| | |
Page
|
| |||
| | | | 1 | | | |
| | | | 7 | | | |
| | | | 13 | | | |
| | | | 20 | | | |
| | | | 22 | | | |
| | | | 24 | | | |
| | | | 26 | | | |
| | | | 27 | | | |
| | | | 34 | | | |
| | | | 35 | | | |
| | | | 38 | | | |
| | | | 39 | | |
Name
|
| |
Class
|
| |
Age
|
| |
Position
|
| |
Director
Since |
|
John A. Orwin
|
| |
III
|
| |
57
|
| |
President, Chief Executive Officer and Director
|
| |
2018
|
|
Tito A. Serafini, Ph.D.
|
| |
II
|
| |
58
|
| | Chief Strategy Officer and Director | | |
2010
|
|
Brian Atwood
|
| |
II
|
| |
69
|
| | Director | | |
2013
|
|
Kristine M. Ball
|
| |
III
|
| |
50
|
| | Director | | |
2020
|
|
Franklin Berger
|
| |
III
|
| |
72
|
| | Director | | |
2014
|
|
Stephen R. Brady
|
| |
I
|
| |
52
|
| | Director | | |
2021
|
|
David Lacey, M.D.
|
| |
I
|
| |
69
|
| | Director | | |
2016
|
|
Stacey Y. Ma, Ph.D.
|
| |
II
|
| |
52
|
| | Director | | |
2021
|
|
William H. Robinson, M.D. Ph.D.
|
| |
II
|
| |
54
|
| | Director | | |
2011
|
|
Lindsey Rolfe, MBChB
|
| |
I
|
| |
54
|
| | Director | | |
2019
|
|
Board Diversity Matrix (As of April 28, 2022)
|
| ||||||||||||
Total Number of Directors
|
| |
10
|
| |||||||||
| | |
Female
|
| |
Male
|
| |
Non-
Binary |
| |
Did Not
Disclose Gender |
|
Part I: Gender Identity | | | | | | | | | | | | | |
Directors
|
| |
3
|
| |
7
|
| |
—
|
| |
—
|
|
Part II: Demographic Background | | | | | | | | | | | | | |
African American or Black
|
| |
0
|
| |
0
|
| |
—
|
| |
—
|
|
Alaskan Native or Native American
|
| |
0
|
| |
0
|
| |
—
|
| |
—
|
|
Asian
|
| |
1
|
| |
0
|
| |
—
|
| |
—
|
|
Hispanic or Latinx
|
| |
0
|
| |
0
|
| |
—
|
| |
—
|
|
Native Hawaiian or Pacific Islander
|
| |
0
|
| |
0
|
| |
—
|
| |
—
|
|
White
|
| |
2
|
| |
7
|
| |
—
|
| |
—
|
|
Two or More Races or Ethnicities
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
|
LGBTQ+
|
| |
—
|
| |||||||||
Did Not Disclose Demographic Background
|
| |
—
|
|
Name
|
| |
Audit
|
| |
Compensation
|
| |
Nominating
and Corporate Governance |
| |
Research and
Development |
| ||||||||||||
John A. Orwin
|
| | | | | | | | | | | | | | | | | | | | | | | | |
Tito A. Serafini, Ph.D
|
| | | | | | | | | | | | | | | | | | | | | | | | |
Brian Atwood(1)
|
| | | | X | | | | | | X* | | | | | | | | | | | | | | |
Kristine M. Ball
|
| | | | X | | | | | | | | | | | | X | | | | | | | | |
Franklin Berger
|
| | | | X* | | | | | | | | | | | | X | | | | | | | | |
Stephen R. Brady(2)
|
| | | | X | | | | | | | | | | | | | | | | | | | | |
David Lacey, M.D
|
| | | | | | | | | | X | | | | | | X* | | | | | | X | | |
Stacey Y. Ma, Ph.D(3)
|
| | | | | | | | | | | | | | | | | | | | | | X | | |
William H. Robinson, M.D., Ph.D
|
| | | | | | | | | | | | | | | | | | | | | | X* | | |
Lindsey Rolfe, MBChB
|
| | | | | | | | | X | | | | | | | | | | | X | | | ||
Total meetings in the year ended December 31, 2021
|
| | | | 4 | | | | | | 3 | | | | | | 3 | | | | | | 4 | | |
Name
|
| |
Fees
Earned or Paid in Cash ($) |
| |
Option
Awards ($) |
| |
All Other
Compensation ($) |
| |
Total ($)
|
| ||||||||||||
Brian Atwood
|
| | | $ | 84,035 | | | | | $ | 86,967 | | | | | $ | — | | | | | $ | 171,003 | | |
Kristine M. Ball
|
| | | $ | 46,500 | | | | | $ | 86,967 | | | | | $ | — | | | | | $ | 133,467 | | |
Franklin Berger
|
| | | $ | 54,000 | | | | | $ | 86,967 | | | | | $ | — | | | | | $ | 140,967 | | |
Stephen R. Brady
|
| | | $ | 19,749 | | | | | $ | 140,774 | | | | | $ | — | | | | | $ | 159,361 | | |
David Lacey, M.D.
|
| | | $ | 53,000 | | | | | $ | 86,967 | | | | | $ | — | | | | | $ | 139,967 | | |
Stacey Y. Ma, Ph.D.
|
| | | $ | 18,587 | | | | | $ | 140,774 | | | | | $ | — | | | | | $ | 160,523 | | |
William H. Robinson, M.D. Ph.D.(2)
|
| | | $ | 45,000 | | | | | $ | 86,967 | | | | | $ | 250,000 | | | | | $ | 381,967 | | |
Lindsey Rolfe, MBChB
|
| | | $ | 45,000 | | | | | $ | 86,967 | | | | | $ | — | | | | | $ | 131,967 | | |
Name
|
| |
Number of
shares subject to outstanding options as of December 31, 2021 |
| |||
Brian Atwood
|
| | | | 70,666 | | |
Kristine M. Ball
|
| | | | 48,000 | | |
Franklin Berger
|
| | | | 58,166 | | |
Stephen R. Brady
|
| | | | 24,000 | | |
David Lacey, M.D.
|
| | | | 78,532 | | |
Stacey Y. Ma, Ph.D.
|
| | | | 24,000 | | |
William H. Robinson, M.D. Ph.D.
|
| | | | 85,666 | | |
Lindsey Rolfe, MBChB
|
| | | | 48,000 | | |
| | |
Year Ended
December 31, |
| |||||||||
| | |
2021
|
| |
2020
|
| ||||||
Audit Fees(1)
|
| | | $ | 42,118 | | | | | $ | 604,876 | | |
Audit-Related Fees
|
| | | | — | | | | | | — | | |
Tax Fees
|
| | | | — | | | | | | — | | |
All Other Fees
|
| | | | — | | | | | | — | | |
Total Fees
|
| | | $ | 42,118 | | | | | $ | 604,876 | | |
| | |
Year Ended
December 31, |
| |||||||||
| | |
2021
|
| |
2020
|
| ||||||
Audit Fees(1)
|
| | | $ | 547,901 | | | | | | — | | |
Audit-Related Fees
|
| | | | — | | | | | | — | | |
Tax Fees
|
| | | | — | | | | | | — | | |
All Other Fees
|
| | | | — | | | | | | — | | |
Total Fees
|
| | | $ | 547,901 | | | | | | — | | |
| | |
Shares Beneficially Owned
|
| |||||||||
Beneficial Owner
|
| |
Number of Shares
of Class A Common Stock |
| |
Percentage of
Shares of Class A Common Stock |
| ||||||
Greater than 5% Stockholders | | | | | | | | | | | | | |
Entities Affiliated with Baker Brothers Life Sciences, L.P.(1)
|
| | | | 3,532,760(2) | | | | | | 11.1% | | |
Entities Affiliated with Boxer Capital, LLC(3)
|
| | | | 2,202,333 | | | | | | 6.9% | | |
BlackRock, Inc.(4)
|
| | | | 2,951,287 | | | | | | 9.3% | | |
Directors and Named Executive Officers | | | | | | | | | | | | | |
John A. Orwin(5)
|
| | | | 1,256,444 | | | | | | 3.8% | | |
Tito A. Serafini, Ph.D.(6)
|
| | | | 691,543 | | | | | | 2.2% | | |
Brian Atwood(7)
|
| | | | 99,786 | | | | | | * | | |
Kristine M. Ball(8)
|
| | | | 28,000 | | | | | | * | | |
Franklin Berger(9)
|
| | | | 135,440 | | | | | | * | | |
Stephen R. Brady
|
| | | | — | | | | | | — | | |
David Lacey, M.D.(10)
|
| | | | 57,998 | | | | | | * | | |
Stacey Y. Ma, Pd.D.
|
| | | | — | | | | | | — | | |
William Robinson, M.D., Ph.D.(11)
|
| | | | 441,370 | | | | | | 1.4% | | |
Lindsey Rolfe, MBChB(12)
|
| | | | 28,000 | | | | | | * | | |
Herbert Cross(13)
|
| | | | 323,159 | | | | | | 1.0% | | |
All executive officers and directors as a group (12 persons)(14)
|
| | | | 3,269,807 | | | | | | 9.6% | | |
Name
|
| |
Age
|
| |
Current Position(s) with Atreca, Inc.
|
|
John A. Orwin | | | 57 | | | President, Chief Executive Officer and Director | |
Herbert Cross | | | 50 | | | Chief Financial Officer | |
Tito A. Serafini, Ph.D. | | | 58 | | | Chief Strategy Officer and Director | |
Courtney J. Phillips | | | 47 | | | General Counsel and Corporate Secretary | |
Name and Principal Position
|
| |
Year
|
| |
Salary
($) |
| |
Option
Awards ($)(1) |
| |
Non-Equity Incentive
Plan Compensation ($) (2) |
| |
All Other
Compensation ($) (3) |
| |
Total ($)
|
| ||||||||||||||||||
John A. Orwin
President and Chief Executive Officer |
| | | | 2021 | | | | | | 583,495 | | | | | | 3,302,611 | | | | | | 300,000 | | | | | | 6,020 | | | | | | 4,192,127 | | |
| | | 2020 | | | | | | 566,500 | | | | | | 3,776,010 | | | | | | 295,996 | | | | | | 1,020 | | | | | | 4,639,526 | | | ||
Tito A. Serafini, Ph.D.
Chief Strategy Officer |
| | | | 2021 | | | | | | 470,453 | | | | | | 1,206,724 | | | | | | 186,299 | | | | | | 6,020 | | | | | | 1,869,497 | | |
| | | 2020 | | | | | | 456,750 | | | | | | 1,378,793 | | | | | | 173,565 | | | | | | 1,020 | | | | | | 2,010,128 | | | ||
Herbert Cross
Chief Financial Officer |
| | | | 2021 | | | | | | 417,768 | | | | | | 1,206,724 | | | | | | 165,437 | | | | | | 6,020 | | | | | | 1,795,949 | | |
| | | 2020 | | | | | | 405,600 | | | | | | 1,519,827 | | | | | | 184,954 | | | | | | 1,020 | | | | | | 2,111,401 | | |
| | | | | |
Option Awards
|
| |
Stock Awards
|
| |||||||||||||||||||||||||||||||||
| | | | | |
Number of securities underlying
unexercised options |
| |
Option
exercise price ($) |
| |
Option
expiration date |
| |
(#) vested
|
| |
(#) unvested
|
| |
Market or
payout value of unearned shares, units or other rights that have not vested ($) |
| |||||||||||||||||||||
Name
|
| |
Grant Date
|
| |
(#) exercisable
|
| |
(#) unexercisable
|
| |||||||||||||||||||||||||||||||||
John A. Orwin
|
| | 4/28/2018(1) | | | | | 695,832 | | | | | | 0 | | | | | $ | 5.16 | | | |
4/27/2028
|
| | | | — | | | | | | — | | | | | | — | | |
| | | 10/30/2018(2) | | | | | 117,764 | | | | | | 30,990 | | | | | $ | 10.02 | | | |
10/29/2028
|
| | | | — | | | | | | — | | | | | | — | | |
| | | 11/15/2018(2) | | | | | 45,476 | | | | | | 13,519 | | | | | $ | 10.02 | | | |
11/14/2028
|
| | | | — | | | | | | — | | | | | | — | | |
| | | 2/26/2020(2) | | | | | 115,749 | | | | | | 125,521 | | | | | $ | 22.07 | | | |
2/25/2030
|
| | | | — | | | | | | — | | | | | | — | | |
| | | 1/27/2021(2) | | | | | 59,583 | | | | | | 200,417 | | | | | $ | 13.97 | | | |
1/26/2031
|
| | | | — | | | | | | — | | | | | | — | | |
| | | 9/9/2021(3) | | | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 0 | | | | | | 115,400 | | | | | $ | 349,662 | | |
| | | 12/23/2021(2) | | | | | 0 | | | | | | 260,000 | | | | | $ | 3.18 | | | |
12/22/2031
|
| | | | — | | | | | | — | | | | | | — | | |
| | | | | |
Option Awards
|
| |
Stock Awards
|
| |||||||||||||||||||||||||||||||||
| | | | | |
Number of securities underlying
unexercised options |
| |
Option
exercise price ($) |
| |
Option
expiration date |
| |
(#) vested
|
| |
(#) unvested
|
| |
Market or
payout value of unearned shares, units or other rights that have not vested ($) |
| |||||||||||||||||||||
Name
|
| |
Grant Date
|
| |
(#) exercisable
|
| |
(#) unexercisable
|
| |||||||||||||||||||||||||||||||||
Tito A. Serafini, Ph.D.
|
| | 2/3/2016(2) | | | | | 11,403 | | | | | | 0 | | | | | $ | 4.56 | | | |
2/2/2026
|
| | | | — | | | | | | — | | | | | | — | | |
| | | 4/28/2018(4) | | | | | 80,620 | | | | | | 0 | | | | | $ | 5.16 | | | |
4/27/2028
|
| | | | — | | | | | | — | | | | | | — | | |
| | |
10/30/2018(2)
|
| | | | 111,944 | | | | | | 29,451 | | | | | $ | 10.02 | | | |
10/29/2028
|
| | | | — | | | | | | — | | | | | | — | | |
| | |
11/15/2018(2)
|
| | | | 38,661 | | | | | | 11,484 | | | | | $ | 10.02 | | | |
11/14/2028
|
| | | | — | | | | | | — | | | | | | — | | |
| | | 2/26/2020(2) | | | | | 42,166 | | | | | | 45,834 | | | | | $ | 22.07 | | | |
2/25/2030
|
| | | | — | | | | | | — | | | | | | — | | |
| | | 1/27/2021(2) | | | | | 21,770 | | | | | | 73,230 | | | | | $ | 13.97 | | | |
1/26/2031
|
| | | | — | | | | | | — | | | | | | — | | |
| | | 9/9/2021(3) | | | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 0 | | | | | | 42,200 | | | | | $ | 127,866 | | |
| | |
12/23/2021(2)
|
| | | | 0 | | | | | | 95,000 | | | | | $ | 3.18 | | | |
12/22/2031
|
| | | | — | | | | | | — | | | | | | — | | |
Herbert Cross
|
| | 4/5/2019(5) | | | | | 159,379 | | | | | | 65,620 | | | | | $ | 12.06 | | | |
4/4/2029
|
| | | | — | | | | | | — | | | | | | — | | |
| | | 2/26/2020(2) | | | | | 46,479 | | | | | | 50,521 | | | | | $ | 22.07 | | | |
2/25/2030
|
| | | | — | | | | | | — | | | | | | — | | |
| | | 1/27/2021(2) | | | | | 21,770 | | | | | | 73,230 | | | | | $ | 13.97 | | | |
1/26/2031
|
| | | | — | | | | | | — | | | | | | — | | |
| | | 9/9/2021(3) | | | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 0 | | | | | | 42,200 | | | | | $ | 127,866 | | |
| | |
12/23/2021(2)
|
| | | | 0 | | | | | | 95,000 | | | | | $ | 3.18 | | | |
12/22/2031
|
| | | | — | | | | | | — | | | | | | — | | |
Plan Category(1)
|
| |
Number of securities
to be issued upon exercise of outstanding options, warrants and rights (a) |
| |
Weighted-average
exercise price of outstanding options, warrants and rights (b) |
| |
Number of securities
remaining available for issuance under equity compensation plans (excluding securities reflected in column (a))(c) |
| |||||||||
Equity compensation plans approved by security holders
|
| | | | 8,030,406(2) | | | | | $ | 11.25(3) | | | | | | 1,024,920(4)(5)(6) | | |