|
BY ORDER OF THE BOARD
/s/ Margaret Henry
Margaret Henry
Company Secretary April [ ], 2024 |
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Registered Office
60 Jubilee Avenue, Milton Park, Abingdon, Oxfordshire OX14 4RX, United Kingdom Registered in England and Wales No 09338148 |
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| | | | A-1 | | | |
| | | | A-30 | | |
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Proposal
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Description of Proposal
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Board’s
Recommendation |
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1
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| | Re-election of David Mott as a director | | |
FOR
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2
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| | Re-election of Andrew Allen as a director | | |
FOR
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3
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| | Re-election of Lawrence Alleva as a director | | |
FOR
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4
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| | Re-election of Priti Hegde as a director | | |
FOR
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5
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| | Re-election of Kristen Hege as a director | | |
FOR
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6
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| | Re-election of Garry Menzel as a director | | |
FOR
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7
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| | Re-appointment of KPMG LLP as the Company’s auditors, to hold office until the conclusion of the next annual general meeting of shareholders | | |
FOR
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8
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| | Authorization for the Audit Committee to determine our auditors’ remuneration for the fiscal year ending December 31, 2024 | | |
FOR
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9
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| | To adopt the U.K. statutory annual accounts and reports for the fiscal year ended December 31, 2023 | | |
FOR
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10
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| | Approval of the compensation of our named executive officers for the year ended December 31, 2023, which is set forth in this proxy statement | | |
FOR
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11
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| | Approval of our U.K. statutory directors’ annual report on remuneration for the year ended December 31, 2023 (excluding our directors’ remuneration policy), which is set forth as Annex A (excluding Part II of Annex A) | | |
FOR
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12
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| | Approval of our U.K. directors’ remuneration policy, which is set forth as Part II of Annex A, and which, if approved, will take effect upon the conclusion of the Meeting. | | |
FOR
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13
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| | Authorization for the Board of Directors to allot shares or to grant rights to subscribe for or convert any security into shares up to a maximum aggregate nominal amount of £505,881.00. | | |
FOR
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14
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| | Empowering the Board of Directors to allot equity securities for cash up to a maximum aggregate nominal amount of £505,881.00 pursuant to the authorization in Proposal No. 13 as if U.K. statutory pre-emption rights did not apply. | | |
FOR
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Fees
|
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December 31, 2023
($) |
| |
December 31, 2022
($) |
| ||||||
Audit Fees(1)
|
| | | | 1,026,000 | | | | | | 1,188,000 | | |
Audit-related Fees(2)
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| | | | 386,000 | | | | | | 258,000 | | |
Tax Fees(3)
|
| | | | — | | | | | | — | | |
All Other Fees(4)
|
| | | | — | | | | | | — | | |
Total | | | | | 1,412,000 | | | | | | 1,446,000 | | |
Name
|
| |
Age
|
| |
Position
|
|
David M. Mott | | |
58
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| | Chairman of the Board of Directors | |
Andrew Allen, M.D, Ph. D. | | |
57
|
| | Non-Executive Director | |
Lawrence M. Alleva | | |
74
|
| | Non-Executive Director | |
Ali Behbahani, M.D. | | |
45
|
| | Non-Executive Director | |
John Furey | | |
59
|
| | Non-Executive Director | |
Priti Hegde, Ph.D. | | |
52
|
| | Non-Executive Director | |
Kristen Hege, M.D. | | |
60
|
| | Non-Executive Director | |
Garry Menzel, Ph.D | | |
59
|
| | Non-Executive Director | |
Adrian Rawcliffe | | |
52
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| | Chief Executive Officer and Director | |
| Country of Principal Executive Offices: | | |
England
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| Foreign Private Issuer | | |
No
|
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| Disclosure Prohibited under Home Country Law | | |
No
|
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| Total Number of Directors | | |
9
|
|
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Female
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Male
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Non-Binary
|
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Did Not
Disclose Gender |
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Part I: Gender Identity | | | | | | | | | | | | | |
Directors | | |
2
|
| |
7
|
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0
|
| |
0
|
|
Part II: Demographic Background | | | | | | | | | | | | | |
Underrepresented Individual in Home Country Jurisdiction | | |
2
|
| | | | | | | | | |
LGBTQ+ | | |
0
|
| | | | | | | | | |
Did Not Disclose Demographic Background | | |
0
|
| | | | | | | | | |
Name
|
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Audit
|
| |
Remuneration
|
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Corporate
Governance and Nominating |
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Research and
Development |
|
David M. Mott | | | | | |
Chair
|
| |
Chair
|
| | | |
Andrew Allen, M.D. | | | | | |
X
|
| | | | |
X
|
|
Lawrence M. Alleva | | |
Chair
|
| | | | | | | | | |
Ali Behbahani, M.D. | | | | | | | | |
X
|
| |
X
|
|
John Furey | | |
X
|
| |
X
|
| | | | | | |
Priti Hegde, Ph.D. | | | | | | | | |
X
|
| |
X
|
|
Kristen Hege, M.D. | | | | | | | | | | | |
Chair
|
|
Garry Menzel, Ph.D. | | |
X
|
| | | | | | | | | |
| | |
Ordinary Shares
Beneficially Owned |
| |||||||||
Name of Beneficial Owner
|
| |
Number
|
| |
Percent
|
| ||||||
5% Shareholders | | | | | | | | | | | | | |
Matrix Capital Management Master Fund L.P(1)
|
| | | | 233,845,110 | | | | | | 15.25 | | |
EcoR1 Capital, LLC(2)
|
| | | | 164,424,420 | | | | | | 10.73 | | |
New Enterprise Associates(3)
|
| | | | 102,478,672 | | | | | | 6.68 | | |
Baillie Gifford & Co(4)
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| | | | 95,472,840 | | | | | | 6.23 | | |
Named Executive Officers and Directors | | | | | | | | | | | | | |
Adrian Rawcliffe(5)
|
| | | | 20,343,080 | | | | | | 1.33 | | |
Helen Tayton-Martin(6)
|
| | | | 12,984,350 | | | | | | * | | |
William Bertrand(7)
|
| | | | 9,497,212 | | | | | | * | | |
Gavin Wood(8)
|
| | | | 5,967,870 | | | | | | * | | |
Elliot Norry, M.D.(9)
|
| | | | 4,097,928 | | | | | | * | | |
Ali Behbahani, M.D.(10)
|
| | | | 104,824,613 | | | | | | 6.84 | | |
Garry Menzel(11)
|
| | | | 14,229,810 | | | | | | * | | |
Lawrence M. Alleva(12)
|
| | | | 3,048,864 | | | | | | * | | |
David M. Mott(13)
|
| | | | 3,002,163 | | | | | | * | | |
John Furey(14)
|
| | | | 1,600,748 | | | | | | * | | |
Andrew Allen(15)
|
| | | | 411,064 | | | | | | * | | |
Priti Hegde(16)
|
| | | | 349,423 | | | | | | * | | |
Kristen Hege(17)
|
| | | | — | | | | | | — | | |
Executive Officers | | | | | | | | | | | | | |
John Lunger(18)
|
| | | | 6,043,168 | | | | | | * | | |
Joanna Brewer, Ph.D(19)
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| | | | 2,868,542 | | | | | | * | | |
Cintia Piccina(20)
|
| | | | 1,451,802 | | | | | | * | | |
Named Executive Officers, Directors and Executives as a Group (16 persons)
|
| | | | 190,720,637 | | | | | | 12.44 | | |
| | |
2023 Cash
Compensation |
| |||
Board of Directors
|
| | | $ | 40,000 | | |
Chairman (additional retainer)
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| | | $ | 35,000 | | |
Audit Committee Chair (additional retainer)
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| | | $ | 20,000 | | |
Remuneration Committee Chair (additional retainer)
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| | | $ | 15,000 | | |
Corporate Governance and Nominating Committee Chair (additional retainer)
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| | | $ | 10,000 | | |
Audit Committee member/non-Chair (additional retainer)
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| | | $ | 10,000 | | |
Remuneration Committee member/non-Chair (additional retainer)
|
| | | $ | 7,500 | | |
Corporate Governance and Nominating Committee member/non-Chair (additional
retainer) |
| | | $ | 5,000 | | |
Name
|
| |
Fees Earned
or paid in cash $ |
| |
Option
awards ($)(1) |
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Total ($)
|
| |||||||||
David M. Mott(2)
|
| | | | — | | | | | | 174,831 | | | | | | 174,831 | | |
Andrew Allen(3)
|
| | | | 23,750 | | | | | | 59,754 | | | | | | 83,504 | | |
Lawrence Alleva(4)
|
| | | | — | | | | | | 128,800 | | | | | | 128,800 | | |
Ali Behbahani(5)
|
| | | | — | | | | | | 111,539 | | | | | | 111,539 | | |
Barbara Duncan(6)
|
| | | | 20,833 | | | | | | — | | | | | | 20,833 | | |
John Furey(7)
|
| | | | 57,500 | | | | | | 59,754 | | | | | | 117,254 | | |
Priti Hegde(8)
|
| | | | 22,500 | | | | | | 59,754 | | | | | | 82,254 | | |
Kristen Hege(9)
|
| | | | 6,667 | | | | | | 65,967 | | | | | | 72,634 | | |
Garry Menzel(10)
|
| | | | — | | | | | | 117,293 | | | | | | 117,293 | | |
James Noble(11)
|
| | | | — | | | | | | — | | | | | | — | | |
Elliott Sigal(12)
|
| | | | — | | | | | | 111,539 | | | | | | 111,539 | | |
Tal Zaks(13)
|
| | | | 11,875 | | | | | | — | | | | | | 11,875 | | |
Name
|
| |
Age
|
| |
Position
|
|
Adrian Rawcliffe | | |
52
|
| | Chief Executive Officer and Director | |
Gavin Wood | | |
54
|
| | Chief Financial Officer | |
Helen Tayton-Martin, Ph.D | | |
57
|
| | Chief Business & Strategy Officer | |
William Bertrand | | |
59
|
| | Chief Operating Officer | |
John Lunger | | |
55
|
| | Chief Patient Supply Officer | |
Elliot Norry, M.D | | |
61
|
| | Chief Medical Officer | |
Joanna Brewer, Ph.D | | |
48
|
| | Chief Scientific Officer | |
Cintia Piccina | | |
51
|
| | Chief Commercial Officer | |
|
2023/24
|
| |
2022/2023
|
|
|
Agenus Inc.
|
| |
Achilles Therapeutics plc
|
|
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Allogene Therapeutics, Inc.
|
| |
Agenus Inc.
|
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|
Atara Biotherapeutics, Inc.
|
| |
Atara Biotherapeutics, Inc.
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Autolus Therapeutics plc
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| |
Autolus Therapeutics plc
|
|
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Bicycle Therapeutics plc
|
| |
Bicycle Therapeutics plc
|
|
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bluebird bio, Inc.
|
| |
bluebird bio, Inc.
|
|
|
Caribou Biosciences, Inc.
|
| |
Immunocore Holding plc
|
|
|
Century Therapeutics, Inc.
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| |
ImmunoGen, Inc.
|
|
|
Fate Therapeutics, Inc.
|
| |
Inovio Pharmaceuticals, Inc.
|
|
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Inovio Pharmaceuticals, Inc.
|
| |
Instil Bio, Inc.
|
|
|
Instil Bio, Inc.
|
| |
MacroGenics, Inc.
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|
Lyell Immunopharma, Inc.
|
| |
Nkarta, Inc.
|
|
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MacroGenics, Inc.
|
| |
Oxford Biomedica plc
|
|
|
2023/24
|
| |
2022/2023
|
|
|
Nkarta, Inc.
|
| |
Poseida Therapeutics, Inc.
|
|
|
Oxford Biomedica plc
|
| |
Precigen, Inc.
|
|
|
Poseida Therapeutics, Inc.
|
| |
Precision Biosciences, Inc.
|
|
|
Precigen, Inc.
|
| |
Replimune Group, Inc.
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|
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Precision Biosciences, Inc.
|
| |
Sana Biotechnology, Inc.
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|
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Sana Biotechnology, Inc.
|
| |
Sangamo Therapeutics, Inc.
|
|
|
Sangamo Therapeutics, Inc.
|
| |
TCR2 Therapeutics, Inc.
|
|
|
Vor Biopharma, Inc.
|
| | | |
Name
|
| |
2023 Annual
Base Salary ($) |
| |
2022 Annual
Base Salary ($) |
| |
% Increase
|
| |||||||||
Adrian Rawcliffe
|
| | | | 650,000 | | | | | | 650,000 | | | | | | — | | |
Gavin Wood(1)
|
| | | | 441,402 | | | | | | 441,402 | | | | | | — | | |
William Bertrand
|
| | | | 468,179 | | | | | | 468,179 | | | | | | — | | |
Helen Tayton-Martin(1)
|
| | | | 449,004 | | | | | | 449,004 | | | | | | — | | |
Elliot Norry
|
| | | | 446,355 | | | | | | 446,355 | | | | | | — | | |
Name
|
| |
2023 Target
Annual Cash Bonus Opportunity % |
| |
2023 Target
Annual Cash Bonus Opportunity ($) |
| ||||||
Adrian Rawcliffe
|
| | | | 60% | | | | | | 390,000 | | |
Gavin Wood(1)
|
| | | | 45% | | | | | | 198,631 | | |
William Bertrand
|
| | | | 45% | | | | | | 210,681 | | |
Helen Tayton-Martin(1)
|
| | | | 45% | | | | | | 202,052 | | |
Elliot Norry
|
| | | | 45% | | | | | | 200,860 | | |
Name
|
| |
2023 Target
Annual Cash Bonus Opportunity ($) |
| |
2023 Actual Cash
Bonus Payment ($) |
| ||||||
Adrian Rawcliffe
|
| | | | 390,000 | | | | | | 370,500 | | |
Gavin Wood(1)
|
| | | | 198,631 | | | | | | 188,700 | | |
William Bertrand
|
| | | | 210,681 | | | | | | 200,147 | | |
Helen Tayton-Martin(1)
|
| | | | 202,052 | | | | | | 191,949 | | |
Elliot Norry
|
| | | | 200,860 | | | | | | 190,817 | | |
Named Executive Officer
|
| |
Options for
ordinary shares (#) |
| |
RSU-Style
Options for ordinary shares (#) |
| |
Equity Awards
(Aggregate Grant Date Fair Value) ($) |
| |||||||||
Adrian Rawcliffe
|
| | | | 4,690,224 | | | | | | 1,798,272 | | | | | | 1,716,163 | | |
Gavin Wood
|
| | | | 1,407,072 | | | | | | 507,984 | | | | | | 504,895 | | |
William Bertrand
|
| | | | 1,407,072 | | | | | | 517,056 | | | | | | 507,762 | | |
Helen Tayton-Martin
|
| | | | 1,407,072 | | | | | | 511,320 | | | | | | 505,950 | | |
Elliot Norry
|
| | | | 1,407,072 | | | | | | 507,600 | | | | | | 504,774 | | |
| | |
Ordinary Shares Beneficially
Owned as of December 31, 2023 |
| ||||||
Named Executive Officer
|
| |
Number(1)
|
| |
Value(2)
|
| |||
Adrian Rawcliffe
|
| | | | 972,426 | | | |
0.20 x base salary
|
|
Gavin Wood
|
| | | | 719,670 | | | |
0.22 x base salary
|
|
William Bertrand
|
| | | | 691,026 | | | |
0.20 x base salary
|
|
Helen Tayton-Martin
|
| | | | 2,588,964 | | | |
0.76 x base salary
|
|
Elliot Norry
|
| | | | 277,728 | | | |
0.08 x base salary
|
|
| | | |
The Remuneration Committee of the Board of Directors
|
|
| | | |
David M. Mott, Chairman
Andrew Allen John Furey |
|
Name and Principal Position
|
| |
Year
|
| |
Salary
($) |
| |
Option
awards ($)(3) |
| |
Non-equity
incentive plan compensation ($)(4) |
| |
All other
compensation ($)(5) |
| |
Total
($) |
| ||||||||||||||||||
Adrian Rawcliffe(1)
Chief Executive Officer
|
| | | | 2023 | | | | | | 650,000 | | | | | | 1,716,163 | | | | | | 370,500 | | | | | | 37,378 | | | | | | 2,774,041 | | |
| | | 2022 | | | | | | 650,000 | | | | | | 2,714,882 | | | | | | — | | | | | | 43,645 | | | | | | 3,408,527 | | | ||
| | | 2021 | | | | | | 617,050 | | | | | | 3,207,291 | | | | | | 351,719 | | | | | | 38,941 | | | | | | 4,215,001 | | | ||
Gavin Wood(2)
Chief Financial Officer
|
| | | | 2023 | | | | | | 441,402 | | | | | | 504,895 | | | | | | 188,700 | | | | | | 36,242 | | | | | | 1,171,239 | | |
| | | 2022 | | | | | | 441,402 | | | | | | 814,474 | | | | | | 59,589 | | | | | | 33,614 | | | | | | 1,349,078 | | | ||
| | | 2021 | | | | | | 430,636 | | | | | | 1,069,101 | | | | | | 184,097 | | | | | | 33,238 | | | | | | 1,717,072 | | | ||
William Bertrand
Chief Operating Officer
|
| | | | 2023 | | | | | | 468,179 | | | | | | 507,762 | | | | | | 200,147 | | | | | | 39,012 | | | | | | 1,215,100 | | |
| | | 2022 | | | | | | 468,179 | | | | | | 814,474 | | | | | | 63,204 | | | | | | 42,415 | | | | | | 1,388,271 | | | ||
| | | 2021 | | | | | | 456,760 | | | | | | 1,069,101 | | | | | | 195,265 | | | | | | 35,062 | | | | | | 1,756,188 | | | ||
Helen Tayton-Martin
Chief Business & Strategy Officer
|
| | | | 2023 | | | | | | 449,004 | | | | | | 505,950 | | | | | | 191,949 | | | | | | 36,451 | | | | | | 1,183,352 | | |
| | | 2022 | | | | | | 449,004 | | | | | | 814,474 | | | | | | 60,615 | | | | | | 36,201 | | | | | | 1,360,293 | | | ||
| | | 2021 | | | | | | 438,052 | | | | | | 1,069,101 | | | | | | 187,267 | | | | | | 44,232 | | | | | | 1,738,652 | | | ||
Elliot Norry
Chief Medical Officer
|
| | | | 2023 | | | | | | 446,355 | | | | | | 504,774 | | | | | | 190,817 | | | | | | 39,022 | | | | | | 1,180,968 | | |
| | | 2022 | | | | | | 446,355 | | | | | | 1,221,696 | | | | | | 60,258 | | | | | | 42,436 | | | | | | 1,770,746 | | | ||
| | | 2021 | | | | | | 425,100 | | | | | | 1,069,101 | | | | | | 181,730 | | | | | | 35,062 | | | | | | 1,710,993 | | |
Named Executive Officer
|
| |
401(k) Matching
Contributions ($) |
| |
Pension
Allowance Payment ($) |
| |
Medical, Dental
and Life, Insurance ($) |
| |
Tax Planning
Reimbursement ($) |
| |
Total All Other
Compensation ($) |
| |||||||||||||||
Adrian Rawcliffe
|
| | | | 15,250 | | | | | | — | | | | | | 18,579 | | | | | | 3,549 | | | | | | 37,378 | | |
Gavin Wood
|
| | | | — | | | | | | 26,484 | | | | | | 9,758 | | | | | | — | | | | | | 36,242 | | |
William Bertrand
|
| | | | 15,250 | | | | | | — | | | | | | 23,762 | | | | | | — | | | | | | 39,012 | | |
Helen Tayton-Martin
|
| | | | — | | | | | | 26,939 | | | | | | 9,511 | | | | | | — | | | | | | 36,451 | | |
Elliot Norry
|
| | | | 15,250 | | | | | | — | | | | | | 23,772 | | | | | | — | | | | | | 39,022 | | |
Name
|
| |
First date some
or all options are exercisable(1) |
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable(2) |
| |
Number of
Securities Underlying Unexercised Options(#) Unexercisable(2) |
| |
Option
Exercise Price ($/Sh)(3) |
| |
Option
Expiration Date |
| |||||||||||||||
Adrian Rawcliffe
|
| | | | 03/16/2016(4) | | | | | | 3,000,000 | | | | | | 0 | | | | | | 0.64 | | | | | | 03/16/2025 | | |
| | | 01/18/2017(4) | | | | | | 939,948 | | | | | | 0 | | | | | | 1.13 | | | | | | 01/18/2026 | | | ||
| | | 01/13/2018(4) | | | | | | 2,072,976 | | | | | | 0 | | | | | | 0.75 | | | | | | 01/13/2027 | | | ||
| | | 01/12/2019(4) | | | | | | 687,984 | | | | | | 0 | | | | | | 1.22 | | | | | | 01/12/2028 | | | ||
| | | 01/04/2020(4) | | | | | | 1,257,744 | | | | | | 0 | | | | | | 0.89 | | | | | | 01/04/2029 | | | ||
| | | 06/27/2020(4) | | | | | | 628,872 | | | | | | 0 | | | | | | 0.67 | | | | | | 06/27/2029 | | | ||
| | | 09/01/2020(4) | | | | | | 628,872 | | | | | | 0 | | | | | | 0.28 | | | | | | 09/01/2029 | | | ||
| | | 01/16/2021 | | | | | | 2,463,129 | | | | | | 52,407 | | | | | | 0.73 | | | | | | 01/16/2030 | | | ||
| | | 01/16/2021 | | | | | | 0 | | | | | | 140,448 | | | | | | 0.0013 | | | | | | 01/16/2030 | | | ||
| | | 01/11/2022 | | | | | | 0 | | | | | | 364,080 | | | | | | 0.0013 | | | | | | 01/11/2031 | | | ||
| | | 01/11/2022 | | | | | | 2,377,375 | | | | | | 883,025 | | | | | | 0.97 | | | | | | 01/11/2031 | | | ||
| | | 01/12/2023 | | | | | | 0 | | | | | | 785,610 | | | | | | 0.0013 | | | | | | 01/12/2032 | | | ||
| | | 01/12/2023 | | | | | | 2,247,366 | | | | | | 2,442,858 | | | | | | 0.56 | | | | | | 01/12/2032 | | | ||
| | | 01/17/2024 | | | | | | 0 | | | | | | 4,690,224 | | | | | | 0.33 | | | | | | 01/17/2033 | | | ||
| | | 01/17/2024 | | | | | | 0 | | | | | | 1,798,272 | | | | | | 0.0013 | | | | | | 01/17/2033 | | | ||
Gavin Wood
|
| | | | 04/01/2021 | | | | | | 2,291,560 | | | | | | 208,440 | | | | | | 0.46 | | | | | | 04/01/2030 | | |
| | | 04/01/2021 | | | | | | 423,750 | | | | | | 141,250 | | | | | | 0.0013 | | | | | | 04/01/2030 | | | ||
| | | 01/11/2022 | | | | | | 121,356 | | | | | | 121,356 | | | | | | 0.0013 | | | | | | 01/11/2031 | | | ||
| | | 01/11/2022 | | | | | | 792,470 | | | | | | 294,346 | | | | | | 0.97 | | | | | | 01/11/2031 | | | ||
| | | 01/12/2023 | | | | | | 78,564 | | | | | | 235,692 | | | | | | 0.0013 | | | | | | 01/12/2032 | | | ||
| | | 01/12/2023 | | | | | | 674,178 | | | | | | 732,894 | | | | | | 0.56 | | | | | | 01/12/2032 | | | ||
| | | 01/17/2024 | | | | | | 0 | | | | | | 1,407,072 | | | | | | 0.33 | | | | | | 01/17/2033 | | | ||
| | | 01/17/2024 | | | | | | 0 | | | | | | 314,256 | | | | | | 0.0013 | | | | | | 01/17/2033 | | | ||
| | | 01/17/2024 | | | | | | 0 | | | | | | 193,728 | | | | | | 0.0013 | | | | | | 01/17/2033 | | | ||
William Bertrand
|
| | | | 03/15/2018(4) | | | | | | 3,407,904 | | | | | | 0 | | | | | | 0.83 | | | | | | 03/15/2027 | | |
| | | 01/12/2019(4) | | | | | | 644,976 | | | | | | 0 | | | | | | 1.22 | | | | | | 01/12/2028 | | | ||
| | | 01/04/2020(4) | | | | | | 1,006,224 | | | | | | 0 | | | | | | 0.89 | | | | | | 01/04/2029 | | | ||
| | | 01/16/2021 | | | | | | 1,231,541 | | | | | | 26,203 | | | | | | 0.73 | | | | | | 01/16/2030 | | | ||
| | | 01/16/2021 | | | | | | 0 | | | | | | 70,224 | | | | | | 0.0013 | | | | | | 01/16/2030 | | | ||
| | | 01/11/2022 | | | | | | 0 | | | | | | 121,356 | | | | | | 0.0013 | | | | | | 01/11/2031 | | | ||
| | | 01/11/2022 | | | | | | 792,470 | | | | | | 294,346 | | | | | | 0.97 | | | | | | 01/11/2031 | | | ||
| | | 01/12/2023 | | | | | | 0 | | | | | | 235,692 | | | | | | 0.0013 | | | | | | 01/12/2032 | | | ||
| | | 01/12/2023 | | | | | | 674,178 | | | | | | 732,894 | | | | | | 0.56 | | | | | | 01/12/2032 | | | ||
| | | 01/17/2024 | | | | | | 0 | | | | | | 1,407,072 | | | | | | 0.33 | | | | | | 01/17/2033 | | |
Name
|
| |
First date some
or all options are exercisable(1) |
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable(2) |
| |
Number of
Securities Underlying Unexercised Options(#) Unexercisable(2) |
| |
Option
Exercise Price ($/Sh)(3) |
| |
Option
Expiration Date |
| |||||||||||||||
Helen Tayton-Martin
|
| | | | 12/19/2015(4) | | | | | | 1,750,000 | | | | | | 0 | | | | | | 0.4529 | | | | | | 12/19/2024 | | |
| | | 01/18/2017(4) | | | | | | 939,948 | | | | | | 0 | | | | | | 1.13 | | | | | | 01/18/2026 | | | ||
| | | 01/13/2018(4) | | | | | | 2,072,976 | | | | | | 0 | | | | | | 0.75 | | | | | | 01/13/2027 | | | ||
| | | 01/12/2019(4) | | | | | | 687,984 | | | | | | 0 | | | | | | 1.22 | | | | | | 01/12/2028 | | | ||
| | | 01/12/2019(4) | | | | | | 153,648 | | | | | | 0 | | | | | | 0.0013 | | | | | | 01/12/2028 | | | ||
| | | 01/04/2020(4) | | | | | | 224,724 | | | | | | 0 | | | | | | 0.0013 | | | | | | 01/04/2029 | | | ||
| | | 01/04/2020(4) | | | | | | 1,006,224 | | | | | | 0 | | | | | | 0.89 | | | | | | 01/04/2029 | | | ||
| | | 01/16/2021 | | | | | | 1,231,541 | | | | | | 26,203 | | | | | | 0.73 | | | | | | 01/16/2030 | | | ||
| | | 01/16/2021 | | | | | | 210,672 | | | | | | 70,224 | | | | | | 0.0013 | | | | | | 01/16/2030 | | | ||
| | | 01/11/2022 | | | | | | 121,356 | | | | | | 121,356 | | | | | | 0.0013 | | | | | | 01/11/2031 | | | ||
| | | 01/11/2022 | | | | | | 792,470 | | | | | | 294,346 | | | | | | 0.97 | | | | | | 01/11/2031 | | | ||
| | | 01/12/2023 | | | | | | 78,564 | | | | | | 235,692 | | | | | | 0.0013 | | | | | | 01/12/2032 | | | ||
| | | 01/12/2023 | | | | | | 674,178 | | | | | | 732,894 | | | | | | 0.56 | | | | | | 01/12/2032 | | | ||
| | | 01/17/2024 | | | | | | 0 | | | | | | 1,407,072 | | | | | | 0.33 | | | | | | 01/17/2033 | | | ||
| | | 01/17/2024 | | | | | | 0 | | | | | | 314,256 | | | | | | 0.0013 | | | | | | 01/17/2033 | | | ||
| | | 01/17/2024 | | | | | | 0 | | | | | | 197,064 | | | | | | 0.0013 | | | | | | 01/17/2033 | | | ||
Elliot Norry
|
| | | | 01/18/2017(4) | | | | | | 200,000 | | | | | | 0 | | | | | | 1.13 | | | | | | 01/18/2026 | | |
| | | 01/13/2018(4) | | | | | | 63,024 | | | | | | 0 | | | | | | 0.75 | | | | | | 01/13/2027 | | | ||
| | | 07/07/2018(4) | | | | | | 300,000 | | | | | | 0 | | | | | | 0.79 | | | | | | 07/07/2027 | | | ||
| | | 01/12/2019(4) | | | | | | 79,824 | | | | | | 0 | | | | | | 1.22 | | | | | | 01/12/2028 | | | ||
| | | 01/04/2020(4) | | | | | | 79,824 | | | | | | 0 | | | | | | 0.89 | | | | | | 01/04/2029 | | | ||
| | | 01/16/2021 | | | | | | 197,400 | | | | | | 4,200 | | | | | | 0.73 | | | | | | 01/16/2030 | | | ||
| | | 01/16/2021 | | | | | | 0 | | | |