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YOUR VOTE IS IMPORTANT
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You are cordially invited to attend the meeting in person. Whether or not you expect to attend the meeting, please vote as soon as possible in order to ensure your representation at the meeting. You may submit your proxy and voting instructions over the Internet, by telephone, or by completing, signing, dating and returning the accompanying proxy card or voter information form as promptly as possible. Even if you have voted by proxy, you may still vote in person if you attend the meeting. Please note, however, that if your shares are held of record by a broker, bank or other custodian, nominee, trustee or fiduciary and you wish to vote at the meeting, you must obtain a proxy issued in your name from that record holder.
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Important Notice Regarding the Availability of Proxy Materials for the Annual Meeting of Stockholders to be held on May 17, 2016
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The Securities and Exchange Commission’s “Notice and Access” rule provides that companies must include in their mailed proxy materials instructions as to how stockholders can access Amyris’ annual report and proxy statement and other soliciting materials online, a listing of matters to be considered at the relevant stockholder meeting, and instructions as to how shares can be voted. Since we are mailing full sets of proxy materials for the 2016 annual meeting to our stockholders, as permitted by SEC proxy rules, we are including the information required by the Notice and Access rule in this Proxy Statement and in the accompanying Notice of Annual Meeting of Stockholders and proxy card, and we are not distributing a separate Notice of Internet Availability of Proxy Materials.
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The proxy materials, including this Proxy Statement and our annual report to stockholders, and a means to vote your shares are available at http://www.allianceproxy.com/Amyris/2016. You will need to enter the 12-digit control number located on the proxy card accompanying this Proxy Statement in order to view the materials and vote.
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Name
|
| |
Age
|
| |
Amyris Offices and Positions
|
|
Philippe Boisseau | | |
54
|
| | Director | |
John Doerr | | |
64
|
| | Director, Chair of Nominating and Governance Committee and Member of Leadership Development and Compensation Committee | |
Patrick Yang, Ph.D. | | |
68
|
| | Director | |
Name
|
| |
Age
|
| |
Amyris Offices and Positions
|
|
Geoffrey Duyk, M.D., Ph.D. | | |
56
|
| | Director, Member of Audit Committee, Interim Chairman of the Board | |
Carole Piwnica | | |
58
|
| | Director, Chair of Leadership Development and Compensation Committee and Member of Nominating and Governance Committee | |
Fernando de Castro Reinach, Ph.D. | | |
59
|
| | Director, Member of Audit Committee | |
HH Sheikh Abdullah bin Khalifa Al Thani | | |
56
|
| | Director | |
Name
|
| |
Age
|
| |
Amyris Offices and Positions
|
|
Margaret Georgiadis | | |
52
|
| | Director | |
Abraham Klaeijsen | | |
63
|
| | Director | |
John Melo | | |
50
|
| | Director, President and Chief Executive Officer | |
R. Neil Williams | | |
63
|
| | Director, Chair of Audit Committee | |
Member of the Board in 2015
|
| |
Board
|
| |
Audit
Committee |
| |
Leadership
Development and Compensation Committee |
| |
Nominating
and Governance Committee |
|
Philippe Boisseau(1)
|
| |
X
|
| | | | | | | | | |
Nam-Hai Chua, Ph.D.(2)
|
| |
X
|
| | | | |
X
|
| | | |
John Doerr
|
| |
X
|
| | | | |
X
|
| |
Chair
|
|
Geoffrey Duyk, M.D., Ph.D.
|
| |
Chair
|
| |
X
|
| | | | | | |
Margaret Georgiadis(3)
|
| |
X
|
| | | | | | | | | |
Abraham (Bram) Klaeijsen(4)
|
| |
X
|
| | | | | | | | | |
John Melo
|
| |
X
|
| | | | | | | | | |
Carole Piwnica
|
| |
X
|
| | | | |
Chair
|
| |
X
|
|
Fernando de Castro Reinach, Ph.D.
|
| |
X
|
| |
X
|
| | | | | | |
HH Sheikh Abdullah bin Khalifa Al Thani(5)
|
| |
X
|
| | | | | | | | | |
R. Neil Williams
|
| |
X
|
| |
Chair
|
| | | | | | |
Patrick Yang, Ph.D.
|
| |
X
|
| | | | | | | | | |
Total meetings in 2015(6)
|
| |
11
|
| |
12
|
| |
6
|
| |
2
|
|
| | |
Fiscal Year Ended
|
| |||||||||
Fee Category
|
| |
2015
|
| |
2014
|
| ||||||
Audit Fees
|
| | | $ | 1,444 | | | | | $ | 1,233 | | |
Audit-Related Fees
|
| | | | 269 | | | | | | 290 | | |
Tax Fees
|
| | | | 35 | | | | | | 9 | | |
All Other Fees
|
| | | | — | | | | | | — | | |
Total Fees
|
| | | $ | 1,748 | | | | | $ | 1,532 | | |
|
Name and Address of Beneficial Owner
|
| |
Number of Shares
Beneficially Owned (#) |
| |
Percent
of Class (%) |
| ||||||
5% Stockholders | | | | ||||||||||
Total Energies Nouvelles Activités USA (f.k.a. Total Gas & Power USA, SAS)(1)
|
| | | | 80,187,442 | | | | | | 36.0 | | |
Maxwell (Mauritius) Pte Ltd.(2)
|
| | | | 72,389,780 | | | | | | 34.5 | | |
Entities affiliated with FMR LLC(3)
|
| | | | 17,868,953 | | | | | | 8.0 | | |
Foris Ventures, LLC(4)
|
| | | | 15,133,732 | | | | | | 7.2 | | |
Directors and Named Executive Officers | | | | ||||||||||
John Melo(5)
|
| | | | 2,187,399 | | | | | | 1.0 | | |
Philippe Boisseau(1)(6)
|
| | | | 80,187,442 | | | | | | 36.0 | | |
John Doerr(4)(7)
|
| | | | 19,138,452 | | | | | | 9.2 | | |
Geoffrey Duyk(8)
|
| | | | 50,000 | | | | | | * | | |
Margaret Georgiadis(9)
|
| | | | 53,750 | | | | | | * | | |
Abraham Klaeijsen(2)(10)
|
| | | | 8,000 | | | | | | * | | |
Carole Piwnica(11)
|
| | | | 59,000 | | | | | | * | | |
Fernando de Castro Reinach(12)
|
| | | | 229,397 | | | | | | * | | |
Name and Address of Beneficial Owner
|
| |
Number of Shares
Beneficially Owned (#) |
| |
Percent
of Class (%) |
| ||||||
HH Sheikh Abdullah bin Khalifa Al Thani(13)
|
| | | | 7,534,601 | | | | | | 3.6 | | |
R. Neil Williams(14)
|
| | | | 39,333 | | | | | | * | | |
Patrick Yang(15)
|
| | | | 173,666 | | | | | | * | | |
Raffi Asadorian(16)
|
| | | | 293,750 | | | | | | * | | |
Joel Cherry(17)
|
| | | | 862,837 | | | | | | * | | |
Paulo Diniz(18)
|
| | | | 427,918 | | | | | | * | | |
Nicholas Khadder(19)
|
| | | | 440,671 | | | | | | * | | |
Susanna McFerson(20)
|
| | | | 600 | | | | | | * | | |
All Directors and Executive Officers as a Group (16 Persons)(21)
|
| | | | 111,686,816 | | | | | | 48.7 | | |
Plan category
|
| |
Number of
securities to be issued upon exercise of outstanding options, warrants and rights |
| |
Weighted-average
exercise price of outstanding options, warrants and rights |
| |
Number of
securities to be issued upon vesting of outstanding restricted stock units |
| |
Weighted-average
exercise price of outstanding restricted stock units |
| |
Number of
securities remaining available for future issuance under equity compensation plans(1)(2) |
| |||||||||||||||
Equity compensation plans approved by security holders
|
| | | | 12,870,112 | | | | | $ | 4.77 | | | | | | 5,554,844 | | | | | $ | 0.00 | | | | | | 3,054,900 | | |
Equity compensation plans not approved by security
holders |
| | | | 60,000(3) | | | | | $ | 3.93 | | | | | | — | | | | | $ | 0.00 | | | | | | — | | |
Total
|
| | | | 12,930,112 | | | | | $ | 4.77 | | | | | | 5,554,844 | | | | | $ | 0.00 | | | | | | 3,054,900 | | |
|
Name
|
| |
Target Bonus
($) |
| |||
John Melo
|
| | | | 450,000 | | |
Raffi Asadorian
|
| | | | 150,000 | | |
Paulo Diniz(1)
|
| | | | 200,000 | | |
Joel Cherry
|
| | | | 126,000 | | |
Nicholas Khadder
|
| | | | 100,000 | | |
Susanna McFerson(2)
|
| | | | — | | |
Company Performance Goal
|
| |
Weight
|
| |
Weighted
Achievement Level |
| |
Funding Level
|
| |||||||||
Q1 | | | | | |||||||||||||||
Renewable Product Revenue and Collaboration Inflows
|
| | | | 55% | | | | | | 56.71% | | | | |||||
Cash Opex
|
| | | | 45% | | | | | | 45.04% | | | | |||||
Brotas unit cash production costs: Farnesene
|
| | | | 0% | | | | | | N/A | | | | |||||
Brotas unit cash production costs: Fragrance molecule
|
| | | | 0% | | | | | | N/A | | | | |||||
Total Q1
|
| | | | 100.0% | | | | | | 101.75% | | | | | | 100%(1) | | |
Q2 | | | | | |||||||||||||||
Renewable Product Revenue and Collaboration Inflows
|
| | | | 40% | | | | | | 0% | | | | |||||
Cash Opex
|
| | | | 30% | | | | | | 29.8% | | | | |||||
Brotas unit cash production costs: Farnesene
|
| | | | 30% | | | | | | 26.1% | | | | |||||
Brotas unit cash production costs: Fragrance molecule
|
| | | | 0% | | | | | | N/A | | | | |||||
Total Q2
|
| | | | 100.0% | | | | | | 55.9% | | | | | | 0%(2) | | |
|
Company Performance Goal
|
| |
Weight
|
| |
Weighted
Achievement Level |
| |
Funding Level
|
| |||||||||
Q3 | | | | | |||||||||||||||
Renewable Product Revenue and Collaboration Inflows
|
| | | | 40% | | | | | | 21.51% | | | | | | | | |
Cash Opex
|
| | | | 30% | | | | | | 31.50% | | | | | | | | |
Brotas unit cash production costs: Farnesene
|
| | | | 15% | | | | | | 20.55% | | | | | | | | |
Brotas unit cash production costs: Fragrance molecule
|
| | | | 15% | | | | | | 0% | | | | | | | | |
Total Q3
|
| | | | 100.0% | | | | | | 73.56% | | | | | | 77.93%(3) | | |
Q4 | | | | | |||||||||||||||
Renewable Product Revenue and Collaboration Inflows
|
| | | | 55% | | | | | | 0% | | | | |||||
Cash Opex
|
| | | | 45% | | | | | | 40.48% | | | | |||||
Brotas unit cash production costs: Farnesene
|
| | | | 0% | | | | | | N/A | | | | |||||
Brotas unit cash production costs: Fragrance molecule
|
| | | | 0% | | | | | | N/A | | | | |||||
Total Q4
|
| | | | 100.0% | | | | | | 40.48% | | | | | | 0%(4) | | |
ANNUAL | | | | | |||||||||||||||
Renewable Product Revenue and Collaboration Inflows
|
| | | | 40% | | | | | | 21.83% | | | | |||||
Cash Opex
|
| | | | 30% | | | | | | 29.55% | | | | |||||
Brotas unit cash production costs: Farnesene
|
| | | | 28.4% | | | | | | 25.13% | | | | |||||
Brotas unit cash production costs: Fragrance molecule
|
| | | | 1.6% | | | | | | 0% | | | | |||||
Total Annual
|
| | | | 100.0% | | | | | | 76.51% | | | | | | 76.51% | | |
|
Name
|
| |
2015 Cumulative
Quarterly Bonus Payouts ($) |
| |
2015 Annual
Portion Bonus Payout ($) |
| |
2015 Aggregate
Annual and Quarterly Bonus Payouts ($) |
| |
Annual Bonus
Target ($) |
| |
2015 Actual
Bonus Earned as a % of Target Bonus |
| |||||||||||||||
John Melo
|
| | | | 100,086 | | | | | | 172,148 | | | | | | 272,234 | | | | | | 450,000 | | | | | | 60 | | |
Raffi Asadorian
|
| | | | 33,362 | | | | | | 35,000 | | | | | | 68,362 | | | | | | 150,000 | | | | | | 46 | | |
Paulo Diniz(1)
|
| | | | 25,000 | | | | | | — | | | | | | 25,000 | | | | | | 200,000 | | | | | | 13 | | |
Joel Cherry
|
| | | | 28,024 | | | | | | 50,000 | | | | | | 78,024 | | | | | | 126,000 | | | | | | 62 | | |
Nicholas Khadder
|
| | | | 22,241 | | | | | | 38,255 | | | | | | 60,496 | | | | | | 100,000 | | | | | | 60 | | |
Susanna McFerson(2)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Name and Principal Position
|
| |
Year
|
| |
Salary ($)
|
| |
Stock
Awards ($)(2) |
| |
Option
Awards ($)(2) |
| |
Non-Equity
Incentive Plan Compensation ($)(1) |
| |
All Other
Compensation ($) |
| |
Total ($)
|
| |||||||||||||||||||||
John Melo
President and Chief Executive Officer |
| | | | 2015 | | | | | | 550,000 | | | | | | 1,322,000 | | | | | | 1,036,275 | | | | | | 272,234 | | | | | | 758(3) | | | | | | 3,181,267 | | |
| | | 2014 | | | | | | 550,000 | | | | | | 1,053,000 | | | | | | 701,160 | | | | | | 359,888 | | | | | | 405(4) | | | | | | 2,664,453 | | | ||
| | | 2013 | | | | | | 550,000 | | | | | | 685,930 | | | | | | 728,065 | | | | | | 150,000 | | | | | | — | | | | | | 2,113,995 | | | ||
Raffi Asadorian
Chief Financial Officer |
| | | | 2015 | | | | | | 445,096(5) | | | | | | 350,000 | | | | | | 340,890 | | | | | | 68,362 | | | | | | 53,842(6) | | | | | | 1,258,190 | | |
Paulo Diniz(7)
Former Interim Chief Financial Officer |
| | | | 2015 | | | | | | 199,713(8)(9) | | | | | | — | | | | | | — | | | | | | 18,371 | | | | | | 105,297(10) | | | | | | 323,381 | | |
| | | 2014 | | | | | | 361,900(8) | | | | | | 164,970 | | | | | | 161,267 | | | | | | 133,304 | | | | | | 541,467(11) | | | | | | 1,362,908 | | | ||
| | | 2013 | | | | | | 377,861(8) | | | | | | 261,800 | | | | | | 121,008 | | | | | | 85,000 | | | | | | 5,081(12) | | | | | | 850,750 | | | ||
Joel Cherry
President, Research and Development |
| | | | 2015 | | | | | | 358,750 | | | | | | 336,628 | | | | | | 261,173 | | | | | | 78,024 | | | | | | 2,460(13)(14) | | | | | | 1,037,035 | | |
| | | 2014 | | | | | | 358,750 | | | | | | 322,920 | | | | | | 215,022 | | | | | | 104,518 | | | | | | 2,460(13)(14) | | | | | | 1,003,670 | | | ||
| | | 2013 | | | | | | 358,750 | | | | | | 318,570 | | | | | | 340,839 | | | | | | 120,000 | | | | | | 1,020(13) | | | | | | 1,139,179 | | | ||
Susanna McFerson
Former Chief Business Officer |
| | | | 2015 | | | | | | 17,067(15) | | | | | | — | | | | | | — | | | | | | — | | | | | | 418,081(16) | | | | | | 435,148 | | |
| | | 2014 | | | | | | 375,000 | | | | | | 147,420 | | | | | | 142,569 | | | | | | 35,375 | | | | | | 405(4) | | | | | | 700,769 | | | ||
| | | 2013 | | | | | | 311,298(15) | | | | | | 375,700 | | | | | | 411,620 | | | | | | 35,000 | | | | | | 69,931(17) | | | | | | 1,203,549 | | | ||
Nicholas Khadder(18)
Senior Vice President and General Counsel |
| | | | 2015 | | | | | | 300,000 | | | | | | 284,020 | | | | | | 215,672 | | | | | | 60,496 | | | | | | 758(3) | | | | | | 860,946 | | |
| | | 2014 | | | | | | 300,000 | | | | | | 161,460 | | | | | | 156,592 | | | | | | 85,375 | | | | | | 405(4) | | | | | | 703,832 | | |
Name
|
| |
Grant
Date(1) |
| |
Approval
Date of Grant(1) |
| |
Estimated Possible Payouts Under
Non-Equity Incentive Plan Awards |
| |
All Other
Stock Awards: Number of Shares of Stock or Units (#)(3) |
| |
All Other
Option Awards: Number of Securities Underlying Options (#)(4) |
| |
Exercise or
Base Price of Option Awards ($/Sh)(5) |
| |
Grant
Date Fair Value of Stock and Option Awards ($)(6) |
| |||||||||||||||||||||||||||||||||
|
Threshold
($)(2) |
| |
Target
($)(2) |
| |
Maximum
($)(2) |
| |||||||||||||||||||||||||||||||||||||||||||||||
John Melo
|
| | | | — | | | | | | — | | | | | | 196,875 | | | | | | 281,250 | | | | | | 759,375 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
John Melo
|
| | | | 06/08/2015 | | | | | | 06/04/2015 | | | | | | — | | | | | | — | | | | | | — | | | | | | 425,000 | | | | | | — | | | | | | — | | | | | | 833,000 | | |
John Melo
|
| | | | 06/08/2015 | | | | | | 06/04/2015 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 425,000(7) | | | | | | 1.96 | | | | | | 546,720 | | |
John Melo
|
| | | | 11/09/2015 | | | | | | 11/06/2015 | | | | | | — | | | | | | — | | | | | | — | | | | | | 300,000 | | | | | | — | | | | | | — | | | | | | 489,000 | | |
John Melo
|
| | | | 11/09/2015 | | | | | | 11/06/2015 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 450,000(8) | | | | | | 1.63 | | | | | | 489,555 | | |
Raffi Asadorian
|
| | | | — | | | | | | — | | | | | | 65,625 | | | | | | 93,750 | | | | | | 253,125 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Raffi Asadorian
|
| | | | 01/20/2015 | | | | | | 01/15/2016 | | | | | | — | | | | | | — | | | | | | — | | | | | | 200,000 | | | | | | — | | | | | | — | | | | | | 350,000 | | |
Raffi Asadorian
|
| | | | 01/20/2015 | | | | | | 01/15/2016 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 300,000(9) | | | | | | 1.75 | | | | | | 340,890 | | |
Paulo Diniz(10)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Joel Cherry
|
| | | | — | | | | | | — | | | | | | 55,125 | | | | | | 78,750 | | | | | | 212,625 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Joel Cherry
|
| | | | 06/08/2015 | | | | | | 06/04/2015 | | | | | | — | | | | | | — | | | | | | — | | | | | | 110,000 | | | | | | — | | | | | | — | | | | | | 215,600 | | |
Joel Cherry
|
| | | | 06/08/2015 | | | | | | 06/04/2015 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 110,000(7) | | | | | | 1.96 | | | | | | 141,504 | | |
Joel Cherry
|
| | | | 11/09/2015 | | | | | | 11/06/2015 | | | | | | — | | | | | | — | | | | | | — | | | | | | 74,250 | | | | | | — | | | | | | — | | | | | | 121,028 | | |
Joel Cherry
|
| | | | 11/09/2015 | | | | | | 11/06/2015 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 110,000(8) | | | | | | 1.63 | | | | | | 119,669 | | |
Nicholas Khadder
|
| | | | — | | | | | | — | | | | | | 43,750 | | | | | | 62,500 | | | | | | 168,750 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Nicholas Khadder
|
| | | | 06/08/2015 | | | | | | 06/04/2015 | | | | | | — | | | | | | — | | | | | | — | | | | | | 100,000 | | | | | | — | | | | | | — | | | | | | 196,000 | | |
Nicholas Khadder
|
| | | | 06/08/2015 | | | | | | 06/04/2015 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 100,000(7) | | | | | | 1.96 | | | | | | 128,640 | | |
Nicholas Khadder
|
| | | | 11/09/2015 | | | | | | 11/06/2015 | | | | | | — | | | | | | — | | | | | | — | | | | | | 54,000 | | | | | | — | | | | | | — | | | | | | 88,020 | | |
Nicholas Khadder
|
| | | | 11/09/2015 | | | | | | 11/06/2015 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 80,000(8) | | | | | | 1.63 | | | | | | 87,032 | | |
Susanna McFerson(11)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | |
Performance Level
|
| |||||||||||||||
| | |
Threshold
|
| |
Target
|
| |
Superior
|
| |||||||||
Quarterly Periods | | | | | |||||||||||||||
Funding ($)
|
| | | | 8,750 | | | | | | 12,500 | | | | | | 15,625 | | |
Payout ($)
|
| | | | 8,750 | | | | | | 12,500 | | | | | | 12,500(1) | | |
Annual Period | | | | | |||||||||||||||
Funding ($)
|
| | | | 35,000 | | | | | | 50,000 | | | | | | 87,500(2) | | |
Payout ($)
|
| |
0 – 70,000
|
| |
0 – 100,000
|
| |
0 – 175,000
|
|
| | |
Bonus Period
|
| ||||||
| | |
Quarterly Periods
|
| |
Annual Period
|
| |
Aggregate
|
|
Total Possible Payout | | | | | ||||||
$
|
| |
0 – 50,000
|
| |
0 – 175,000
|
| |
0 – 225,000
|
|
% of Target Bonus
|
| |
0 – 50
|
| |
0 – 175
|
| |
0 – 225
|
|
| | |
Option Awards
|
| |
Stock Awards
|
| ||||||||||||||||||||||||||||||
Name
|
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable |
| |
Number of
Securities Underlying Unexercised Options (#) Unexercisable |
| |
Option
Exercise Price ($/Sh) |
| |
Option
Expiration Date |
| |
Number of
Shares or Units of Stock That Have Not Vested (#) |
| |
Market
Value of Shares or Units of Stock That Have Not Vested ($)(25) |
| ||||||||||||||||||
John Melo
|
| | | | 279,979(1)(2)(7) | | | | | | — | | | | | | 3.93 | | | | | | 08/25/2018 | | | | | | | | | | | | | | |
| | | | | 298,004(3)(8) | | | | | | — | | | | | | 20.41 | | | | | | 04/20/2020 | | | | | | | | | | | | | | |
| | | | | 84,000(4)(12) | | | | | | — | | | | | | 26.84 | | | | | | 04/15/2021 | | | | | | | | | | | | | | |
| | | | | 91,666(4)(14) | | | | | | 8,334 | | | | | | 3.86 | | | | | | 04/09/2022 | | | | | | | | | | | | | | |
| | | | | 240,666(5)(17) | | | | | | 120,334 | | | | | | 2.87 | | | | | | 06/03/2023 | | | | | | | | | | | | | | |
| | | | | 125,000(5)(19) | | | | | | 175,000 | | | | | | 3.51 | | | | | | 05/05/2024 | | | | | | | | | | | | | | |
| | | | | — | | | | | | 425,000(5)(23) | | | | | | 1.96 | | | | | | 06/08/2025 | | | | | | | | | | | | | | |
| | | | | — | | | | | | 450,000(5)(24) | | | | | | 1.63 | | | | | | 11/09/2025 | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | 1,004,666(6)(17)(19)(22)(24) | | | | | | 1,627,559 | | |
Raffi Asadorian
|
| | | | — | | | | | | 300,000(5)(21) | | | | | | 1.75 | | | | | | 01/20/2025 | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | 200,000(6)(20) | | | | | | 324,000 | | |
Paulo Diniz(26)
|
| | | | 237,500(2)(13) | | | | | | — | | | | | | 26.84 | | | | | | 04/15/2021 | | | | | | | | | | | | | | |
| | | | | 18,333(4)(14) | | | | | | — | | | | | | 3.86 | | | | | | 04/09/2022 | | | | | | | | | | | | | | |
| | | | | 40,000(5)(17) | | | | | | — | | | | | | 2.87 | | | | | | 06/03/2023 | | | | | | | | | | | | | | |
| | | | | 28,750(5)(19) | | | | | | — | | | | | | 3.51 | | | | | | 05/05/2024 | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | — | | | | | | — | | |
Joel Cherry
|
| | | | 163,500(1)(2)(9) | | | | | | — | | | | | | 4.31 | | | | | | 09/14/2019 | | | | | | | | | | | | | | |
| | | | | 20,000(1)(2)(10) | | | | | | — | | | | | | 9.32 | | | | | | 01/07/2020 | | | | | | | | | | | | | | |
| | | | | 25,000(4)(12) | | | | | | — | | | | | | 26.84 | | | | | | 04/15/2021 | | | | | | | | | | | | | | |
| | | | | 22,916(4)(14) | | | | | | 2,084 | | | | | | 3.86 | | | | | | 04/09/2022 | | | | | | | | | | | | | | |
| | | | | 112,666(5)(17) | | | | | | 56,334 | | | | | | 2.87 | | | | | | 06/03/2023 | | | | | | | | | | | | | | |
| | | | | 38,333(5)(19) | | | | | | 53,667 | | | | | | 3.51 | | | | | | 05/05/2024 | | | | | | | | | | | | | | |
| | | | | — | | | | | | 110,000(5)(23) | | | | | | 1.96 | | | | | | 06/08/2025 | | | | | | | | | | | | | | |
| | | | | — | | | | | | 110,000(5)(24) | | | | | | 1.63 | | | | | | 11/09/2025 | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | 282,583(6)(17)(19)(22)(24) | | | | | | 457,784 | | |
Nicholas Khadder
|
| | | | 25,000(2)(11) | | | | | | — | | | | | | 16.00 | | | | | | 12/10/2020 | | | | | | | | | | |||||
| | | | | 4,800(4)(15) | | | | | | 800 | | | | | | 3.86 | | | | | | 04/09/2022 | | | | | | | | | | | | | | |
| | | | | 8,625(4)(16) | | | | | | 1,875 | | | | | | 2.60 | | | | | | 06/11/2022 | | | | | | | | | | | | | | |
| | | | | 30,000(5)(17) | | | | | | 15,000 | | | | | | 2.79 | | | | | | 07/22/2023 | | | | | | | | | | | | | | |
| | | | | 54,166(5)(18) | | | | | | 45,834 | | | | | | 2.94 | | | | | | 12/16/2023 | | | | | | | | | | | | | | |
| | | | | 27,916(5)(19) | | | | | | 39,084 | | | | | | 3.51 | | | | | | 05/05/2024 | | | | | | | | | | | | | | |
| | | | | — | | | | | | 100,000(5)(23) | | | | | | 1.96 | | | | | | 06/08/2025 | | | | | | | | | | | | | | |
| | | | | — | | | | | | 80,000(5)(24) | | | | | | 1.63 | | | | | | 11/09/2025 | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | 206,832(6)(17)(18)(19)(22)(24) | | | | | | 335,068 | | |
Susanna McFerson(27)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | | | | | | | | |
| | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | — | | | | | | — | | |
| | |
Option Awards
|
| |
Stock Awards
|
| ||||||||||||||||||
Name
|
| |
Number of
Shares Acquired on Exercise (#) |
| |
Value
Realized on Exercise ($) |
| |
Number of
Shares Acquired on Vesting (#) |
| |
Value
Realized on Vesting ($)(1) |
| ||||||||||||
John Melo
|
| | | | — | | | | | | — | | | | | | 122,552 | | | | | | 481,016 | | |
Raffi Asadorian
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Paul Diniz(2)
|
| | | | — | | | | | | — | | | | | | 45,666 | | | | | | 111,882 | | |
Joel Cherry
|
| | | | — | | | | | | — | | | | | | 53,865 | | | | | | 210,700 | | |
Nicholas Khadder
|
| | | | — | | | | | | — | | | | | | 34,088 | | | | | | 125,282 | | |
Susanna McFerson(3)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | |
Involuntary Termination Not in Connection
with a Change of Control |
| |
Involuntary Termination In Connection with a
Change of Control |
| ||||||||||||||||||||||||||||||
Name
|
| |
Base
Salary ($) |
| |
Continuing
Health Benefits ($) |
| |
Value of
Accelerated Options or Shares ($)(1) |
| |
Base
Salary ($) |
| |
Continuing
Health Benefits ($) |
| |
Value of
Accelerated Options or Shares ($)(2) |
| ||||||||||||||||||
John Melo
|
| | | | 825,000 | | | | | | 31,281 | | | | | | — | | | | | | 1,100,000 | | | | | | 31,281 | | | | | | 1,627,559 | | |
Raffi Asadorian
|
| | | | 450,000 | | | | | | 21,708 | | | | | | | | | | | | 675,000 | | | | | | 32,563 | | | | | | 324,000 | | |
Paulo Diniz(3)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Joel Cherry
|
| | | | 358,750 | | | | | | 119 | | | | | | — | | | | | | 538,125 | | | | | | 179 | | | | | | 457,784 | | |
Nicholas Khadder
|
| | | | 300,000 | | | | | | 21,508 | | | | | | | | | | | | 450,000 | | | | | | 32,262 | | | | | | 335,068 | | |
Susanna McFerson(4)
|
| | | | 375,000 | | | | | | 6,962 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Name
|
| |
Fees Earned or
Paid in Cash ($)(1) |
| |
Stock
Awards ($)(2)(9) |
| |
Option
Awards ($)(2)(9) |
| |
All Other
Director Compensation ($) |
| |
Total
($)(10) |
| | |||||||||||||||||
Philippe Boisseau(3)
|
| | | | 40,000 | | | | | | — | | | | | | — | | | | | | — | | | | | | 40,000 | | | | | |
Nam-Hai Chua
|
| | | | 19,657(4) | | | | | | — | | | | | | — | | | | | | — | | | | | | 19,657 | | | | | |
John Doerr
|
| | | | 54,000 | | | | | | 5,070 | | | | | | 6,660 | | | | | | — | | | | | | 65,730 | | | | | |
Geoffrey Duyk
|
| | | | 47,500 | | | | | | 5,070 | | | | | | 6,660 | | | | | | — | | | | | | 59,230 | | | | | |
Margaret Georgiadis
|
| | | | 1,739(5) | | | | | | 49,200(6) | | | | | | 49,050(6) | | | | | | — | | | | | | 99,989 | | | | | |
Abraham Klaeijsen
|
| | | | 22,527(7) | | | | | | 5,070 | | | | | | 32,660(8) | | | | | | — | | | | | | 60,257 | | | | | |
Carole Piwnica
|
| | | | 54,500 | | | | | | 5,070 | | | | | | 6,660 | | | | | | — | | | | | | 66,230 | | | | | |
Fernando de Castro Reinach
|
| | | | 47,500 | | | | | | 5,070 | | | | | | 6,660 | | | | | | — | | | | | | 59,230 | | | | | |
HH Sheikh Abdullah bin Khalifa Al Thani
|
| | | | 40,000 | | | | | | 5,070 | | | | | | 6,660 | | | | | | — | | | | | | 51,730 | | | | | |
R. Neil Williams
|
| | | | 70,000 | | | | | | 5,070 | | | | | | 6,660 | | | | | | — | | | | | | 81,730 | | | | | |
Patrick Yang
|
| | | | 40,000 | | | | | | 5,070 | | | | | | 6,660 | | | | | | — | | | | | | 51,730 | | | | | |
Name
|
| |
Date of
Grant |
| |
Number of
Shares of Stock or Units (#) |
| |
Number of
Securities Underlying Options (#) |
| |
Exercise
Price Per Share ($) |
| |
Stock
Awards ($)(2) |
| |
Option
Awards ($)(2) |
| ||||||||||||||||||
Margaret Georgiadis
|
| | | | 12/21/2015 | | | | | | — | | | | | | 45,000 | | | | | | 1.64 | | | | | | — | | | | | | 49,050 | | |
Margaret Georgiadis
|
| | | | 12/21/2015 | | | | | | 30,000 | | | | | | — | | | | | | — | | | | | | 49,200 | | | | | | — | | |
Name
|
| |
Date of
Grant |
| |
Number of
Shares of Stock or Units (#) |
| |
Number of
Securities Underlying Options (#) |
| |
Exercise
Price Per Share ($) |
| |
Stock
Awards ($)(2) |
| |
Option
Awards ($)(2) |
| ||||||||||||||||||
Abraham Klaeijsen
|
| | | | 06/15/2015 | | | | | | — | | | | | | 20,000 | | | | | | 1.98 | | | | | | — | | | | | | 26,000 | | |
Name
|
| |
Date of
Grant |
| |
Number of
Shares of Stock or Units (#) |
| |
Number of
Securities Underlying Options (#) |
| |
Exercise
Price Per Share ($) |
| |
Stock
Awards ($)(2) |
| |
Option
Awards ($)(2) |
||||||||||||||||||
John Doerr
|
| | | | 7/30/2015 | | | | | | — | | | | | | 6,000 | | | | | | 1.69 | | | | | | — | | | | | | 6,660 | |
John Doerr
|
| | | | 7/30/2015 | | | | | | 3,000 | | | | | | — | | | | | | — | | | | | | 5,070 | | | | | | — | |
Geoffrey Duyk
|
| | | | 7/30/2015 | | | | | | — | | | | | | 6,000 | | | | | | 1.69 | | | | | | — | | | | | | 6,660 | |
Geoffrey Duyk
|
| | | | 7/30/2015 | | | | | | 3,000 | | | | | | — | | | | | | — | | | | | | 5,070 | | | | | | — | |
Abraham Klaeijsen
|
| | | | 7/30/2015 | | | | | | — | | | | | | 6,000 | | | | | | 1.69 | | | | | | — | | | | | | 6,660 | |
Abraham Klaeijsen
|
| | | | 7/30/2015 | | | | | | 3,000 | | | | | | — | | | | | | — | | | | | | 5,070 | | | | | | — | |
Carole Piwnica
|
| | | | 7/30/2015 | | | | | | — | | | | | | 6,000 | | | | | | 1.69 | | | | | | — | | | | | | 6,660 | |
Carole Piwnica
|
| | | | 7/30/2015 | | | | | | 3,000 | | | | | | — | | | | | | — | | | | | | 5,070 | | | | | | — | |
Fernando de Castro Reinach
|
| | | | 7/30/2015 | | | | | | — | | | | | | 6,000 | | | | | | 1.69 | | | | | | — | | | | | | 6,660 | |
Fernando de Castro Reinach
|
| | | | 7/30/2015 | | | | | | 3,000 | | | | | | — | | | | | | — | | | | | | 5,070 | | | | | | — | |
HH Sheikh Abdullah bin Khalifa Al Thani
|
| | | | 7/30/2015 | | | | | | — | | | | | | 6,000 | | | | | | 1.69 | | | | | | — | | | | | | 6,660 | |
HH Sheikh Abdullah bin Khalifa Al Thani
|
| | | | 7/30/2015 | | | | | | 3,000 | | | | | | — | | | | | | — | | | | | | 5,070 | | | | | | — | |
R. Neil Williams
|
| | | | 7/30/2015 | | | | | | | | | | | | 6,000 | | | | | | 1.69 | | | | | | — | | | | | | 6,660 | |
R. Neil Williams
|
| | | | 7/30/2015 | | | | | | 3,000 | | | | | | — | | | | | | — | | | | | | 5,070 | | | | ||||
Patrick Yang
|
| | | | 7/30/2015 | | | | | | — | | | | | | 6,000 | | | | | | 1.69 | | | | | | — | | | | | | 6,660 | |
Patrick Yang
|
| | | | 7/30/2015 | | | | | | 3,000 | | | | | | — | | | | | | — | | | | | | 5,070 | | | | | | — |
Name
|
| |
Outstanding
Options (Shares) |
| |
Outstanding
Stock Awards (Units) |
| ||||||
Philippe Boisseau(3)
|
| | | | — | | | | | | — | | |
Nam-Hai Chua(11)
|
| | | | — | | | | | | — | | |
John Doerr
|
| | | | 50,000 | | | | | | 3,000 | | |
Geoffrey Duyk
|
| | | | 44,000 | | | | | | 3,000 | | |
Margaret Georgiadis
|
| | | | 45,000 | | | | | | 30,000 | | |
Abraham Klaeijsen
|
| | | | 26,000 | | | | | | 3,000 | | |
Carole Piwnica
|
| | | | 50,000 | | | | | | 3,000 | | |
Fernando de Castro Reinach
|
| | | | 50,000 | | | | | | 3,000 | | |
HH Sheikh Abdullah bin Khalifa Al Thani
|
| | | | 44,000 | | | | | | 3,000 | | |
R. Neil Williams
|
| | | | 38,000 | | | | | | 3,000 | | |
Patrick Yang
|
| | | | 152,000(12) | | | | | | 3,000 | | |