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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 |
| |
Option
Awards(1) |
| |
All Other
Compensation |
| |
Total
|
| ||||||||||||||||||
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 |
| | | | 2021 | | | | | $ | 152,500 | | | | | | — | | | | | $ | 386,303 | | | | | $ | 10,552(4) | | | | | $ | 549,355 | | |
| | | 2020 | | | | | $ | 305,000 | | | | | | — | | | | | | — | | | | | $ | 17,151(5) | | | | | $ | 322,151 | | |
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
|
| | | $ | — | | | | | $ | 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 |
| ||||||||||||||||||||||||
| | |
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 |
| |||||||||||||||
David Green
|
| | | | 8,907 | | | | | | 97,977 (1) | | | | | $ | 2.40 | | | | | | 11/26/2031 | | | | | | — | | |
| | | | | — | | | | | | 267,210(2) | | | | | $ | 2.40 | | | | | | 11/26/2031 | | | | | | — | | |
William Fodor, Ph.D
|
| | | | 49,025 | | | | | | 147,078(3) | | | | | $ | 2.30 | | | | | | 12/29/2031 | | | | | | — | | |
| | | | | 104,643 | | | | | | —(4) | | | | | $ | 2.72 | | | | | | 5/29/2028 | | | | | | — | | |
| | | | | 20,929 | | | | | | 83,714(5) | | | | | $ | 2.72 | | | | | | 5/29/2028 | | | | | | — | | |
Hong Yu
|
| | | | 28,279 | | | | | | 84,837(3) | | | | | $ | 2.30 | | | | | | 12/29/2031 | | | | | | | | |
| | | | | 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
|
| | | | 4,012,722 | | | | | | 37.3%(3) | | |
An Zhang
|
| | | | 900,000 | | | | | | 8.4%(4) | | |
Du Ziaoyu
|
| | | | 750,000 | | | | | | 7.0%(5) | | |
Named Executive Officers | | | | | | | | | | | | | |
David Green
|
| | | | 213,065 | | | | | | 2.0%(6) | | |
Hong Yu
|
| | | | 504,506 | | | | | | 4.7%(7) | | |
William Fodor, Ph.D
|
| | | | 174,597 | | | | | | 1.6%(8) | | |
Non-employee Directors | | | | | | | | | | | | | |
Jason Jing Chen
|
| | | | 303,653 | | | | | | 2.8%(9) | | |
Junli He
|
| | | | 249,852 | | | | | | 2.3%(10) | | |
Ting Li
|
| | | | 87,369 | | | | | | *%(11) | | |
Herman Sanchez
|
| | | | 51,323 | | | | | | *%(12) | | |
James Shmerling, DHA FACHE
|
| | | | 86,099 | | | | | | *%(13) | | |
All current executive officers and directors, as a group (8 persons)
|
| | | | 1,670,464 | | | | | | 15.5%(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)
|
| | | | 2,332,603 | | | | | | 3.93 | | | | | | 2,747,676(2) | | |
Equity compensation plans not approved by
security holders |
| | | | — | | | | | | — | | | | | | — | | |
Total
|
| | | | 2,332,603 | | | | | | 3.93 | | | | | | 2,747,676 | | |
| | |
2021
|
| |
2020
|
| |
Total
|
| |||||||||
Audit Fees(1)
|
| | | $ | 124,100 | | | | | $ | 228,184 | | | | | $ | 350,284 | | |
Tax Fees(2)
|
| | | | 34,920 | | | | | | 18,585 | | | | | | 55,505 | | |
Total Fees
|
| | | $ | 159,020 | | | | | $ | 246,769 | | | | | $ | 405,789 | | |