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| | | | | A-1 | | |
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
|
|
Name and Principal Position
|
| |
Year
|
| |
Salary
|
| |
Stock
Awards(1) |
| |
Option
Awards(2) |
| |
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 | | | ||
William Fodor, PhD
Chief Scientific Officer |
| | | | 2019 | | | | | $ | 305,000 | | | | | | — | | | | | | — | | | | | $ | 17,151(5) | | | | | $ | 322,151 | | |
| | | 2018 | | | | | $ | 140,769 | | | | | | — | | | | | $ | 847,713 | | | | | $ | 4,396(6) | | | | | $ | 992,878 | | | ||
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
|
| |
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 | | |
| | |
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 |
| |||||||||||||||
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) | | | ||
William Fodor, Ph.D
|
| | | | 52,322 | | | | | | 52,321(3) | | | | | $ | 2.72 | | | | | | 5/29/2028 | | | | | | — | | |
| | | 20,929 | | | | | | 83,714(4) | | | | | $ | 2.72 | | | | | | 5/29/2028 | | | | | | — | | | ||
Hong Yu
|
| | | | 52,322 | | | | | | 52,321(3) | | | | | $ | 2.72 | | | | | | 5/29/2028 | | | | | | — | | |
| | | 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 | | | | | | — | | |
| | |
Common Stock
Beneficially Owned |
| |||||||||
Name and Address of Beneficial Owner(1)
|
| |
Shares
|
| |
Percent(2)
|
| ||||||
Greater than 5% Holder | | | | | | | | | | | | | |
DST Capital LLC and Affiliates
|
| | | | 3,237,722 | | | | | | 37.0%(3) | | |
Du Xiaoyu
|
| | | | 750,000 | | | | | | 8.8%(4) | | |
Zhou Heping
|
| | | | 500,000 | | | | | | 5.9%(5) | | |
Named Executive Officers | | | | | | | | | | | | | |
Hong Yu
|
| | | | 417,771 | | | | | | 4.7%(6) | | |
William Fodor, Ph.D
|
| | | | 73,251 | | | | | | *%(7) | | |
Peter Chakoutis
|
| | | | 19,795 | | | | | | *%(8) | | |
Non-employee Directors | | | | | | | | | | | | | |
Jason Jing Chen
|
| | | | 247,226 | | | | | | 2.8%(9) | | |
Ting Li
|
| | | | 30,942 | | | | | | *%(10) | | |
James Shmerling, DHA FACHE
|
| | | | 29,672 | | | | | | *%(11) | | |
Jeffrey Young
|
| | | | 54,672 | | | | | | *%(12) | | |
Wei Zhang MD, Ph.D
|
| | | | 34,800 | | | | | | *%(13) | | |
All current executive officers and directors, as a group (8 persons)
|
| | | | 908,129 | | | | | | 9.7%(14) | | |
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)) |
| |||||||||
| | |
(a)
|
| |
(b)
|
| |
(c)
|
| |||||||||
Equity compensation plans approved
by security holders(1) |
| | | | 1,776,061 | | | | | | 6.03 | | | | | | 308,357(2) | | |
Equity compensation plans not approved by security holders
|
| | | | — | | | | | | — | | | | | | | | |
Total
|
| | | | 1,776,061 | | | | | | 6.03 | | | | | | 308,357 | | |
| | |
2019
|
| |
2018
|
| ||||||||||||||||||
| | |
RSM
|
| |
RSM
|
| |
KPMG
|
| |
Total
|
| ||||||||||||
Audit Fees(1)
|
| | | $ | 212,625 | | | | | $ | 189,000 | | | | | $ | 71,000 | | | | | $ | 260,000 | | |
Tax Fees(2)
|
| | | | 16,065 | | | | | | 18,161 | | | | | | — | | | | | | 18,161 | | |
Total Fees
|
| | | $ | 228,690 | | | | | $ | 207,161 | | | | | $ | 71,000 | | | | | $ | 278,161 | | |