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Name
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Class
|
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Age
|
| |
Position
|
| |
Director
Since |
| ||||||
John A. Orwin
|
| |
III
|
| | | | 58 | | | |
President, Chief Executive Officer and Director
|
| | | | 2018 | | |
Tito A. Serafini, Ph.D.
|
| |
II
|
| | | | 59 | | | | Chief Strategy Officer and Director | | | | | 2010 | | |
Brian Atwood
|
| |
II
|
| | | | 70 | | | | Director | | | | | 2013 | | |
Kristine M. Ball
|
| |
III
|
| | | | 51 | | | | Director | | | | | 2020 | | |
Franklin Berger
|
| |
III
|
| | | | 73 | | | | Director | | | | | 2014 | | |
Stephen R. Brady
|
| |
I
|
| | | | 53 | | | | Director | | | | | 2021 | | |
David Lacey, M.D.
|
| |
I
|
| | | | 70 | | | | Director | | | | | 2016 | | |
Stacey Y. Ma, Ph.D.
|
| |
II
|
| | | | 53 | | | | Director | | | | | 2021 | | |
William H. Robinson, M.D. Ph.D.
|
| |
II
|
| | | | 55 | | | | Director | | | | | 2011 | | |
Lindsey Rolfe, M.D.
|
| |
I
|
| | | | 55 | | | | Director | | | | | 2019 | | |
Board Diversity Matrix (As of April 27, 2023)
|
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Total Number of Directors
|
| |
10
|
| |||||||||
| | |
Female
|
| |
Male
|
| ||||||
Part I: Gender Identity | | | | | | | | | | | | | |
Directors
|
| | | | 3 | | | | | | 7 | | |
Part II: Demographic Background | | | | ||||||||||
Asian
|
| | | | 1 | | | | | | 0 | | |
White
|
| | | | 2 | | | | | | 7 | | |
Name
|
| |
Audit
|
| |
Compensation
|
| |
Nominating
and Corporate Governance |
| |
Research
and Development |
|
John A. Orwin
|
| | | | | | | | | | | | |
Tito A. Serafini, Ph.D.
|
| | | | | | | | | | | | |
Brian Atwood
|
| | | | |
X*
|
| | | | | | |
Kristine M. Ball
|
| |
X
|
| | | | |
X
|
| | | |
Franklin Berger
|
| |
X*
|
| | | | |
X
|
| | | |
Stephen R. Brady
|
| |
X
|
| | | | | | | | | |
David Lacey, M.D.
|
| | | | |
X
|
| |
X*
|
| |
X
|
|
Stacey Y. Ma, Ph.D.
|
| | | | | | | | | | |
X
|
|
William H. Robinson, M.D., Ph.D.
|
| | | | | | | | | | |
X*
|
|
Lindsey Rolfe, M.D.
|
| | | | |
X
|
| | | | |
X
|
|
Total meetings in the year ended December 31, 2022
|
| |
4
|
| |
3
|
| |
2
|
| |
4
|
|
Name
|
| |
Fees Earned
or Paid in Cash ($) |
| |
Option
Awards ($)(1) |
| |
All Other
Compensation ($) |
| |
Total ($)
|
| ||||||||||||
Brian Atwood
|
| | | | 80,000 | | | | | | 17,774 | | | | | | — | | | | | | 97,774 | | |
Kristine M. Ball
|
| | | | 46,500 | | | | | | 17,774 | | | | | | — | | | | | | 64,274 | | |
Franklin Berger
|
| | | | 54,000 | | | | | | 17,774 | | | | | | — | | | | | | 71,774 | | |
Stephen R. Brady
|
| | | | 42,500 | | | | | | 17,774 | | | | | | — | | | | | | 60,274 | | |
David Lacey, M.D.
|
| | | | 53,000 | | | | | | 17,774 | | | | | | — | | | | | | 70,774 | | |
Stacey Y. Ma, Ph.D.
|
| | | | 40,000 | | | | | | 17,774 | | | | | | — | | | | | | 57,774 | | |
William H. Robinson, M.D. Ph.D.(2)
|
| | | | 45,000 | | | | | | 17,774 | | | | | | 250,000 | | | | | | 312,774 | | |
Lindsey Rolfe, M.D.
|
| | | | 45,000 | | | | | | 17,774 | | | | | | — | | | | | | 62,774 | | |
Name
|
| |
Number of
shares subject to outstanding options as of December 31, 2022 |
| |||
Brian Atwood
|
| | | | 82,666 | | |
Kristine M. Ball
|
| | | | 60,000 | | |
Franklin Berger
|
| | | | 70,166 | | |
Stephen R. Brady
|
| | | | 36,000 | | |
David Lacey, M.D.
|
| | | | 90,532 | | |
Stacey Y. Ma, Ph.D.
|
| | | | 36,000 | | |
William H. Robinson, M.D. Ph.D.
|
| | | | 97,666 | | |
Lindsey Rolfe, M.D.
|
| | | | 60,000 | | |
| | |
Year Ended December 31,
|
| |||||||||
| | |
2022
|
| |
2021
|
| ||||||
Audit Fees(1)
|
| | | $ | 604,419 | | | | | $ | 547,901 | | |
Audit-Related Fees
|
| | | $ | 23,084 | | | | | | — | | |
Tax Fees
|
| | | | — | | | | | | — | | |
All Other Fees
|
| | | | — | | | | | | — | | |
Total Fees
|
| | | $ | 627,503 | | | | | $ | 547,901 | | |
| | |
Year Ended
December 31, 2021 |
| |||
Audit Fees(1)
|
| | | $ | 42,118 | | |
Audit-Related Fees
|
| | | | — | | |
Tax Fees
|
| | | | — | | |
All Other Fees
|
| | | | — | | |
Total Fees
|
| | | $ | 42,118 | | |
| | |
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) | | | | | | 10.9% | | |
Entities Affiliated with Boxer Capital, LLC(3)
|
| | | | 2,202,333 | | | | | | 6.8% | | |
Directors and Named Executive Officers | | | | | | | | | | | | | |
John A. Orwin(4)
|
| | | | 1,375,101 | | | | | | 4.2% | | |
Tito A. Serafini, Ph.D.(5)
|
| | | | 732,495 | | | | | | 2.3% | | |
Brian Atwood(6)
|
| | | | 118,898 | | | | | | * | | |
Kristine M. Ball(7)
|
| | | | 40,000 | | | | | | * | | |
Franklin Berger(8)
|
| | | | 154,552 | | | | | | * | | |
Stephen R. Brady(9)
|
| | | | 8,000 | | | | | | * | | |
David Lacey, M.D.(10)
|
| | | | 77,110 | | | | | | * | | |
Stacey Y. Ma, Ph.D.(11)
|
| | | | 8,000 | | | | | | * | | |
William Robinson, M.D., Ph.D.(12)
|
| | | | 452,740 | | | | | | 1.4% | | |
Lindsey Rolfe, MBChB(13)
|
| | | | 48,000 | | | | | | * | | |
Stephen E. Gould
|
| | | | 402,369 | | | | | | 1.2% | | |
All executive officers and directors as a group (14 persons)(14)
|
| | | | 3,681,185 | | | | | | 11.3% | | |
Name
|
| |
Age
|
| |
Current Position(s) with Atreca, Inc.
|
|
John A. Orwin | | | 58 | | | President, Chief Executive Officer and Director | |
Herbert Cross | | | 51 | | | Chief Financial Officer | |
Tito A. Serafini, Ph.D. | | | 59 | | | Chief Strategy Officer and Director | |
Courtney J. Phillips | | | 48 | | | General Counsel and Corporate Secretary | |
Stephen E. Gould, Ph.D. | | | 58 | | | Chief Scientific Officer | |
Philippe C. Bishop, M.D. | | | 58 | | | Chief Medical Officer | |
Name and Principal Position
|
| |
Year
|
| |
Salary
($) |
| |
Bonus
($)(1) |
| |
Option
Awards ($)(2) |
| |
Non-Equity
Incentive Plan Compensation ($)(3) |
| |
All Other
Compensation ($)(4) |
| |
Total ($)
|
| |||||||||||||||||||||
John A. Orwin
President and Chief Executive Officer |
| | | | 2022 | | | | | | 601,000 | | | | | | — | | | | | | — | | | | | | 324,539 | | | | | | 1,494 | | | | | | 927,033 | | |
| | | 2021 | | | | | | 583,495 | | | | | | — | | | | | | 3,302,611 | | | | | | 300,000 | | | | | | 6,020 | | | | | | 4,192,126 | | | ||
Tito A. Serafini, Ph.D.
Chief Strategy Officer |
| | | | 2022 | | | | | | 484,566 | | | | | | — | | | | | | — | | | | | | 174,444 | | | | | | 6,494 | | | | | | 665,504 | | |
| | | 2021 | | | | | | 470,453 | | | | | | — | | | | | | 1,206,724 | | | | | | 186,299 | | | | | | 6,020 | | | | | | 1,869,496 | | | ||
Stephen E. Gould, Ph.D.
Chief Scientific Officer(5) |
| | | | 2022 | | | | | | 218,205 | | | | | | 80,000 | | | | | | 259,132 | | | | | | 78,554 | | | | | | 3,758 | | | | | | 639,649 | | |
| | | 2021 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
Name
|
| |
Grant Date
|
| |
Option Awards
|
| |
Stock Awards
|
| |||||||||||||||||||||||||||
|
Number of securities underlying
unexercised options |
| |
Option
exercise price ($)(1) |
| |
Option
expiration date |
| |
Number of
shares of stock that have not vested (#) |
| |
Market
value of shares that have not vested ($)(2) |
| |||||||||||||||||||||||
|
(#)
exercisable |
| |
(#)
unexercisable |
| ||||||||||||||||||||||||||||||||
John A. Orwin
|
| |
4/28/2018(3)
|
| | | | 695,832 | | | | | | 0 | | | | | | 5.16 | | | |
4/27/2028
|
| | | | — | | | | | | — | | |
| 12/23/2021(4) | | | | | 70,416 | | | | | | 189,584 | | | | | | 3.18 | | | |
12/22/2031
|
| | | | — | | | | | | — | | | ||
| 10/30/2018(4) | | | | | 148,754 | | | | | | 0 | | | | | | 1.85 | | | |
10/29/2028
|
| | | | — | | | | | | — | | | ||
| 11/15/2018(4) | | | | | 58,995 | | | | | | 0 | | | | | | 1.85 | | | |
11/14//2028
|
| | | | — | | | | | | — | | | ||
| 2/26/2020(4) | | | | | 180,750 | | | | | | 60,250 | | | | | | 1.85 | | | |
2/25/2030
|
| | | | — | | | | | | — | | | ||
| 1/27/2021(4) | | | | | 130,000 | | | | | | 130,000 | | | | | | 1.85 | | | |
1/26/2031
|
| | | | — | | | | | | — | | | ||
| 9/9/2021(5) | | | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 57,700 | | | | | | 46,160 | | |
Name
|
| |
Grant Date
|
| |
Option Awards
|
| |
Stock Awards
|
| |||||||||||||||||||||||||||
|
Number of securities underlying
unexercised options |
| |
Option
exercise price ($)(1) |
| |
Option
expiration date |
| |
Number of
shares of stock that have not vested (#) |
| |
Market
value of shares that have not vested ($)(2) |
| |||||||||||||||||||||||
|
(#)
exercisable |
| |
(#)
unexercisable |
| ||||||||||||||||||||||||||||||||
Tito A. Serafini, Ph.D.
|
| |
2/3/2016(4)
|
| | | | 11,403 | | | | | | 0 | | | | | | 4.56 | | | |
2/2/2026
|
| | | | — | | | | | | — | | |
| 4/28/2018(7) | | | | | 80,620 | | | | | | 0 | | | | | | 5.16 | | | |
4/27/2028
|
| | | | — | | | | | | — | | | ||
|
12/23/2021(4)
|
| | | | 25,729 | | | | | | 69,271 | | | | | | 3.18 | | | |
12/22/2031
|
| | | | — | | | | | | — | | | ||
|
10/30/2018(4)
|
| | | | 101,475 | | | | | | 0 | | | | | | 1.85 | | | |
10/29/2028
|
| | | | — | | | | | | — | | | ||
|
10/30/2018(4)
|
| | | | 39,920 | | | | | | 0 | | | | | | 1.85 | | | |
10/29/2028
|
| | | | — | | | | | | — | | | ||
|
11/15/2018(4)
|
| | | | 50,145 | | | | | | 0 | | | | | | 1.85 | | | |
11/14/2028
|
| | | | — | | | | | | — | | | ||
| 1/27/2021(4) | | | | | 47,500 | | | | | | 47,500 | | | | | | 1.85 | | | |
1/26/2031
|
| | | | — | | | | | | — | | | ||
| 2/26/2020(4) | | | | | 66,000 | | | | | | 22,000 | | | | | | 1.85 | | | |
2/25/2030
|
| | | | — | | | | | | — | | | ||
| 9/9/2021(5) | | | | | — | | | | | | — | | | | | | — | | | |
—
|
| | | | 21,100 | | | | | | 16,880 | | | ||
Stephen E. Gould
|
| | 6/15/2022(6) | | | | | 0 | | | | | | 200,000 | | | | | | 1.75 | | | |
6/14/2032
|
| | | | — | | | | | | — | | |
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
|
| | | | 6,703,974(2) | | | | | $ | 3.56(3) | | | | | | 3,630,696(4)(5)(6) | | |
| | | | By Order of the Board of Directors | |
| | | |
John A. Orwin
President, Chief Executive Officer and Member of the Board of Directors |
|
| April 27, 2023 | | | | |