | | | 52.8% | | |