| | | | | 1 | | | |
| | | | | | | ||
| | | | | 5 | | | |
| | | | | 7 | | | |
| | | | | | | ||
| | | | | ||||
11 | | | ||||||
| | | | | 14 | | | |
| | | | | ||||
| | |||||||
| | | | | | | ||
| | | | | A-1 | | |
Name of Beneficial Owner | | | Number of Shares Beneficially Owned | | | Percentage(1) | | ||||||
Officers and Directors | | | | ||||||||||
Alton L. Boynton, Ph.D.(2) | | | | | 2,280,808 | | | | | | *% | | |
Marnix L. Bosch, Ph.D., M.B.A.(3) | | | | | 5,444,494 | | | | | | 1.6% | | |
Linda F. Powers(4) | | | | | 107,205,135 | | | | | | 25.6% | | |
Leslie J. Goldman(5) | | | | | 294,661 | | | | | | *% | | |
Dr. Navid Malik | | | | | 10,000 | | | | | | *% | | |
Jerry Jasinowski(6) | | | | | 2,007,888 | | | | | | *% | | |
All executive officers and directors as a group (6 persons) | | | | | 35,822,576 | | | | | | 10.4% | | |
5% Security Holders | | | | ||||||||||
Cognate BioServices, Inc.(7) 4600 East Shelby Drive Suite 108, Memphis, TN | | | | | 102,024,505 | | | | | | 24.4% | | |
Woodford Investment Management LLP(8) 9400 Garsington Road Oxford OX4 2NH, UK | | | | | 24,815,028 | | | | | | 7.5% | | |
CF Woodford Equity Income Fund(9) 40 Dukes Place London EC3A 7NH, UK | | | | | 18,316,679 | | | | | | 5.6% | | |
Name of Beneficial Owner | | | Number of Shares Beneficially Owned | | | Percentage(1) | | ||||||
Officers and Directors | | | | ||||||||||
Alton L. Boynton, Ph.D.(2) | | | | | 2,493,490 | | | | | | *% | | |
Marnix L. Bosch, Ph.D., M.B.A.(3) | | | | | 5,940,754 | | | | | | 1.4% | | |
Linda F. Powers(4) | | | | | 109,849,800 | | | | | | 21.3% | | |
Leslie J. Goldman(5) | | | | | 11,778,471 | | | | | | 2.8% | | |
Dr. Navid Malik(6) | | | | | 5,109,062 | | | | | | 1.2% | | |
Jerry Jasinowski(7) | | | | | 4,774,137 | | | | | | 1.1% | | |
J. Cofer Black(8) | | | | | 964,687 | | | | | | *% | | |
All executive officers and directors as a group (7 persons) | | | | | 140,910,401 | | | | | | 25.8% | | |
5% Security Holders | | | | ||||||||||
Cognate BioServices, Inc.(9) 4800 East Shelby Drive Suite 108, Memphis, TN | | | | | 124,621,395 | | | | | | 23.7% | | |
Woodford Investment Management LLP(10) 9400 Garsington Road Oxford OX4 2NH, UK | | | | | 24,815,028 | | | | | | 6.0% | | |
Name and Principal Position | | | Year | | | Salary ($) | | | Bonus ($) | | | Option Awards ($) | | | Total ($) | | |||||||||||||||
Linda F. Powers Chairperson, President & Chief Executive Officer | | | | | 2017 | | | | | $ | 502,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 502,000 | | |
| | | 2016 | | | | | $ | 502,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 502,000 | | | ||
| | | 2015 | | | | | $ | 500,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 500,000 | | | ||
Alton L. Boynton, Ph.D. Chief Scientific Officer and Secretary | | | | | 2017 | | | | | $ | 325,000 | | | | | $ | — | | | | | $ | 216,228 | | | | | $ | 541,228 | | |
| | | 2016 | | | | | $ | 325,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 325,000 | | | ||
| | | 2015 | | | | | $ | 325,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 325,000 | | | ||
Leslie J. Goldman Senior Vice President, Business Development | | | | | 2017 | | | | | $ | 375,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 375,000 | | |
| | | 2016 | | | | | $ | 375,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 375,000 | | | ||
| | | 2015 | | | | | $ | 375,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 375,000 | | | ||
Marnix L. Bosch, Ph.D. Chief Technical Officer | | | | | 2017 | | | | | $ | 375,000 | | | | | $ | — | | | | | $ | 504,532 | | | | | $ | 879,532 | | |
| | | 2016 | | | | | $ | 375,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 375,000 | | | ||
| | | 2015 | | | | | $ | 375,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 375,000 | | | ||
Other | | | | | | | |||||||||||||||||||||||||
Susan Goldman* | | | | | 2017 | | | | | $ | 120,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 120,000 | | |
| | | 2016 | | | | | $ | 118,000 | | | | | $ | — | | | | | $ | — | | | | | $ | 118,000 | | |
| | | 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 ($) | | | Option Expiration Date | | | Number of Shares or Units of Stock That Have Not Vested (#) | | | Market Value of Shares or Units of Stock That Have Not Vested ($) | | | Equity Incentive Plan Awards: Number of Unearned Shares, Units or Other Rights That Have Not Vested (#) | | | Equity Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested ($) | | |||||||||||||||||||||||||||
Linda F. Powers Chief Executive Officer and President | | | | | 592,500(1) | | | | | | 296,250 | | | | | | — | | | | | | 10.56 | | | | | | 6/21/2018 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Alton Boynton Chief Scientific Officer and Secretary | | | | | 2,268,619(2) | | | | | | 1,134,316 | | | | | | — | | | | | | 0.25 | | | | | | 6/13/2022 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Leslie J. Goldman Senior Vice President, Business Development | | | | | 93,535(3) | | | | | | 46,875 | | | | | | — | | | | | | 10.56 | | | | | | 6/21/2018 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Marnix L. Bosch Chief Technical Officer | | | | | 5,293,451(4) | | | | | | 2,646,731 | | | | | | — | | | | | | 0.25 | | | | | | 6/13/2022 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Name | | | Year | | | Fees Earned or Paid in Cash ($) | | | All Other Compensation ($) | | | Total ($) | | ||||||||||||
Dr. Navid Malik | | | | | 2017 | | | | | $ | 150,000 | | | | | $ | — | | | | | $ | 150,000 | | |
Jerry Jasinowski | | | | | 2017 | | | | | $ | 150,000 | | | | | $ | — | | | | | $ | 150,000 | | |
J. Cofer Black | | | | | 2017 | | | | | $ | 150,000 | | | | | $ | — | | | | | $ | 150,000 | | |
| By Order of the Board of Directors, | | |||
| /s/ Linda F. Powers | | |||
| Chairperson of the Board of Directors | |