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Proposal
|
| |
Voting Choices and Board Recommendation
|
|
Proposal 1: Election of Directors
|
| |
•
vote in favor of all nominees;
|
|
|
•
withhold authority to vote for all nominees; or
|
| ||
|
•
withhold authority to vote for any specified nominee.
|
| ||
| The Board recommends a vote FOR each of the nominees. | | ||
Proposal 2: Approval of an amendment to our Restated Certificate of Incorporation to increase the number of authorized shares of our Common Stock, $0.01 par value per share, from 100,000,000 to 200,000,000
|
| |
•
vote in favor of approval;
|
|
|
•
vote against approval; or
|
| ||
|
•
abstain from voting on approval.
|
| ||
| The Board recommends a vote FOR approval. | | ||
Proposal 3: Approval of our 2018 Employee Stock Purchase Plan and the authorization of 500,000 shares of our Common Stock to be available for issuance under the plan
|
| |
•
vote in favor of approval;
|
|
|
•
vote against approval; or
|
| ||
|
•
abstain from voting on approval.
|
| ||
| The Board recommends a vote FOR approval. | | ||
Proposal 4: Approval of an amendment to our to 2014 Equity Incentives Plan to increase the number of authorized shares of Common Stock available for issuance pursuant to future awards made under the plan by 3,750,000
|
| |
•
vote in favor of approval;
|
|
|
•
vote against approval; or
|
| ||
|
•
abstain from voting on approval.
|
| ||
| The Board recommends a vote FOR approval. | | ||
Proposal 5: Ratification of Selection of Independent Registered Public Accounting Firm
|
| |
•
vote in favor of ratification;
|
|
|
•
vote against ratification; or
|
| ||
|
•
abstain from voting on ratification.
|
| ||
| The Board recommends a vote FOR ratification. | | ||
Proposal 6: Advisory Proposal to Approve Executive Compensation
|
| |
•
vote in favor of proposal;
|
|
|
•
vote against proposal; or
|
| ||
|
•
abstain from voting on proposal.
|
| ||
| The Board recommends a vote FOR the advisory vote to approve executive compensation. | |
Proposal
|
| |
Abstentions
|
| |
Broker Non-Votes
|
|
Proposal 1: Election of Directors | | | N/A | | | Not counted and no effect on vote. | |
Proposal 2: Approval of an amendment to our Restated Certificate of Incorporation to increase the number of authorized shares of our Common Stock, $0.01 par value per share, from 100,000,000 to 200,000,000 | | | Effect of a vote AGAINST | | | N/A | |
Proposal 3: Approval of our 2018 Employee Stock Purchase Plan | | | Not counted and no effect on vote. | | | Not counted and no effect on vote. | |
Proposal 4: Approval of an amendment to our to 2014 Equity Incentives Plan to increase the number of authorized shares of Common Stock available for issuance pursuant to future awards made under the plan by 3,750,000 | | | Not counted and no effect on vote. | | | Not counted and no effect on vote. | |
Proposal 5: Ratification of Selection of Independent Registered Public Accounting Firm | | | Not counted and no effect on vote. | | | N/A | |
Proposal 6: Advisory Proposal to Approve Executive Compensation | | | Not counted and no effect on vote. | | | Not counted and no effect on vote. | |
| | |
Timothy C.
Barabe (1) |
| |
Susan L.
Kelley (3) |
| |
Ronald M.
Lindsay (3) |
| |
Michael D.
Loberg (2)(3) |
| |
William G.
Messenger (1)(2) |
| |
Ran
Nussbaum |
| |
Paolo
Pucci |
| |
Patrick J.
Zenner (1)(2) |
| ||||||||||||||||||||||||
High level of financial literacy
|
| | | | X | | | | | | | | | | | | | | | | | | X | | | | | | X | | | | | | X | | | | | | X | | | | | | X | | |
Relevant biotechnology business experience
|
| | | | X | | | | | | X | | | | | | X | | | | | | X | | | | | | X | | | | | | X | | | | | | X | | | | | | X | | |
Extensive knowledge of drug research and development
|
| | | | | | | | | | X | | | | | | X | | | | | | X | | | | | | | | | | | | X | | | | | | X | | | | | | X | | |
Extensive knowledge of drug commercialization and marketing
|
| | | | | | | | | | | | | | | | X | | | | | | X | | | | | | | | | | | | | | | | | | X | | | | | | X | | |
Expertise in corporate governance
and business ethics |
| | | | X | | | | | | | | | | | | | | | | | | | | | | | | X | | | | | | X | | | | | | X | | | | | | X | | |
Diversity of background, professional experience or culture
|
| | | | X | | | | | | X | | | | | | | | | | | | X | | | | | | X | | | | | | X | | | | | | X | | | | | | | | |
Name
|
| |
Fees Earned or
Paid in Cash ($) |
| |
Option
Awards(1)($) |
| |
Total ($)
|
| |||||||||
Timothy C. Barabe(2)
|
| | | $ | 57,000 | | | | | $ | 14,060 | | | | | $ | 71,060 | | |
Susan L. Kelley, M.D.
|
| | | | 49,500 | | | | | | 14,060 | | | | | | 63,560 | | |
Ronald M. Lindsay, Ph.D. .
|
| | | | 67,000 | | | | | | 14,060 | | | | | | 81,060 | | |
Michael D. Loberg, Ph.D.(3)
|
| | | | 55,750 | | | | | | 14,060 | | | | | | 69,810 | | |
William G. Messenger, D. Min.
|
| | | | 64,500 | | | | | | 14,060 | | | | | | 78,560 | | |
Ran Nussbaum(4)
|
| | | | 6,250 | | | | | | 18,459 | | | | | | 24,709 | | |
Patrick J. Zenner
|
| | | | 69,500 | | | | | | 17,575 | | | | | | 87,075 | | |
Name and Principal Position
|
| |
2016
Annualized Base Salary ($) |
| |
2017
Annualized Base Salary ($) |
| |
%
Increase |
| |
Comment
|
| |||||||||
Paolo Pucci, CEO
|
| | | | 489,000 | | | | | | 499,000 | | | | | | 2.0 | | | | Base salary negotiated in and adjusted per amended employment agreement and annual review. |
|
Peter S. Lawrence, COO
|
| | | | 431,000 | | | | | | 448,000 | | | | | | 4.0 | | | | Base salary negotiated in and adjusted per amended employment agreement and annual review. |
|
Dr. Brian Schwartz, CMO
|
| | | | 429,000 | | | | | | 446,000 | | | | | | 4.0 | | | | Base salary negotiated in and adjusted per employment agreement and annual review. |
|
Robert J. Weiskopf, CFO
|
| | | | 305,000 | | | | | | 317,000 | | | | | | 4.0 | | | |
Base salary adjusted at annual review.
|
|
Name and Principal Position
|
| |
2017 Bonus Target
(% of Base Salary) |
| |
2017 Bonus Actual
(% of Base Salary) |
| |
Comment
|
|
Paolo Pucci, CEO
|
| |
60.0%
|
| |
49.8%
|
| | Target bonus set by terms of amended employment agreement. Actual bonus 83% of target. | |
Peter S. Lawrence, COO
|
| |
45.0%
|
| |
37.4%
|
| | Target bonus set by terms of amended employment agreement. Actual bonus 83% of target. | |
Dr. Brian Schwartz, CMO
|
| |
40.0%
|
| |
33.2%
|
| | Target bonus set by terms of employment agreement. Actual bonus 83% of target. | |
Robert J. Weiskopf, CFO
|
| |
40.0%
|
| |
33.2%
|
| | Bonus target set by Compensation Committee in accordance with annual standard process. Actual bonus 83% of target. | |
Name and Principal Position
|
| |
Year
|
| |
Salary ($)
(1) |
| |
Bonus ($)
|
| |
Stock
Awards ($) |
| |
Option
Awards ($) (2) |
| |
Non-Equity
Incentive Plan Compensation ($) (3) |
| |
All Other
Compensation ($) (4) |
| |
Total ($)
|
|||||||||||||||||||||||
Paolo Pucci
Chief Executive Officer |
| | | | 2017 | | | | | | 498,718 | | | | | | — | | | | | | — | | | | | | 634,860 | | | | | | 248,568 | | | | | | 8,742 | | | | | | 1,390,888 |
| | | 2016 | | | | | | 489,345 | | | | | | — | | | | | | — | | | | | | 548,208 | | | | | | 255,438 | | | | | | 8,550 | | | | | | 1,301,541 | ||
| | | 2015 | | | | | | 489,345 | | | | | | — | | | | | | — | | | | | | 285,948 | | | | | | 293,607 | | | | | | 8,550 | | | | | | 1,077,450 | ||
Peter S. Lawrence
President, Chief Operating Officer, General Counsel and Secretary |
| | | | 2017 | | | | | | 447,140 | | | | | | — | | | | | | — | | | | | | 350,267 | | | | | | 167,279 | | | | | | 8,742 | | | | | | 973,428 |
| | | 2016 | | | | | | 430,286 | | | | | | — | | | | | | — | | | | | | 274,104 | | | | | | 168,597 | | | | | | 8,550 | | | | | | 881,536 | ||
| | | 2015 | | | | | | 421,562 | | | | | | — | | | | | | — | | | | | | 160,571 | | | | | | 189,990 | | | | | | 8,550 | | | | | | 780,673 | ||
Dr. Brian Schwartz
Chief Medical Officer and Senior Vice President |
| | | | 2017 | | | | | | 445,121 | | | | | | — | | | | | | — | | | | | | 275,106 | | | | | | 148,021 | | | | | | 8,742 | | | | | | 876,991 |
| | | 2016 | | | | | | 428,001 | | | | | | — | | | | | | — | | | | | | 237,557 | | | | | | 149,187 | | | | | | 8,550 | | | | | | 823,295 | ||
| | | 2015 | | | | | | 410,991 | | | | | | — | | | | | | — | | | | | | 107,780 | | | | | | 164,884 | | | | | | 8,550 | | | | | | 692,205 | ||
Robert J. Weiskopf
Chief Financial Officer and Treasurer |
| | | | 2017 | | | | | | 316,684 | | | | | | — | | | | | | — | | | | | | 183,369 | | | | | | 105,310 | | | | | | 8,742 | | | | | | 614,105 |
| | | 2016 | | | | | | 305,000 | | | | | | — | | | | | | — | | | | | | 137,052 | | | | | | 92,873 | | | | | | 8,550 | | | | | | 543,475 | ||
| | | 2015 | | | | | | 288,372 | | | | | | — | | | | | | — | | | | | | 91,876 | | | | | | 106,750 | | | | | | 8,550 | | | | | | 495,548 |
| | | | | | | | |
Estimated Future Payouts
Under Non-Equity Incentive Plan Awards(1) |
| |
All Other
Option Awards: Number of Securities Underlying Options (#) |
| |
Grant Date Fair
Value of Stock and Option Awards ($) |
| | | | | | | |||||||||||||||||||||||||||||||||
Name
|
| |
Grant Date
|
| |
Threshold
($) |
| |
Target
($) |
| |
Maximum
($) |
| | | | | | | ||||||||||||||||||||||||||||||||||||
Paolo Pucci
|
| | | | N/A | | | | | | — | | | | | | 303,971 | | | | | | 455,957 | | | | | | | | | | | | | | | | | | | | | ||||||||||||
| | | | | 01/17/2017 | | | | | | | | | | | | | | | | | | | | | | | | 300,000 | | | | | | 281,460 | | | | | | | | | ||||||||||||
| | | | | 04/04/2017 | | | | | | | | | | | | | | | | | | | | | | | | 600,000 | | | | | | 353,400 | | | | | | | | | ||||||||||||
Peter S. Lawrence
|
| | | | N/A | | | | | | — | | | | | | 206,579 | | | | | | 309,869 | | | | | | | | | | | | | | | | | | | | | ||||||||||||
| | | | | 01/17/2017 | | | | | | | | | | | | | | | | | | | | | | | | 185,000 | | | | | | 173,567 | | | | | | | | | ||||||||||||
| | | | | 04/04/2017 | | | | | | | | | | | | | | | | | | | | | | | | 300,000 | | | | | | 176,700 | | | | | | | | | ||||||||||||
Dr. Brian Schwartz
|
| | | | N/A | | | | | | — | | | | | | 182,797 | | | | | | 274,195 | | | | | | | | | | | | | | | | | | | | | ||||||||||||
| | | | | 01/17/2017 | | | | | | | | | | | | | | | | | | | | | | | | 130,000 | | | | | | 121,966 | | | | | | | | | ||||||||||||
| | | | | 04/04/2017 | | | | | | | | | | | | | | | | | | | | | | | | 260,000 | | | | | | 153,140 | | | | | | | | | ||||||||||||
Robert J. Weiskopf
|
| | | | N/A | | | | | | — | | | | | | 130,052 | | | | | | 195,078 | | | | | | | | | | | | | | | | | | | | | ||||||||||||
| | | | | 01/17/2017 | | | | | | | | | | | | | | | | | | | | | | | | 95,000 | | | | | | 89,129 | | | | | | | | | ||||||||||||
| | | | | 04/04/2017 | | | | | | | | | | | | | | | | | | | | | | | | 150,000 | | | | | | 88,350 | | | | | | | | | ||||||||||||
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Name
|
| |
Number of
Securities Underlying Unexercised Options (#)(1) Exercisable |
| |
Number of
Securities Underlying Unexercised Options (#)(1) Unexercisable |
| |
Option Exercise
Price ($) |
| |
Option
Expiration Date |
| |
Equity Incentive
Plan Awards: Number of Shares, Units or Other Rights that Have Not Vested |
| |
Equity Incentive
Plan Awards: Market or Payout Value of Shares, Units or Other Rights that Have Not Vested(2) |
| ||||||||||||
Paolo Pucci
|
| | | | 500,000 | | | | | | | | | | | $ | 3.95 | | | | | | 6/9/2018 | | | | | | | | |
| | | | | 225,000 | | | | | | | | | | | | 3.42 | | | | | | 1/21/2020 | | | | | | | | |
| | | | | 100,000 | | | | | | | | | | | | 4.14 | | | | | | 7/15/2020 | | | | | | | | |
| | | | | 300,000 | | | | | | | | | | | | 6.70 | | | | | | 1/24/2021 | | | | | | | | |
| | | | | 315,000 | | | | | | | | | | | | 7.95 | | | | | | 2/1/2022 | | | | | | | | |
| | | | | 285,000 | | | | | | | | | | | | 2.51 | | | | | | 1/14/2023 | | | | | | | | |
| | | | | 228,750 | | | | | | 76,250 | | | | | | 2.57 | | | | | | 1/22/2024 | | | | | | | | |
| | | | | 97,502 | | | | | | 195,000 | | | | | | 1.16 | | | | | | 1/20/2025 | | | | | | | | |
| | | | | 120,000 | | | | | | 360,000 | | | | | | 1.79 | | | | | | 1/19/2026 | | | | | | | | |
| | | | | | | | | | | 300,000 | | | | | | 1.53 | | | | | | 1/17/2027 | | | | | | | | |
| | | | | | | | | | | 600,000 | | | | | | 0.95 | | | | | | 4/4/2027 | | | | | | | | |
Peter S. Lawrence
|
| | | | 200,000 | | | | | | | | | | | | 4.75 | | | | | | 1/17/2018 | | | | | | | | |
| | | | | 130,000 | | | | | | | | | | | | 3.42 | | | | | | 1/21/2020 | | | | | | | | |
| | | | | 130,000 | | | | | | | | | | | | 6.70 | | | | | | 1/24/2021 | | | | | | | | |
| | | | | 25,000 | | | | | | | | | | | | 6.70 | | | | | | 1/24/2021 | | | | | | | | |
| | | | | 147,750 | | | | | | | | | | | | 7.95 | | | | | | 2/1/2022 | | | | | | | | |
| | | | | 123,500 | | | | | | | | | | | | 2.51 | | | | | | 1/14/2023 | | | | | | | | |
| | | | | 105,375 | | | | | | 35,125 | | | | | | 2.57 | | | | | | 1/22/2024 | | | | | | | | |
| | | | | 84,500 | | | | | | 84,500 | | | | | | 1.16 | | | | | | 1/20/2025 | | | | | | | | |
| | | | | 25,000 | | | | | | 25,000 | | | | | | 1.16 | | | | | | 1/20/2025 | | | | | | | | |
| | | | | 60,000 | | | | | | 180,000 | | | | | | 1.79 | | | | | | 1/19/2026 | | | | | | | | |
| | | | | | | | | | | 150,000 | | | | | | 1.53 | | | | | | 1/17/2027 | | | | | | | | |
| | | | | | | | | | | 35,000 | | | | | | 1.53 | | | | | | 1/17/2027 | | | | | | | | |
| | | | | | | | | | | 300,000 | | | | | | 0.95 | | | | | | 4/4/2027 | | | | | | | | |
Dr. Brian Schwartz
|
| | | | 200,000 | | | | | | | | | | | | 3.62 | | | | | | 7/14/2018 | | | | | | | | |
| | | | | 90,000 | | | | | | | | | | | | 3.42 | | | | | | 1/21/2020 | | | | | | | | |
| | | | | 90,000 | | | | | | | | | | | | 6.70 | | | | | | 1/24/2021 | | | | | | | | |
| | | | | 50,000 | | | | | | | | | | | | 6.70 | | | | | | 1/24/2021 | | | | | | | | |
| | | | | 109,500 | | | | | | | | | | | | 7.95 | | | | | | 2/1/2022 | | | | | | | | |
| | | | | 85,500 | | | | | | | | | | | | 2.51 | | | | | | 1/14/2023 | | | | | | | | |
| | | | | 79,875 | | | | | | 26,625 | | | | | | 2.57 | | | | | | 1/22/2024 | | | | | | | | |
| | | | | 58,500 | | | | | | 58,500 | | | | | | 1.16 | | | | | | 1/20/2025 | | | | | | | | |
| | | | | 15,000 | | | | | | 15,000 | | | | | | 1.16 | | | | | | 1/20/2025 | | | | | | | | |
| | | | | 52,000 | | | | | | 156,000 | | | | | | 1.79 | | | | | | 1/19/2026 | | | | | | | | |
| | | | | | | | | | | 130,000 | | | | | | 1.53 | | | | | | 1/17/2027 | | | | | | | | |
| | | | | | | | | | | 260,000 | | | | | | 0.95 | | | | | | 4/4/2027 | | | | | | | | |
Name
|
| |
Number of
Securities Underlying Unexercised Options (#)(1) Exercisable |
| |
Number of
Securities Underlying Unexercised Options (#)(1) Unexercisable |
| |
Option Exercise
Price ($) |
| |
Option
Expiration Date |
| |
Equity Incentive
Plan Awards: Number of Shares, Units or Other Rights that Have Not Vested |
| |
Equity Incentive
Plan Awards: Market or Payout Value of Shares, Units or Other Rights that Have Not Vested(2) |
| ||||||||||||
Robert J. Weiskopf
|
| | | | 22,500 | | | | | | | | | | | | 4.75 | | | | | | 1/17/2018 | | | | | | | | |
| | | | | 45,000 | | | | | | | | | | | | 3.42 | | | | | | 1/21/2020 | | | | | | | | |
| | | | | 45,000 | | | | | | | | | | | | 6.70 | | | | | | 1/24/2021 | | | | | | | | |
| | | | | 40,500 | | | | | | | | | | | | 7.95 | | | | | | 2/01/2022 | | | | | | | | |
| | | | | 42,750 | | | | | | | | | | | | 2.51 | | | | | | 1/14/2023 | | | | | | | | |
| | | | | 36,187 | | | | | | 12,063 | | | | | | 2.57 | | | | | | 1/22/2024 | | | | | | | | |
| | | | | 29,250 | | | | | | 29,250 | | | | | | 1.16 | | | | | | 1/20/2025 | | | | | | | | |
| | | | | 10,000 | | | | | | 10,000 | | | | | | 1.16 | | | | | | 1/20/2025 | | | | | | | | |
| | | | | 15,000 | | | | | | 15,000 | | | | | | 1.80 | | | | | | 6/01/2025 | | | | | | | | |
| | | | | 30,000 | | | | | | 90,000 | | | | | | 1.79 | | | | | | 1/19/2026 | | | | | | | | |
| | | | | | | | | | | 75,000 | | | | | | 1.53 | | | | | | 1/17/2027 | | | | | | | | |
| | | | | | | | | | | 20,000 | | | | | | 1.53 | | | | | | 1/17/2027 | | | | | | | | |
| | | | | | | | | | | 160,000 | | | | | | 0.95 | | | | | | 4/4/2027 | | | | | | | | |
Name
|
| |
Number of
Securities Acquired on Exercise |
| |
Value Realized
Upon Exercise ($) |
| |
Number of
Shares Acquired on Vesting |
| |
Value Realized on
Vesting ($)(1) |
| ||||||||||||
Peter S. Lawrence
|
| | | | — | | | | | | — | | | | | | 6,250 | | | | | | 9,875 | | |
Dr. Brian Schwartz
|
| | | | — | | | | | | — | | | | | | 7,500 | | | | | | 11,850 | | |
Robert J. Weiskopf
|
| | | | — | | | | | | — | | | | | | 3,200 | | | | | | 5,056 | | |
Name
|
| |
Cash
Payment(1) ($) |
| |
Equity
Acceleration ($) |
| |
Benefits and
Perquisites(2) ($) |
| |
Total
($) |
| ||||||||||||
Paolo Pucci
|
| | | $ | 1,540,439 | | | | | $ | 551,550 | | | | | $ | 48,870 | | | | | $ | 2,140,859 | | |
Peter S. Lawrence
|
| | | | 649,410 | | | | | | 285,855 | | | | | | 24,435 | | | | | | 959,700 | | |
Dr. Brian Schwartz
|
| | | | 624,186 | | | | | | 233,615 | | | | | | 24,435 | | | | | | 882,236 | | |
Name of Individual or Identity of Group and Position
|
| |
Number of Shares
Underlying Options |
| |||
Named Executive Officers and Current Executive Officers | | | | | | | |
Paulo Pucci, Chief Executive Officer
|
| | | | 249,000 | | |
Peter S. Lawrence, President and Chief Operating Officer
|
| | | | 124,500 | | |
Brian Schwartz, Chief Medical Officer
|
| | | | 107,900 | | |
Robert J. Weiskopf, Chief Financial Officer
|
| | | | 62,250 | | |
All current executive officers, as a group (4 persons)
|
| | | | 543,650 | | |
Non-Employee Directors and Non-Executive Officers | | | | | | | |
All current non-employee directors and director nominees, as a group
|
| | | | — | | |
All non-executive officer employees as a group
|
| | | | 177,620 | | |
| | |
2017
|
| |
2016
|
| ||||||
Audit Fees
|
| | | $ | 544,000 | | | | | $ | 490,000 | | |
Audit-Related Fees
|
| | | | — | | | | | | — | | |
Tax Fees
|
| | | | — | | | | | | — | | |
All Other Fees
|
| | | | — | | | | | | — | | |
Total
|
| | | $ | 544,000 | | | | | $ | 490,000 | | |
|
Name
|
| |
Common
Stock Owned |
| |
Options to
Purchase Common Stock |
| |
Total Stock
and Stock-based Holdings |
| |
Percent
of Class |
| ||||||||||||
First Eagle Investment Management, LLC(1)
1345 Avenue of the Americas New York, NY 10105 |
| | | | 14,733,484 | | | | | | — | | | | | | 14,733,484 | | | | | | 16.9% | | |
Nantahala Capital Management, LLC(2)
19 Old Kings Highway S, Suite 200 Darien, CT 06820 |
| | | | 12,222,130 | | | | | | — | | | | | | 12,222,130 | | | | | | 14.0% | | |
BVF Partners, LP(3)
900 North Michigan Avenue, Suite 1100 Chicago, IL 60611 |
| | | | 16,434,912 | | | | | | — | | | | | | 16,434,912 | | | | | | 18.9% | | |
Directors and Executive Officers(1)
|
| |
Common
Stock Owned |
| |
Options to
Purchase Common Stock |
| |
Total Stock
and Stock-based Holdings |
| |
Percent
of Class |
| ||||||||||||
Timothy C. Barabe(2)
|
| | | | 136,897 | | | | | | 130,000 | | | | | | 266,897 | | | | | | * | | |
Susan L. Kelley
|
| | | | 50,000 | | | | | | 125,000 | | | | | | 175,000 | | | | | | * | | |
Ronald M. Lindsay
|
| | | | 20,000 | | | | | | 130,000 | | | | | | 150,000 | | | | | | * | | |
Michael D. Loberg
|
| | | | 162,514 | | | | | | 130,000 | | | | | | 292,514 | | | | | | * | | |
William G. Messenger
|
| | | | 10,000 | | | | | | 130,000 | | | | | | 140,000 | | | | | | * | | |
Ran Nussbaum(3)
|
| | | | — | | | | | | — | | | | | | — | | | | | | * | | |
Patrick J. Zenner
|
| | | | 73,770 | | | | | | 205,000 | | | | | | 278,770 | | | | | | * | | |
Peter S. Lawrence
|
| | | | 77,743 | | | | | | 1,027,250 | | | | | | 1,104,993 | | | | | | 1.3% | | |
Paolo Pucci
|
| | | | 485,364 | | | | | | 2,540,002 | | | | | | 3,025,366 | | | | | | 3.5% | | |
Brian Schwartz
|
| | | | 63,886 | | | | | | 978,250 | | | | | | 1,042,136 | | | | | | 1.2% | | |
Robert J. Weiskopf
|
| | | | 30,407 | | | | | | 379,125 | | | | | | 409,532 | | | | | | * | | |
Directors and executive officers as a group (11 persons)
|
| | | | 1,110,581 | | | | | | 5,774,627 | | | | | | 6,885,208 | | | | | | 7.9% | | |
|