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Kiniksa Pharmaceuticals, Ltd.
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..................................................................................................................................................................
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PROXY
STATEMENT |
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..................................................................................................................................................................
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Annual Meeting of Shareholders
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June 6, 2023,
8:00 a.m. Atlantic Time (7:00 a.m. Eastern Time) |
|
| Notice of Annual Meeting of Shareholders | | | | | | | |
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Date and Time:
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| | Tuesday, June 6, 2023 at 8:00 a.m. Atlantic Time (7:00 a.m. Eastern Time) | |
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Location:
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| | The Loren at Pink Beach, 116 South Road, Tucker’s Town, HS 01, Bermuda. | |
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Record Date:
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| | April 10, 2023 | |
|
Proposal
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| |
Votes required
|
| |
Effect of votes withheld / abstentions
and broker non-votes |
|
| Proposal 1—Election of Directors | | | The plurality of the votes cast. This means that the three nominees receiving the highest number of affirmative “FOR” votes will be elected as Class II Directors. | | | Votes withheld and broker non-votes will have no effect. | |
| Proposal 2—Appointment of Auditor, delegation of authority to set Auditor remuneration, and ratification of appointment of Independent Registered Public Accounting Firm | | | The affirmative vote of the holders of a majority in voting power of the votes cast affirmatively or negatively. | | | Abstentions will have no effect. We do not expect any broker non-votes on this proposal. | |
| Proposal 3—Approval, on an advisory (non-binding) basis, of the compensation of our named executive officers | | | The affirmative vote of the holders of a majority in voting power of the votes cast affirmatively or negatively. | | | Abstentions and broker-non votes will have no effect. | |
|
|
| |
The Board of Directors unanimously recommends a vote FOR the election of the
Class II Director nominees listed immediately below. |
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|
Name
|
| |
Age
|
| |
Served as a
Director Since |
| |
Position(s) with Kiniksa
|
|
| Stephen R. Biggar, M.D., PH.D. | | |
52
|
| |
2015
|
| | Director | |
| G. Bradley Cole | | |
67
|
| |
2020
|
| | Director | |
| Barry D. Quart, Pharm. D. | | |
66
|
| |
2015
|
| | Director | |
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|
| |
Stephen R. Biggar, M.D., PH.D.
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| |
Age 52
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G. Bradley Cole
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Age 67
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Barry D. Quart, Pharm. D.
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| |
Age 66
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Name
|
| |
Age
|
| |
Served as a
Director Since |
| |
Position with Kiniksa
|
|
| Sanj K. Patel | | |
53
|
| |
2015
|
| | Chief Executive Officer and Chairman of the Board | |
| Thomas R. Malley | | |
54
|
| |
2016
|
| | Director | |
| Richard S. Levy, M.D. | | |
65
|
| |
2019
|
| | Director | |
|
|
| |
Sanj K. Patel
|
| |
Age 53
|
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|
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Thomas R. Malley
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| |
Age 54
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|
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Richard S. Levy, M.D.
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| |
Age 65
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Name
|
| |
Age
|
| |
Served as a
Director Since |
| |
Position with Kiniksa
|
|
| Felix J. Baker, Ph.D. | | |
54
|
| |
2015
|
| | Lead Independent Director | |
| Tracey L. McCain | | |
55
|
| |
2018
|
| | Director | |
| Kimberly J. Popovits | | |
64
|
| |
2018
|
| | Director | |
|
|
| |
FELIX J. BAKER, PH.D.
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| |
Age 54
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TRACEY L. MCCAIN
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Age 55
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KIMBERLY J. POPOVITS
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Age 64
|
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| |
The Board of Directors unanimously recommends a vote FOR the appointment of PricewaterhouseCoopers LLP as our Auditor until the close of our next Annual Meeting of Shareholders, the delegation to our Board of Directors, through our Audit Committee, of the authority to set the Auditor’s remuneration for such period, and the ratification of the appointment of PricewaterhouseCoopers LLP as our Independent Registered Public Accounting Firm for the fiscal year ending December 31, 2023.
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| |
The Board of Directors unanimously recommends a vote FOR the compensation of our named executive officers as disclosed in the Company’s proxy statement for the 2023 Annual Meeting pursuant to the applicable compensation disclosure rules of the SEC, including the compensation tables and narrative discussion.
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|
Fee Category
|
| |
2022
|
| |
2021
|
|
| Audit Fees | | |
$1,280,000
|
| |
$971,000
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|
| Audit-Related Fees | | |
$0
|
| |
$0
|
|
| Tax Fees | | |
$0
|
| |
$0
|
|
| All Other Fees | | |
$5,738
|
| |
$2,956
|
|
| Total Fees | | |
$1,285,738
|
| |
$973,956
|
|
| |
Board Diversity Matrix (as of April 27, 2023)
|
| | ||||||||||||||||
| |
Total Number of
Directors |
| | |
9
|
| | ||||||||||||
| | | | | | Female | | | | Male | | | | Non-Binary | | | |
Did not
Disclose Gender Identity |
| |
| | Part I: Gender Identity | | | ||||||||||||||||
| | Directors | | | |
2
|
| | |
7
|
| | |
-
|
| | |
-
|
| |
| | Part II: Demographic Diversity | | | ||||||||||||||||
| |
African American
or Black (not of Hispanic or Latinx origin) |
| | |
1
|
| | |
-
|
| | |
-
|
| | |
-
|
| |
| | Alaskan Native or Native American | | | |
-
|
| | |
-
|
| | |
-
|
| | |
-
|
| |
| | Asian | | | |
-
|
| | |
1
|
| | |
-
|
| | |
-
|
| |
| |
Hispanic or Latinx
|
| | |
-
|
| | |
-
|
| | |
-
|
| | |
-
|
| |
| |
Native Hawaiian
or Pacific Islander |
| | |
-
|
| | |
-
|
| | |
-
|
| | |
-
|
| |
| |
White (not of
Hispanic or Latinx origin) |
| | |
1
|
| | |
6
|
| | |
-
|
| | |
-
|
| |
| |
Two or More
Races or Ethnicities |
| | |
-
|
| | |
-
|
| | |
-
|
| | |
-
|
| |
| | LGBTQ+ | | | |
-
|
| | ||||||||||||
| |
Did not Disclose
Demographic Background |
| | |
-
|
| |
|
Name
|
| |
Audit
|
| |
Compensation
|
| |
Nominating
and Corporate Governance |
| |
Science
and Research |
|
| Felix J. Baker, Ph.D. | | | | | |
Chair
|
| |
X
|
| |
X
|
|
|
Stephen R. Biggar, M.D., Ph.D.
|
| | | | | | | |
Chair
|
| |
X
|
|
| G. Bradley Cole | | |
X
|
| | | | | | | | | |
| Richard S. Levy | | | | | | | | | | | |
Chair
|
|
| Thomas R. Malley | | |
Chair
|
| | | | |
X
|
| | | |
| Tracey McCain | | |
X
|
| | | | | | | | | |
| Kimberly J. Popovits | | | | | |
X
|
| | | | | | |
| Barry D. Quart, Pharm.D. | | |
X
|
| |
X
|
| | | | | | |
|
Name
|
| |
Age
|
| |
Position
|
|
| Sanj K. Patel | | |
53
|
| | Chief Executive Officer and Chairman of the Board | |
| Michael Megna | | |
52
|
| |
Group Vice President, Finance and Chief Accounting Officer
|
|
| Ross Moat | | |
42
|
| | Senior Vice President and Chief Commercial Officer | |
|
John F. Paolini, M.D., Ph.D.
|
| |
58
|
| | Senior Vice President and Chief Medical Officer | |
| Mark Ragosa | | |
49
|
| | Senior Vice President and Chief Financial Officer | |
| Eben Tessari | | |
41
|
| | Senior Vice President and Chief Operating Officer | |
|
Name and principal position
|
| |
Year
|
| |
Salary
($)(2) |
| |
Share
awards ($)(3) |
| |
Option
awards ($)(3) |
| |
Non-equity
incentive plan compensation ($)(4) |
| |
All other
compensation ($)(5) |
| |
Total
($) |
|
|
Sanj K. Patel(1)
Chief Executive Officer and Chairman of the Board
|
| |
2022
|
| |
834,918
|
| |
922,039
|
| |
3,746,557
|
| |
597,408
|
| |
12,200
|
| |
6,113,122
|
|
|
2021
|
| |
803,400
|
| |
1,183,978
|
| |
3,795,238
|
| |
793,962
|
| |
11,600
|
| |
6,588,178
|
| |||
|
John F. Paolini, M.D.
Senior Vice President and Chief Medical Officer
|
| |
2022
|
| |
514,583
|
| |
230,469
|
| |
936,346
|
| |
226,919
|
| |
12,200
|
| |
1,920,518
|
|
|
2021
|
| |
456,393
|
| |
321,368
|
| |
996,606
|
| |
242,863
|
| |
11,600
|
| |
2,028,830
|
| |||
|
Eben Tessari
Senior Vice President and Chief Operating Officer
|
| |
2022
|
| |
443,534
|
| |
251,578
|
| |
1,022,122
|
| |
195,782
|
| |
4,435
|
| |
1,917,452
|
|
|
Name
|
| |
January 3, 2022
Annual Base Salary ($) |
|
|
Sanj K. Patel
|
| |
835,536
|
|
|
John F. Paolini, M.D.
|
| |
515,724
|
|
|
Eben Tessari
|
| |
444,960
|
|
|
Named executive officer
|
| |
April 2022
share options granted |
| |
April 2022
RSUs granted |
| |
September 2022
share options granted |
| |
September 2022
RSUs granted |
|
|
Sanj K. Patel
|
| |
239,795
|
| |
39,967
|
| |
239,795
|
| |
39,967
|
|
|
John F. Paolini, M.D.
|
| |
59,930
|
| |
9,990
|
| |
59,930
|
| |
9,990
|
|
|
Eben Tessari
|
| |
65,420
|
| |
10,905
|
| |
65,420
|
| |
10,905
|
|
|
Name
|
| | | | |
Option awards(1)
|
| |
Share awards(1)
|
| ||||||||||||||||||
|
Vesting
start date |
| |
Number of
securities underlying unexercised options (#) exercisable |
| |
Number of
securities underlying unexercised options (#) unexercisable |
| |
Option
exercise price ($) |
| |
Option
expiration date |
| |
Number of
shares or units of shares that have not vested (#) |
| |
Market
value of shares or units of shares that have not vested ($)(2) |
| | | |||||||
|
Sanj K. Patel
|
| |
8/1/2015
|
| |
325,271
|
| |
—
|
| |
1.59
|
| |
12/15/2025
|
| |
—
|
| |
—
|
| | | ||||
|
6/29/2017
|
| |
257,969
|
| |
—
|
| |
3.80
|
| |
6/28/2027
|
| |
—
|
| |
—
|
| | | |||||||
|
3/1/2018
|
| |
340,367
|
| |
98,815(3)
|
| |
10.36
|
| |
2/29/2028
|
| |
—
|
| |
—
|
| | | |||||||
|
9/20/2018
|
| |
125,000
|
| |
—
|
| |
30.93
|
| |
9/19/2028
|
| |
—
|
| |
—
|
| | | |||||||
|
3/4/2019
|
| |
175,313
|
| |
11,687(4)
|
| |
17.92
|
| |
3/3/2029
|
| |
—
|
| |
—
|
| | | |||||||
|
9/17/2019
|
| |
154,376
|
| |
35,624(4)
|
| |
8.83
|
| |
9/16/2029
|
| |
—
|
| |
—
|
| | | |||||||
|
3/13/2020
|
| |
123,751
|
| |
56,249(4)
|
| |
15.52
|
| |
3/12/2030
|
| |
—
|
| |
—
|
| | | |||||||
|
9/10/2020
|
| |
101,252
|
| |
78,748(4)
|
| |
15.50
|
| |
9/9/2030
|
| |
—
|
| |
—
|
| | | |||||||
|
3/16/2021
|
| |
68,977
|
| |
88,681(4)
|
| |
22.89
|
| |
3/15/2031
|
| |
—
|
| |
—
|
| | | |||||||
|
3/16/2021
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
19,707(5)
|
| |
295,211
|
| | | |||||||
|
3/20/2021
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
12,002(6)
|
| |
179,790
|
| | | |||||||
|
9/2/2021
|
| |
49,269
|
| |
108,389(4)
|
| |
12.97
|
| |
9/1/2031
|
| |
—
|
| |
—
|
| | | |||||||
|
9/2/2021
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
19,707(5)
|
| |
295,211
|
| | | |||||||
|
4/7/2022
|
| |
—
|
| |
239,795(4)
|
| |
11.10
|
| |
4/6/2032
|
| |
—
|
| |
—
|
| | | |||||||
|
4/7/2022
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
39,967(5)
|
| |
598,706
|
| | | |||||||
|
9/1/2022
|
| |
—
|
| |
239,795(4)
|
| |
11.97
|
| |
8/31/2032
|
| |
—
|
| |
—
|
| | | |||||||
|
9/1/2022
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
39,967(5)
|
| |
598,706
|
| | | |||||||
|
John F. Paolini, M.D.
|
| |
9/14/2016
|
| |
169,217
|
| |
—
|
| |
1.86
|
| |
9/13/2026
|
| |
—
|
| |
—
|
| | | ||||
|
6/29/2017
|
| |
66,542
|
| |
—
|
| |
3.80
|
| |
6/28/2027
|
| |
—
|
| |
—
|
| | | |||||||
|
3/1/2018
|
| |
99,273
|
| |
28,821(3)
|
| |
10.36
|
| |
2/29/2028
|
| |
—
|
| |
—
|
| | | |||||||
|
9/20/2018
|
| |
45,000
|
| |
—
|
| |
30.93
|
| |
9/19/2028
|
| |
—
|
| |
—
|
| | | |||||||
|
3/4/2019
|
| |
47,813
|
| |
3,187(4)
|
| |
17.92
|
| |
3/3/2029
|
| |
—
|
| |
—
|
| | | |||||||
|
9/17/2019
|
| |
37,376
|
| |
8,624(4)
|
| |
8.83
|
| |
9/16/2029
|
| |
—
|
| |
—
|
| | | |||||||
|
3/13/2020
|
| |
34,376
|
| |
15,624(4)
|
| |
15.52
|
| |
3/12/2030
|
| |
—
|
| |
—
|
| | | |||||||
|
9/10/2020
|
| |
28,126
|
| |
21,874(4)
|
| |
15.50
|
| |
9/9/2030
|
| |
—
|
| |
—
|
| | | |||||||
|
3/16/2021
|
| |
18,113
|
| |
23,287(4)
|
| |
22.89
|
| |
3/15/2031
|
| |
—
|
| |
—
|
| | | |||||||
|
3/16/2021
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
5,175(5)
|
| |
77,522
|
| | | |||||||
|
3/20/2021
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
3,671(6)
|
| |
54,992
|
| | | |||||||
|
9/2/2021
|
| |
12,938
|
| |
28,462(4)
|
| |
12.97
|
| |
9/1/2031
|
| |
—
|
| |
—
|
| | | |||||||
|
9/2/2021
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
5,175(5)
|
| |
77,522
|
| | | |||||||
|
4/7/2022
|
| |
—
|
| |
59,930(4)
|
| |
11.10
|
| |
4/6/2032
|
| |
—
|
| |
—
|
| | | |||||||
|
4/7/2022
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
9,990(5)
|
| |
149,650
|
| | | |||||||
|
9/1/2022
|
| |
—
|
| |
59,930(4)
|
| |
11.97
|
| |
8/31/2032
|
| |
—
|
| |
—
|
| | | |||||||
|
9/1/2022
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
9,990(5)
|
| |
149,650
|
| | |
|
Name
|
| | | | |
Option awards(1)
|
| |
Share awards(1)
|
| ||||||||||||||||||
|
Vesting
start date |
| |
Number of
securities underlying unexercised options (#) exercisable |
| |
Number of
securities underlying unexercised options (#) unexercisable |
| |
Option
exercise price ($) |
| |
Option
expiration date |
| |
Number of
shares or units of shares that have not vested (#) |
| |
Market
value of shares or units of shares that have not vested ($)(2) |
| | | |||||||
|
Eben Tessari
|
| |
8/1/2015
|
| |
56,673
|
| |
—
|
| |
1.59
|
| |
12/15/2025
|
| |
—
|
| |
—
|
| | | ||||
|
6/29/2017
|
| |
35,049
|
| |
—
|
| |
3.80
|
| |
6/28/2027
|
| |
—
|
| |
—
|
| | | |||||||
|
3/1/2018
|
| |
85,092
|
| |
24,703(3)
|
| |
10.36
|
| |
2/29/2028
|
| |
—
|
| |
—
|
| | | |||||||
|
9/20/2018
|
| |
45,000
|
| |
—
|
| |
30.93
|
| |
9/19/2028
|
| |
—
|
| |
—
|
| | | |||||||
|
3/4/2019
|
| |
2,624
|
| |
39,376(4)
|
| |
17.92
|
| |
3/3/2029
|
| |
—
|
| |
—
|
| | | |||||||
|
9/17/2019
|
| |
8,437
|
| |
36,563(4)
|
| |
8.83
|
| |
9/16/2029
|
| |
—
|
| |
—
|
| | | |||||||
|
3/13/2020
|
| |
41,251
|
| |
18,749(4)
|
| |
15.52
|
| |
3/12/2030
|
| |
—
|
| |
—
|
| | | |||||||
|
9/10/2020
|
| |
33,751
|
| |
26,249(4)
|
| |
15.50
|
| |
9/9/2030
|
| |
—
|
| |
—
|
| | | |||||||
|
3/16/2021
|
| |
20,624
|
| |
26,514(4)
|
| |
22.89
|
| |
3/15/2031
|
| |
—
|
| |
—
|
| | | |||||||
|
3/16/2021
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
5,892(5)
|
| |
88,262
|
| | | |||||||
|
3/20/2021
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
2,982(6)
|
| |
44,670
|
| | | |||||||
|
9/2/2021
|
| |
14,731
|
| |
32,407(4)
|
| |
12.97
|
| |
9/1/2031
|
| |
—
|
| |
—
|
| | | |||||||
|
9/2/2021
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
5,892(5)
|
| |
88,262
|
| | | |||||||
|
4/7/2022
|
| |
—
|
| |
65,420(4)
|
| |
11.10
|
| |
4/6/2032
|
| |
—
|
| |
—
|
| | | |||||||
|
4/7/2022
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
10,905(5)
|
| |
163,357
|
| | | |||||||
|
9/1/2022
|
| |
—
|
| |
65,420(4)
|
| |
11.97
|
| |
8/31/2032
|
| |
—
|
| |
—
|
| | | |||||||
|
9/1/2022
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
10,905(5)
|
| |
163,357
|
| | |
|
Year
(a) |
| |
SCT
Total for CEO ($)(1) (b) |
| |
CAP to CEO
($)(2) (c) |
| |
Average
SCT Total for (non-CEO) NEOs ($)(1)(3) (d) |
| |
Average
CAP to (non-CEO) NEOs ($)(2)(3) (e) |
| |
Value of
Initial Fixed $100 Investment Based On Total Shareholder Return (TSR) ($)(4) (f) |
| |
Net Income
(Loss) (in thousands) ($)(5) (g) |
|
|
2022
|
| |
6,113,122
|
| |
8,730,830
|
| |
1,918,984
|
| |
2,622,018
|
| |
$84.78
|
| |
183,363
|
|
|
2021
|
| |
6,588,178
|
| |
579,469
|
| |
1,700,470
|
| |
395,753
|
| |
$66.61
|
| |
(157,924)
|
|
| | | | | | |
2021
|
| |
2022
|
|
|
SCT—Total Compensation
|
| |
(a)
|
| |
$6,588,178
|
| |
$6,113,122
|
|
| Grant Date Fair Value of Share Awards and Option Awards Granted in Fiscal Year | | |
(b)
|
| |
(4,979,216)
|
| |
(4,668,596)
|
|
| Fair Value at Fiscal Year End of Outstanding and Unvested Share Awards and Option Awards Granted in Fiscal Year | | |
(c)
|
| |
2,818,653
|
| |
6,294,377
|
|
| Change in Fair Value of Outstanding and Unvested Share Awards and Option Awards Granted in Prior Fiscal Years | | |
(d)
|
| |
(3,244,052)
|
| |
1,223,833
|
|
| Fair Value at Vesting of Share Awards and Option Awards Granted in Fiscal Year That Vested During Fiscal Year | | |
(e)
|
| |
—
|
| |
—
|
|
| Change in Fair Value as of Vesting Date of Share Awards and Option Awards Granted in Prior Fiscal Years For Which Applicable Vesting Conditions Were Satisfied During Fiscal Year | | |
(f)
|
| |
(604,095)
|
| |
(231,907)
|
|
| Fair Value as of Prior Fiscal Year End of Share Awards and Option Awards Granted in Prior Fiscal Years That Failed to Meet Applicable Vesting Conditions During Fiscal Year | | |
(g)
|
| |
—
|
| |
—
|
|
|
CAP
|
| | | | |
$579,469
|
| |
$8,730,830
|
|
| | | | | | |
2021
|
| |
2022
|
|
|
SCT—Total Compensation
|
| |
(a)
|
| |
$1,700,470
|
| |
$1,918,984
|
|
| Grant Date Fair Value of Share Awards and Option Awards Granted in Fiscal Year | | |
(b)
|
| |
(1,042,072)
|
| |
(1,220,258)
|
|
| Fair Value at Fiscal Year End of Outstanding and Unvested Share Awards and Option Awards Granted in Fiscal Year | | |
(c)
|
| |
439,000
|
| |
1,645,196
|
|
| Change in Fair Value of Outstanding and Unvested Share Awards and Option Awards Granted in Prior Fiscal Years | | |
(d)
|
| |
(575,861)
|
| |
344,114
|
|
| Fair Value at Vesting of Share Awards and Option Awards Granted in Fiscal Year That Vested During Fiscal Year | | |
(e)
|
| |
—
|
| |
—
|
|
| Change in Fair Value as of Vesting Date of Share Awards and Option Awards Granted in Prior Fiscal Years For Which Applicable Vesting Conditions Were Satisfied During Fiscal Year | | |
(f)
|
| |
(125,785)
|
| |
(66,019)
|
|
| Fair Value as of Prior Fiscal Year End of Share Awards and Option Awards Granted in Prior Fiscal Years That Failed to Meet Applicable Vesting Conditions During Fiscal Year | | |
(g)
|
| |
—
|
| |
—
|
|
|
CAP
|
| | | | |
$395,753
|
| |
$2,622,018
|
|
|
Name
|
| |
Fees
earned or paid in cash ($) |
| |
Share
awards ($)(1) |
| |
Option
awards ($)(1) |
| |
Total ($)
|
|
|
Felix J. Baker, Ph.D.
|
| |
94,700
|
| |
49,400
|
| |
187,602
|
| |
331,702
|
|
|
Stephen R. Biggar, M.D., Ph.D.
|
| |
55,600
|
| |
49,400
|
| |
187,602
|
| |
292,602
|
|
|
G. Bradley Cole
|
| |
49,000
|
| |
49,400
|
| |
187,602
|
| |
286,002
|
|
|
Richard S. Levy, M.D.
|
| |
53,400
|
| |
49,400
|
| |
187,602
|
| |
290,402
|
|
|
Thomas R. Malley
|
| |
64,000
|
| |
49,400
|
| |
187,602
|
| |
301,002
|
|
|
Tracey L. McCain
|
| |
46,525
|
| |
49,400
|
| |
187,602
|
| |
283,527
|
|
|
Kimberly J. Popovits
|
| |
46,300
|
| |
49,400
|
| |
187,602
|
| |
283,302
|
|
|
Barry D. Quart, Pharm.D
|
| |
55,300
|
| |
49,400
|
| |
187,602
|
| |
292,302
|
|
|
Name
|
| |
Option
awards(#) |
| |
RSU
awards (#) |
|
|
Felix J. Baker, Ph.D.
|
| |
119,517
|
| |
5,000
|
|
|
Stephen R. Biggar, M.D., Ph.D.
|
| |
119,517
|
| |
5,000
|
|
|
G. Bradley Cole
|
| |
101,202
|
| |
5,000
|
|
|
Richard S. Levy, M.D.
|
| |
119,962
|
| |
5,000
|
|
|
Thomas R. Malley
|
| |
170,293
|
| |
5,000
|
|
|
Tracey L. McCain
|
| |
146,505
|
| |
5,000
|
|
|
Kimberly J. Popovits
|
| |
146,505
|
| |
5,000
|
|
|
Barry D. Quart, Pharm.D
|
| |
148,334
|
| |
5,000
|
|
|
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 Available for Future Issuance Under Equity Compensation Plans(1) |
|
| Equity compensation plans approved by security holders(2) | | |
11,887,019(3)
|
| |
$13.36(4)
|
| |
4,641,573(5)
|
|
| Equity compensation plans not approved by security holders | | |
—
|
| |
—
|
| |
—
|
|
|
Total
|
| |
11,887,019
|
| |
$13.36
|
| |
4,641,573
|
|
| | | |
Class A
common shares |
| |
Class A
common shares % |
| |
Class A1
common shares |
| |
Class A1
common shares % |
| |
Class B
common shares |
| |
Class B
common shares % |
| |
Class B1
common shares |
| |
Class B1
common shares % |
| |
% of total
voting power |
|
| 5% Shareholders | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
|
Entities affiliated with Blackrock,
Inc.(1) |
| |
3,427,741
|
| |
9.83%
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
6.46%
|
|
|
Vanguard Group(2)
|
| |
3,226,891
|
| |
9.25%
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
6.09%
|
|
|
Entities Affiliated with Dr. Robert Desnick(3)
|
| |
1,268,063
|
| |
3.63%
|
| |
—
|
| |
—
|
| |
214,101
|
| |
11.81%
|
| |
214,101
|
| |
1.32%
|
| |
6.03%
|
|
|
Entities Managed by Baker Bros. Advisors LP(4)
|
| |
3,033,613
|
| |
8.64%
|
| |
12,781,964
|
| |
74.85%
|
| |
—
|
| |
—
|
| |
16,057,618
|
| |
100.00%
|
| |
5.70%
|
|
|
Entities Affiliated with Hillhouse(5)
|
| |
2,623,924
|
| |
7.52%
|
| |
4,293,904
|
| |
25.15%
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
4.95%
|
|
| Officers and Directors | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
|
Sanj K. Patel(6)
|
| |
1,820,238
|
| |
4.99%
|
| |
—
|
| |
—
|
| |
1,526,160
|
| |
84.16%
|
| |
1,526,160
|
| |
8.68%
|
| |
31.28%
|
|
|
John F. Paolini, M.D.(7)
|
| |
651,690
|
| |
1.84%
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
1.22%
|
|
|
Eben Tessari(8)
|
| |
584,563
|
| |
1.65%
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
1.09%
|
|
|
Felix J. Baker, Ph.D.(4)(9)
|
| |
3,055,773
|
| |
8.70%
|
| |
12,781,964
|
| |
74.85%
|
| |
—
|
| |
—
|
| |
16,057,618
|
| |
100.00%
|
| |
5.74%
|
|
|
Stephen R. Biggar, M.D., Ph.D.(4)
|
| |
117,018
|
| |
*
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
*
|
|
|
G. Bradley Cole(10)
|
| |
96,595
|
| |
*
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
*
|
|
|
Richard S. Levy(11)
|
| |
117,463
|
| |
*
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
*
|
|
|
Thomas R. Malley(12)
|
| |
239,761
|
| |
*
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
*
|
|
|
Tracey L. McCain(13)
|
| |
144,006
|
| |
*
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
*
|
|
|
Kimberly J. Popovits(14)
|
| |
144,006
|
| |
*
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
*
|
|
|
Barry D. Quart, Pharm. D.(15)
|
| |
145,835
|
| |
*
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
| |
*
|
|
|
All current executive officers and directors as a group (14 persons)(16)
|
| |
7,503,455
|
| |
18.50%
|
| |
12,781,964
|
| |
74.85%
|
| |
1,526,160
|
| |
84.16%
|
| |
16,057,618
|
| |
100.00%
|
| |
39.87%
|
|