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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 12, 2014: the Proxy Statement and our 2013 Annual Report to Stockholders are available at http://www.allianceproxy.com/amyris/2014. |
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Information Regarding Solicitation and Voting |
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Questions and Answers |
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Forward-Looking Statements |
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Proposal 1 — Election of Directors |
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Vote Required and Board Recommendation |
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Business Experience and Qualifications of Directors |
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Arrangements Concerning Selection of Directors |
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Independence of Directors |
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Board Leadership Structure |
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Role of the Board in Risk Oversight |
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Meetings of the Board and Committees |
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Committees of the Board |
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Stockholder Communications with Directors |
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Proposal 2 — Non-Binding Advisory Vote on Compensation of Named Executive Officers |
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Vote Required and Board Recommendation. |
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Proposal 3 — Approval of Amendment to Certificate of Incorporation to Increase Number of Authorized Shares |
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General |
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Vote Required and Board Recommendation |
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Purpose of Proposed Amendment |
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Potential Adverse Effects of Proposed Amendment |
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Risks to Stockholders of Non-Approval |
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Interests of Our Directors and Executive Officers in the Amendment |
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Text of Proposed Amendment |
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Proposal 4 — Ratification of Appointment of Independent Registered Public Accounting Firm |
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General |
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Vote Required and Board Recommendation |
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Independent Registered Public Accounting Firm Fee Information |
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Audit Committee Pre-Approval of Services Performed by our Independent Registered Public Accounting Firm |
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Report of the Audit Committee* |
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Proposal 5 — Approval of the issuance of up to $21,700,000 aggregate principal amount of senior secured convertible promissory notes in a private placement transaction and the issuance of the common stock issuable upon conversion of such notes, in accordance with NASDAQ Marketplace Rules 5635(b) and (c) |
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General |
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Vote Required and Board Recommendation |
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Purpose of Proposal 5 — NASDAQ Stockholder Approval Requirement |
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Terms of the Private Placement of the Remaining Notes |
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Summary of the Terms of the Total Purchase Agreement |
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Description of Remaining Notes |
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Use of Proceeds |
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Potential Adverse Effects of Proposed Amendment — Dilution and Impact of the Private Placement of the Remaining Notes on Existing Stockholders |
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Risks to Stockholders of Non-Approval |
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Interests of Certain Persons in the Private Placement |
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Corporate Governance |
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Corporate Governance Principles |
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Code of Business Conduct and Ethics |
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Security Ownership of Certain Beneficial Owners and Management |
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Section 16(a) Beneficial Ownership Reporting Compliance |
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Executive Compensation |
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Compensation Discussion and Analysis |
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Leadership Development and Compensation Committee Report* |
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Summary Compensation Table |
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Grants of Plan-Based Awards in Fiscal Year 2013 |
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Narrative Disclosure to Summary Compensation and Grants of Plan-Based Awards Tables |
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2014 Bonus Plan |
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Option Exercises and Stock Vested During Fiscal Year 2013 |
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Pension Benefits |
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Non-Qualified Deferred Compensation |
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Potential Severance Payments upon Termination and upon Termination Following a Change in Control |
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Limitation of Liability and Indemnification |
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Rule 10b5-1 Sales Plans |
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Director Compensation |
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Director Compensation for Fiscal Year 2013 |
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Narrative to Director Compensation Tables |
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Compensation Committee Interlocks and Insider Participation |
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Transactions with Related Persons |
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Total Transactions |
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Private Placement of Convertible Promissory Notes |
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Indemnification Arrangements |
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Executive Compensation and Employment Arrangements |
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Investors’ Rights Agreement and Registration Rights Agreements |
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Related Person Transaction Policy |
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Householding of Proxy Materials |
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Available Information |
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Incorporation of Information by Reference |
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Stockholder Proposals to be Presented at Next Annual Meeting |
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Other Matters |
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ANNEX A — TOTAL PURCHASE AGREEMENT |
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ANNEX B — FORM OF REMAINING NOTE |
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ANNEX C — MARCH 2014 LETTER AGREEMENT |
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Important Notice Regarding the Availability of Proxy Materials for the Annual Meeting of Stockholders to be held on May 12, 2014 |
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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, based on timing considerations for the 2014 annual meeting, we are mailing full sets of proxy materials 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/2014. 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 |
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Age |
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Amyris Offices and Positions |
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Geoffrey Duyk, M.D., Ph.D. |
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54 |
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Director, Member of Audit Committee |
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Carole Piwnica |
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56 |
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Director, Chair of Leadership Development and Compensation Committee and Member of Nominating and Governance Committee |
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Fernando de Castro Reinach, Ph.D. |
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57 |
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Director, Member of Audit Committee |
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HH Sheikh Abdullah bin Khalifa Al Thani |
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54 |
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Director |
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Name |
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Age |
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Amyris Offices and Positions |
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Nam-Hai Chua, Ph.D. |
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69 |
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Director, Member of Leadership Development and Compensation Committee |
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John Melo |
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48 |
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Director, President and Chief Executive Officer |
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R. Neil Williams |
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61 |
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Director, Chair of Audit Committee |
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Name |
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Age |
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Amyris Offices and Positions |
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Philippe Boisseau |
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52 |
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Director |
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John Doerr |
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62 |
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Director, Chair of Nominating and Governance Committee and Member of Leadership Development and Compensation Committee |
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Arthur Levinson, Ph.D. |
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63 |
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Chairman of the Board |
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Member of the Board in Fiscal Year 2013 |
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Board |
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Audit Committee |
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Leadership Development and Compensation Committee |
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Nominating and Governance Committee |
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Ralph Alexander(1) |
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X |
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X |
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Chair |
(2) |
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Philippe Boisseau |
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X |
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Nam-Hai Chua, Ph.D. |
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X |
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X |
(3) |
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John Doerr |
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X |
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X |
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Chair |
(4) |
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Geoffrey Duyk, M.D., Ph.D. |
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X |
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X |
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Arthur Levinson, Ph.D. |
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X |
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John Melo |
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X |
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Patrick Pichette(5) |
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X |
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Chair |
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X |
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Carole Piwnica |
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X |
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Chair |
(4) |
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X |
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Neil Renninger, Ph.D.(6) |
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X |
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Fernando de Castro Reinach, Ph.D(7). |
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X |
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X |
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HH Sheikh Abdullah bin Khalifa Al Thani(8) |
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X |
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R. Neil Williams |
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X |
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Chair |
(9) |
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Total meetings in fiscal year 2012(10) |
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7 |
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11 |
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7 |
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4 |
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Fiscal Year Ended |
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Fee Category |
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2013 |
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2012 |
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Audit Fees |
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$ |
1,527 |
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$ |
1,458 |
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Audit-Related Fees |
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72 |
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105 |
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Tax Fees |
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9 |
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10 |
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All Other Fees |
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— |
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— |
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Total Fees |
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$ |
1,608 |
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$ |
1,573 |
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Name and Address of Beneficial Owner |
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Number of Shares Beneficially Owned (#) |
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Percent Of Class (%) |
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5% Stockholders |
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Total Gas & Power USA, SAS(1) |
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13,617,212 |
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17.7 |
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Maxwell (Mauritius) Pte Ltd.(2) |
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10,353,478 |
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13.4 |
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Entities affiliated with FMR LLC(3) |
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7,623,765 |
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9.9 |
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Biolding Investment SA(4) |
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7,484,601 |
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9.7 |
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Naxyris SA(5) |
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5,639,398 |
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7.3 |
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Entities affiliated with Kleiner Perkins Caufield & Byers(6) |
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4,183,224 |
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5.4 |
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TPG Biotechnology Partners II, L.P.(7) |
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3,978,660 |
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5.2 |
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Directors and Named Executive Officers |
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John Melo(8) |
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1,100,998 |
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1.4 |
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Philippe Boisseau(1)(9) |
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13,617,212 |
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17.7 |
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Nam-Hai Chua(2)(10) |
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20,666 |
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* |
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John Doerr(6)(11) |
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7,033,159 |
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9.1 |
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Geoffrey Duyk(7)(12) |
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22,333 |
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* |
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Arthur Levinson(13) |
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369,864 |
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* |
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Carole Piwnica(5)(14) |
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38,000 |
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* |
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Fernando de Castro Reinach(15) |
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208,397 |
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* |
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HH Sheikh Abdullah bin Khalifa Al Thani(4)(16) |
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7,506,934 |
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9.7 |
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R. Neil Williams(17) |
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6,666 |
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* |
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Joel Cherry(18) |
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449,960 |
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* |
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Paulo Diniz(19) |
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258,333 |
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* |
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Zanna McFerson(20) |
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|
158,174 |
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* |
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Gary Loeb(21) |
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5,056 |
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|
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* |
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Steven Mills(22) |
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156,275 |
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* |
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All Directors and Executive Officers as a Group (13 Persons)(23) |
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30,952,027 |
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39.09 |
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| ||
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2013 Peer Group |
| |||
---|---|---|---|---|---|
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Alnylam Pharmaceuticals, Inc. (biotech) |
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Balchem, Corp. (speciality chemicals) |
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Ceres Global Ag Corp. (ag/biotech) |
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Chemtura Corporation (speciality chemicals) |
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Clean Energy Fuels Corp. (clean tech) |
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Codexis, Inc. (biotech/clean tech) |
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Gevo, Inc. (biotech/clean tech) |
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Innospec Inc. (specialty chemicals) |
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Isis Pharmaceuticals, Inc. (biotech) |
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KiOR, Inc. (biotech/clean tech) |
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Kraton Performance Polymers, Inc. (specialty chemicals) |
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Landec Corp. (ag/specialty chemicals) |
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Metabolix, Inc. (biotech/specialty chemicals) |
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Ormat Technologies, Inc. (clean tech) |
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PolyOne Corporation (specialty chemicals) |
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Rentech, Inc. (ag/clean tech) |
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Solazyme, Inc. (biotech/clean tech) |
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Verenium Corporation (biotech/clean tech) |
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Name |
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Target Bonus ($) |
| ||||
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John Melo |
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300,000 |
(1) |
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Paulo Diniz |
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200,000 |
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| |
|
Joel Cherry |
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|
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100,000 |
|
| |
|
Zanna McFerson |
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|
100,000 |
(2) |
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Gary Loeb |
|
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|
|
90,000 |
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| |
|
Steven Mills |
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|
150,000 |
|
| |
|
Metric & Funding |
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Minimum |
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Target |
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High |
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---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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Company Performance |
| |||||||||||||||||||||
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Company Performance |
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80 |
% |
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|
100 |
% |
|
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120 |
% |
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Eligibility as a % of target bonus |
|
|
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50 |
% |
|
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|
100 |
% |
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120 |
% |
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Individual Performance |
| |||||||||||||||||||||
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Individual Performance |
|
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|
|
80 |
% |
|
|
|
|
|
100 |
% |
|
|
|
|
|
120 |
% |
|
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Eligibility as a % of target bonus |
|
|
|
|
80 |
% |
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|
100 |
% |
|
|
|
|
|
120 |
% |
|
|
|
Company Performance Goal |
|
|
Weight |
|
|
Achievement Level |
| ||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Production |
|
|
|
|
40 |
% |
|
|
|
|
|
36 |
% |
|
|
|
Products |
|
|
|
|
30 |
% |
|
|
|
|
|
12 |
% |
|
|
|
Cash and Funding |
|
|
|
|
20 |
% |
|
|
|
|
|
22.2 |
% |
|
|
|
Safety and Environment |
|
|
|
|
10 |
% |
|
|
|
|
|
10 |
% |
|
|
|
Total |
|
|
|
|
100 |
% |
|
|
|
|
|
80.2 |
% |
|
|
|
Name |
|
|
Bonus Payout ($) |
| ||||
---|---|---|---|---|---|---|---|---|---|
|
John Melo |
|
|
|
$ |
150,000.00 |
|
| |
|
Paulo Diniz |
|
|
|
$ |
85,000.00 |
|
| |
|
Joel Cherry |
|
|
|
$ |
120,000.00 |
|
| |
|
Zanna McFerson |
|
|
|
$ |
35,000.00 |
|
| |
|
Name and Principal Position |
|
|
Year |
|
|
Salary ($) |
|
|
Bonus ($)(1) |
|
|
Stock Awards ($)(2) |
|
|
Option Awards ($)(2) |
|
|
Non-Equity Incentive Plan Compensation ($)(1) |
|
|
All Other Compensation ($) |
|
|
Total ($) |
| ||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
John Melo President and Chief Executive Officer |
|
|
|
|
2013 |
|
|
|
|
|
550,000 |
|
|
|
|
|
— |
|
|
|
|
|
685,930 |
|
|
|
|
|
728,065 |
|
|
|
|
|
150,000 |
|
|
|
|
|
— |
|
|
|
|
|
2,113,995 |
|
| ||||||||
|
|
|
2012 |
|
|
|
|
|
500,000 |
|
|
|
|
|
— |
|
|
|
|
|
965,000 |
|
|
|
|
|
637,903 |
|
|
|
|
|
100,000 |
|
|
|
|
|
10,279 |
(3) |
|
|
|
|
|
2,213,182 |
|
| ||||||||||
|
|
|
2011 |
|
|
|
|
|
500,000 |
|
|
|
|
|
— |
|
|
|
|
|
696,900 |
|
|
|
|
|
1,633,044 |
|
|
|
|
|
— |
|
|
|
|
|
28,021 |
(4) |
|
|
|
|
|
2,857,965 |
|
| ||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |||||||||
|
Paulo Diniz(5) Interim Chief Financial Officer |
|
|
|
|
2013 |
|
|
|
|
|
377,861 |
|
|
|
|
|
— |
|
|
|
|
|
261,800 |
|
|
|
|
|
121,008 |
|
|
|
|
|
85,000 |
|
|
|
|
|
5,081 |
(6) |
|
|
|
|
|
850,750 |
|
| |||||||
|
|
|
2012 |
|
|
|
|
|
355,628 |
(7) |
|
|
|
|
|
— |
|
|
|
|
|
193,000 |
|
|
|
|
|
50,008 |
|
|
|
|
|
108,000 |
|
|
|
|
|
13,728 |
(7) |
|
|
|
|
|
720,364 |
|
| |||||||||
|
|
|
2011 |
|
|
|
|
|
304,735 |
|
|
|
|
|
300,000 |
|
|
|
|
|
1,212,000 |
|
|
|
|
|
4,860,250 |
|
|
|
|
|
— |
|
|
|
|
|
10,210 |
(8) |
|
|
|
|
|
6,687,195 |
|
| ||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |||||||||
|
Joel Cherry* President, Research and Development |
|
|
|
|
2013 |
|
|
|
|
|
358,750 |
|
|
|
|
|
— |
|
|
|
|
|
318,570 |
|
|
|
|
|
340,839 |
|
|
|
|
|
120,000 |
|
|
|
|
|
1,020 |
(9) |
|
|
|
|
|
1,139,179 |
|
| |||||||
|
|
|
2012 |
|
|
|
|
|
366,667 |
|
|
|
|
|
— |
|
|
|
|
|
598,300 |
|
|
|
|
|
62,510 |
|
|
|
|
|
60,000 |
|
|
|
|
|
— |
|
|
|
|
|
1,087,477 |
|
| |||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |||||||||
|
Susanna McFerson* Chief Business Officer |
|
|
|
|
2013 |
|
|
|
|
|
311,298 |
|
|
|
|
|
— |
|
|
|
|
|
375,700 |
|
|
|
|
|
411,620 |
|
|
|
|
|
35,000 |
|
|
|
|
|
69,931 |
(10) |
|
|
|
|
|
1,203,549 |
|
| |||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |||||||||
|
Steven Mills* Former Chief Financial Officer |
|
|
|
|
2013 |
|
|
|
|
|
487,572 |
|
|
|
|
|
90,000 |
|
|
|
|
|
1,028,420 |
|
|
|
|
|
508,234 |
|
|
|
|
|
|
|
|
|
|
|
8,500 |
(11) |
|
|
|
|
|
2,122,725 |
|
| |||||||
|
|
|
2012 |
|
|
|
|
|
298,558 |
|
|
|
|
|
— |
|
|
|
|
|
690,000 |
|
|
|
|
|
750,876 |
|
|
|
|
|
90,000 |
|
|
|
|
|
199,779 |
(12) |
|
|
|
|
|
2,029,213 |
|
| ||||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| |||||||||
|
Gary Loeb* Former Senior Vice President and General Counsel |
|
|
|
|
2013 |
|
|
|
|
|
174,758 |
|
|
|
|
|
— |
|
|
|
|
|
86,100 |
|
|
|
|
|
90,756 |
|
|
|
|
|
|
|
|
|
|
|
4,657 |
(13) |
|
|
|
|
|
356,271 |
|
| |||||||
|
|
|
2012 |
|
|
|
|
|
270,000 |
|
|
|
|
|
— |
|
|
|
|
|
425,300 |
|
|
|
|
|
286,244 |
|
|
|
|
|
48,600 |
|
|
|
|
|
— |
|
|
|
|
|
1,030,144 |
|
| |||||||||||
|
Name |
|
|
Grant Date(1) |
|
|
Approval Date of Grant(1) |
|
|
Estimated Future Payouts Under Non-Equity Incentive Plan Awards |
|
|
All Other StockAwards: Number of Shares of Stock or Units (#)(3) |
|
|
All Other OptionAwards: 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) |
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Melo, John |
|
|
|
|
06/03/2013 |
|
|
|
|
|
04/01/2013 |
|
|
|
|
$ |
240,000 |
|
|
|
|
$ |
300,000 |
|
|
|
|
$ |
450,000 |
|
|
|
|
|
239,000 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
685,930 |
|
| |||||||||
|
Melo, John |
|
|
|
|
06/03/2013 |
|
|
|
|
|
04/01/2013 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
361,000 |
|
|
|
|
|
2.87 |
|
|
|
|
|
728,065 |
|
| |||||||||
|
Diniz, Paulo |
|
|
|
|
06/03/2013 |
|
|
|
|
|
04/01/2013 |
|
|
|
|
$ |
160,000 |
|
|
|
|
$ |
200,000 |
|
|
|
|
$ |
288,000 |
|
|
|
|
|
40,000 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
114,800 |
|
| |||||||||
|
Diniz, Paulo |
|
|
|
|
06/03/2013 |
|
|
|
|
|
04/01/2013 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
60,000 |
|
|
|
|
|
2.87 |
|
|
|
|
|
121,008 |
|
| |||||||||
|
Diniz, Paulo |
|
|
|
|
12/16/2013 |
|
|
|
|
|
10/01/2013 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
50,000 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
147,000 |
|
| |||||||||
|
Cherry, Joel |
|
|
|
|
06/03/2013 |
|
|
|
|
|
04/01/2013 |
|
|
|
|
$ |
80,000 |
|
|
|
|
$ |
100,000 |
|
|
|
|
$ |
144,000 |
|
|
|
|
|
111,000 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
318,570 |
|
| |||||||||
|
Cherry, Joel |
|
|
|
|
06/03/2013 |
|
|
|
|
|
04/01/2013 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
169,000 |
|
|
|
|
|
2.87 |
|
|
|
|
|
340,839 |
|
| |||||||||
|
McFerson, Susanna |
|
|
|
|
03/11/2013 |
|
|
|
|
|
03/04/2013 |
|
|
|
|
$ |
66,667 |
|
|
|
|
$ |
100,000 |
|
|
|
|
$ |
120,000 |
|
|
|
|
|
130,000 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
375,700 |
|
| |||||||||
|
McFerson, Susanna |
|
|
|
|
03/11/2013 |
|
|
|
|
|
03/04/2013 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
200,000 |
|
|
|
|
|
2.89 |
|
|
|
|
|
411,620 |
|
| |||||||||
|
Mills, Steven |
|
|
|
|
06/03/2013 |
|
|
|
|
|
04/01/2013 |
|
|
|
|
$ |
160,000 |
|
|
|
|
$ |
200,000 |
|
|
|
|
$ |
288,000 |
|
|
|
|
|
166,000 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1,028,420 |
|
| |||||||||
|
Mills, Steven |
|
|
|
|
06/03/2013 |
|
|
|
|
|
04/01/2013 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
252,000 |
|
|
|
|
|
2.87 |
|
|
|
|
|
508,234 |
|
| |||||||||
|
Loeb, Gary |
|
|
|
|
06/03/2013 |
|
|
|
|
|
04/01/2013 |
|
|
|
|
$ |
72,000 |
|
|
|
|
$ |
90,000 |
|
|
|
|
$ |
129,600 |
|
|
|
|
|
30,000 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
86,100 |
|
| |||||||||
|
Loeb, Gary |
|
|
|
|
06/03/2013 |
|
|
|
|
|
04/01/2013 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
45,000 |
|
|
|
|
|
2.87 |
|
|
|
|
|
90,756 |
|
| |||||||||
|
|
|
Option Awards |
|
|
Stock Awards |
| |||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Name |
|
|
Number of Securities Underlying Unexercised Options (#) Exercisable |
|
|
Number of Securities Underlying Unexercised Options (#) Unexercisable |
|
|
Option Exercise Price ($/Sh) |
|
|
Option Expiration Date |
|
|
Number of Shares or Units of Stock That Have Not Vested (#) |
|
|
Market Value of Shares or Units of Stock That Have Not Vested ($)* |
| ||||||||||||||||||||||||
|
John Melo |
|
|
|
|
279,979 |
(2)(9) |
|
|
|
|
|
— |
|
|
|
|
|
3.93 |
|
|
|
|
|
08/25/2018 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| |||||
|
|
|
298,004 |
(3)(12) |
|
|
|
|
|
— |
|
|
|
|
|
20.41 |
|
|
|
|
|
04/20/2020 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||||
|
|
|
61,250 |
(5)(13) |
|
|
|
|
|
22,750 |
|
|
|
|
|
26.84 |
|
|
|
|
|
04/15/2021 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||||
|
|
|
41,666 |
(5)(15) |
|
|
|
|
|
58,334 |
|
|
|
|
|
3.86 |
|
|
|
|
|
04/09/2022 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||||
|
|
|
— |
(5)(18) |
|
|
|
|
|
361,000 |
|
|
|
|
|
2.87 |
|
|
|
|
|
06/03/2023 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
479,999 |
(6)(7)(13)(15)(18) |
|
|
|
|
|
2,539,195 |
|
| ||||||||
|
Paulo Diniz |
|
|
|
|
137,500 |
(2)(14) |
|
|
|
|
|
112,500 |
|
|
|
|
|
26.84 |
|
|
|
|
|
04/15/2021 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| |||||
|
|
|
8,333 |
(5)(15) |
|
|
|
|
|
11,667 |
|
|
|
|
|
3.86 |
|
|
|
|
|
04/09/2022 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||||
|
|
|
— |
(5)(18) |
|
|
|
|
|
60,000 |
|
|
|
|
|
2.87 |
|
|
|
|
|
06/03/2023 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
136,666 |
(6)(14)(15)(18)(19) |
|
|
|
|
|
722,963 |
|
| ||||||||
|
Joel Cherry |
|
|
|
|
163,500 |
(1)(2)(10) |
|
|
|
|
|
— |
|
|
|
|
|
4.31 |
|
|
|
|
|
09/14/2019 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| |||||
|
|
|
20,000 |
(1)(3)(11) |
|
|
|
|
|
— |
|
|
|
|
|
9.32 |
|
|
|
|
|
01/07/2020 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||||
|
|
|
18,229 |
(5)(13) |
|
|
|
|
|
6,771 |
|
|
|
|
|
26.84 |
|
|
|
|
|
04/15/2021 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||||
|
|
|
10,416 |
(5)(15) |
|
|
|
|
|
14,584 |
|
|
|
|
|
3.86 |
|
|
|
|
|
04/09/2022 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||||
|
|
|
— |
(5)(18) |
|
|
|
|
|
169,000 |
|
|
|
|
|
2.87 |
|
|
|
|
|
06/03/2023 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| ||||||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
250,999 |
(6)(7)(13)(15)(18) |
|
|
|
|
|
1,327,785 |
|
| ||||||||
|
Susanna McFerson |
|
|
|
|
— |
(4)(17) |
|
|
|
|
|
200,000 |
|
|
|
|
|
2.89 |
|
|
|
|
|
03/11/2023 |
|
|
|
|
|
|
|
|
|
|
|
|
|
| |||||
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
130,000 |
(8)(17) |
|
|
|
|
|
687,700 |
|
| ||||||||
|
Steven Mills |
|
|
|
|
166,250 |
(4)(16) |
|
|
|
|
|
— |
|
|
|
|
|
2.76 |
|
|
|
|
|
05/29/2022 |
|
|
|
|
|
— |
(20) |
|
|
|
|
|
— |
|
| ||||
|
|
|
Option Awards |
|
|
Stock Awards |
| |||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Name |
|
|
Number of Shares Acquired on Exercise (#) |
|
|
Value Realized on Exercise ($)(1) |
|
|
Number of Shares Acquired on Vesting (#) |
|
|
Value Realized on Vesting ($)(1) |
| ||||||||||||||||
|
John Melo |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
24,334 |
|
|
|
|
|
75,535 |
|
| ||||
|
Paul Diniz |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
30,000 |
|
|
|
|
|
89,133 |
|
| ||||
|
Joel Cherry |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
21,667 |
|
|
|
|
|
66,768 |
|
| ||||
|
Steve Mills |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
250,000 |
|
|
|
|
|
700,000 |
|
| ||||
|
Gary Loeb |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
1,667 |
|
|
|
|
|
4,834 |
|
| ||||
|
|
|
Qualifying Termination Other Than for Cause Not in Connection with a Change of Control |
|
|
Qualifying Change of Control and Termination Without Cause or Constructive Termination Within Qualifying Period Following a Change of Control |
| |||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Name |
|
|
Base Salary($)(1) |
|
|
COBRA Benefits ($)(1) |
|
|
Value of Accelerated Options or Shares ($)(2) |
|
|
BaseSalary ($)(1) |
|
|
COBRA Benefits ($)(1) |
|
|
Value of Accelerated Options or Shares ($)(2) |
| ||||||||||||||||||||||||
|
John Melo |
|
|
|
|
825,000 |
|
|
|
|
|
40,430 |
|
|
|
|
|
— |
|
|
|
|
|
1,110,000 |
|
|
|
|
|
53,907 |
|
|
|
|
|
3,496,232 |
|
| ||||||
|
Paulo Diniz |
|
|
|
|
400,000 |
|
|
|
|
|
13,660 |
|
|
|
|
|
— |
|
|
|
|
|
600,000 |
|
|
|
|
|
20,490 |
|
|
|
|
|
884,847 |
|
| ||||||
|
Joel Cherry |
|
|
|
|
350,000 |
|
|
|
|
|
282 |
|
|
|
|
|
— |
|
|
|
|
|
525,000 |
|
|
|
|
|
424 |
|
|
|
|
|
1,757,620 |
|
| ||||||
|
Zanna McFerson |
|
|
|
|
375,000 |
|
|
|
|
|
5,945 |
|
|
|
|
|
|
|
|
|
|
|
562,500 |
|
|
|
|
|
8,917 |
|
|
|
|
|
1,167,700 |
|
| ||||||
|
Name |
|
|
Fees Earned or Paid in Cash ($)(1) |
|
|
Stock Awards ($)(2)(3)(4) |
|
|
Option Awards ($)(2)(3)(4) |
|
|
All Other Compensation ($)(5) |
|
|
Total ($) |
| ||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Arthur Levinson |
|
|
|
|
60,000 |
|
|
|
|
|
8,280 |
|
|
|
|
|
11,593 |
|
|
|
|
|
— |
|
|
|
|
|
79,873 |
|
| |||||
|
Philippe Boisseau |
|
|
|
|
60,000 |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
60,000 |
|
| |||||
|
Nam-Hai Chua |
|
|
|
|
62,976 |
|
|
|
|
|
8,280 |
|
|
|
|
|
11,593 |
|
|
|
|
|
— |
|
|
|
|
|
82,849 |
|
| |||||
|
John Doerr |
|
|
|
|
77,150 |
|
|
|
|
|
8,280 |
|
|
|
|
|
11,593 |
|
|
|
|
|
— |
|
|
|
|
|
97,023 |
|
| |||||
|
Geoffrey Duyk |
|
|
|
|
71,250 |
|
|
|
|
|
8,280 |
|
|
|
|
|
11,593 |
|
|
|
|
|
— |
|
|
|
|
|
91,123 |
|
| |||||
|
Carole Piwnica |
|
|
|
|
81,322 |
|
|
|
|
|
8,280 |
|
|
|
|
|
11,593 |
|
|
|
|
|
— |
|
|
|
|
|
101,195 |
|
| |||||
|
Fernando de Castro Reinach |
|
|
|
|
63,544 |
|
|
|
|
|
8,280 |
|
|
|
|
|
11,593 |
|
|
|
|
|
— |
|
|
|
|
|
83,417 |
|
| |||||
|
HH Sheikh Abdullah bin Khalifa Al Thani |
|
|
|
|
60,000 |
|
|
|
|
|
8,280 |
|
|
|
|
|
11,593 |
|
|
|
|
|
— |
|
|
|
|
|
79,873 |
|
| |||||
|
Raymond N Williams |
|
|
|
|
35,444 |
|
|
|
|
|
8,280 |
|
|
|
|
|
53,079 |
|
|
|
|
|
— |
|
|
|
|
|
96,803 |
|
| |||||
|
Ralph Alexander |
|
|
|
|
58,927 |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
58,927 |
|
| |||||
|
Patrick Pichette |
|
|
|
|
47,056 |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
47,056 |
|
| |||||
|
Neil Renninger |
|
|
|
|
10,000 |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
— |
|
|
|
|
|
10,000 |
|
| |||||
|
Name |
|
|
Outstanding Options (Shares) |
|
|
Outstanding Stock Awards (Units) |
| ||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Arthur Levinson |
|
|
|
|
158,000 |
|
|
|
|
|
3,000 |
|
| ||
|
Nam-Hai Chua |
|
|
|
|
32,000 |
|
|
|
|
|
3,000 |
|
| ||
|
John Doerr |
|
|
|
|
38,000 |
|
|
|
|
|
3,000 |
|
| ||
|
Geoffrey Duyk |
|
|
|
|
32,000 |
|
|
|
|
|
3,000 |
|
| ||
|
Carole Piwnica |
|
|
|
|
38,000 |
|
|
|
|
|
3,000 |
|
| ||
|
Fernando de Castro Reinach |
|
|
|
|
38,000 |
|
|
|
|
|
3,000 |
|
| ||
|
Sheikh Abdullah bin Khalifa Al Thani |
|
|
|
|
32,000 |
|
|
|
|
|
3,000 |
|
| ||
|
Raymond N Williams Total |
|
|
|
|
26,000 |
|
|
|
|
|
3,000 |
|
| ||
|
Name |
|
|
Date of Grant |
|
|
Number of Shares of Stock or Units (#)(1) |
|
|
Number of Securities Underlying Options ($)(2) |
|
|
Exercise Price Per Share ($) |
|
|
Value of Stock and Option Awards ($)(2) |
| ||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
|
Arthur Levinson |
|
|
|
|
08/01/2013 |
|
|
|
|
|
|
|
|
|
|
|
6,000 |
|
|
|
|
|
2.76 |
|
|
|
|
|
11,593 |
|
| |||||
|
Arthur Levinson |
|
|
|
|
08/01/2013 |
|
|
|
|
|
3,000 |
|
|
|
|
|
|
|
|
|
|
|
— |
|
|
|
|
|
8,280 |
|
| |||||
|
Nam-Hai Chua |
|
|
|
|
08/01/2013 |
|
|
|
|
|
|
|
|
|
|
|
6,000 |
|
|
|
|
|
2.76 |
|
|
|
|
|
11,593 |
|
| |||||
|
Nam-Hai Chua |
|
|
|
|
08/01/2013 |
|
|
|
|
|
3,000 |
|
|
|
|
|
|
|
|
|
|
|
— |
|
|
|
|
|
8,280 |
|
| |||||
|
John Doerr |
|
|
|
|
08/01/2013 |
|
|
|
|
|
|
|
|
|
|
|
6,000 |
|
|
|
|
|
2.76 |
|
|
|
|
|
11,593 |
|
| |||||
|
John Doerr |
|
|
|
|
08/01/2013 |
|
|
|
|
|
3,000 |
|
|
|
|
|
|
|
|
|
|
|
— |
|
|
|
|
|
8,280 |
|
| |||||
|
Geoffrey Duyk |
|
|
|
|
08/01/2013 |
|
|
|
|
|
|
|
|
|
|
|
6,000 |
|
|
|
|
|
2.76 |
|
|
|
|
|
11,593 |
|
| |||||
|
Geoffrey Duyk |
|
|
|
|
08/01/2013 |
|
|
|
|
|
3,000 |
|
|
|
|
|
|
|
|
|
|
|
— |
|
|
|
|
|
8,280 |
|
| |||||
|
Carole Piwnica |
|
|
|
|
08/01/2013 |
|
|
|
|
|
|
|
|
|
|
|
6,000 |
|
|
|
|
|
2.76 |
|
|
|
|
|
11,593 |
|
| |||||
|
Carole Piwnica |
|
|
|
|
08/01/2013 |
|
|
|
|
|
3,000 |
|
|
|
|
|
|
|
|
|
|
|
— |
|
|
|
|
|
8,280 |
|
| |||||
|
Fernando de Castro Reinach |
|
|
|
|
08/01/2013 |
|
|
|
|
|
|
|
|
|
|
|
6,000 |
|
|
|
|
|
2.76 |
|
|
|
|
|
11,593 |
|
| |||||
|
Fernando de Castro Reinach |
|
|
|
|
08/01/2013 |
|
|
|
|
|
3,000 |
|
|
|
|
|
|
|
|
|
|
|
— |
|
|
|
|
|
8,280 |
|
| |||||
|
HH Sheikh Abdullah bin Khalifa Al Thani |
|
|
|
|
08/01/2013 |
|
|
|
|
|
|
|
|
|
|
|
6,000 |
|
|
|
|
|
2.76 |
|
|
|
|
|
11,593 |
|
| |||||
|
HH Sheikh Abdullah bin Khalifa Al Thani |
|
|
|
|
08/01/2013 |
|
|
|
|
|
3,000 |
|
|
|
|
|
|
|
|
|
|
|
— |
|
|
|
|
|
8,280 |
|
| |||||
|
Raymond N Williams Total |
|
|
|
|
05/13/2013 |
|
|
|
|
|
|
|
|
|
|
|
20,000 |
|
|
|
|
|
2.96 |
|
|
|
|
|
41,486 |
|
| |||||
|
Raymond N Williams Total |
|
|
|
|
08/01/2013 |
|
|
|
|
|
|
|
|
|
|
|
6,000 |
|
|
|
|
|
2.76 |
|
|
|
|
|
11,593 |
|
| |||||
|
Raymond N Williams Total |
|
|
|
|
08/01/2013 |
|
|
|
|
|
3,000 |
|
|
|
|
|
|
|
|
|
|
|
— |
|
|
|
|
|
8,280 |
|
| |||||