| | |
页面
|
| |||
一般信息
|
| | | | 2 | | |
提案概述
|
| | | | 7 | | |
第 1 号提案 — 选举 I 类董事
|
| | | | 8 | | |
第2号提案——批准任命德勤会计师事务所为截至2023年12月31日的财年Axcella的独立注册会计师事务所
|
| | | | 13 | | |
第 3 号提案 — 批准对我们重报的公司注册证书的修订,以生效
对我们的普通股进行反向股票分割,比例介于 之间的任何整数之间 1-for-2 和 1-for-25,由我们的董事会自行决定,受董事会的约束 董事放弃此类修正案的权力 |
| | | | 14 | | |
第 4 号提案 — 必要时批准年会休会,如果年会时没有足够的选票来批准第 3 号提案,则征求更多代理人
|
| | | | 24 | | |
有关董事会和公司治理的信息
|
| | | | 25 | | |
董事薪酬
|
| | | | 33 | | |
高管薪酬
|
| | | | 36 | | |
某些关系和关联方交易
|
| | | | 44 | | |
主要股东
|
| | | | 46 | | |
违法行为第 16 (a) 条报告
|
| | | | 49 | | |
审计委员会的报告
|
| | | | 50 | | |
一般事务
|
| | | | 51 | | |
提案
|
| |
需要投票
|
| |
投票选项
|
| |
的影响
“扣留” 或 “弃权” 投票 |
| |
经纪人
自由裁量的 允许投票 |
|
第 1 号提案:选举董事 | | | 所投选票的多数。这意味着获得 “赞成” 票最多的三位被提名人将当选为第一类董事。 | | |
“FOR ALL”
“全部扣留” “除外” |
| |
无 (1)
|
| |
否 (3)
|
|
第2号提案:批准任命独立注册会计师事务所 | | | 持有表决权的持有人在年会上以赞成或反对(不包括弃权票)投赞成票或反对票(不包括弃权票)的表决权占多数的持有人投的赞成票。 | | |
“FOR”
“反对” “弃权” |
| |
None (2)
|
| |
是的 (4)
|
|
第 3 号提案:批准对我们重报的公司注册证书的修订,以实现普通股的反向股票分割 | | | 有权在年会上投票的大部分普通股已发行股份的持有人投赞成票。 | | |
“FOR”
“反对” “弃权” |
| |
None (2)
|
| |
是的 (4)
|
|
第 4 号提案:必要时批准年会休会,如果年会时没有足够的选票来批准第 3 号提案,则征求更多代理人 | | | 持有表决权的持有人在年会上以赞成或反对(不包括弃权票)投赞成票或反对票(不包括弃权票)的表决权占多数的持有人投的赞成票。 | | |
“FOR”
“反对” “弃权” |
| |
None (2)
|
| |
是的 (4)
|
|
名称
|
| |
在 Axcella 任职的职位和职位
|
| |
导演
自 以来 |
| |
年龄
|
|
Torben Straight Nissen,博士 | | | 导演 | | |
2022
|
| |
52
|
|
迈克尔·罗森布拉特,医学博士 | | | 导演 | | |
2022
|
| |
75
|
|
William D. “Chip” Baird | | | 导演 | | |
2018
|
| |
51
|
|
名称
|
| |
在 Axcella 担任的职位和职务
|
| |
导演
自 以来 |
| |
班级和年份
期限将到期 |
| |
年龄
|
|
Gary P. Pisano,博士 | | | 导演 | | |
2011
|
| |
二级 — 2024
|
| |
61
|
|
Cristina M. Rondinone,博士 | | | 导演 | | |
2018
|
| |
二级 — 2024
|
| |
63
|
|
Paul J. Sekhri | | | 导演 | | |
2020
|
| |
二级 — 2024
|
| |
65
|
|
William R. Hinshaw, Jr. | | | 总裁、首席执行官兼董事 | | |
2018
|
| |
三级 — 2025
|
| |
54
|
|
Martin Hendrix | | | 导演 | | |
2022
|
| |
三级 — 2025
|
| |
55
|
|
Robert Rosiello | | | 董事、主席 | | |
2022
|
| |
三级 — 2025
|
| |
65
|
|
Catherine Angell Sohn,Pharm。D.
|
| | 导演 | | |
2019
|
| |
三级 — 2025
|
| |
70
|
|
名称
|
| |
持有 Axcella 的头寸
|
| |
警官
自 以来 |
| |
年龄
|
|
Paul Fehlner,法学博士,博士 | | | 高级副总裁、首席法务官兼公司秘书 | | |
2018
|
| |
60
|
|
费用类别
|
| |
财政年度
2022 ($) |
| |
财政年度
2021 ($) |
| ||||||
审计和审计相关费用 (1)
|
| | | $ | 628,893 | | | | | $ | 588,307 | | |
税费
|
| | | | — | | | | | | — | | |
所有其他费用
|
| | | | — | | | | | | — | | |
总费用
|
| | | $ | 628,893 | | | | | $ | 588,307 | | |
| | |
预反转
split |
| |
一比二
|
| |
一比五
|
| |
1 比 10
|
| |
一比二十
|
| |
一比二五
|
| ||||||||||||||||||
已授权
|
| | | | 150,000,000 | | | | | | 150,000,000 | | | | | | 150,000,000 | | | | | | 150,000,000 | | | | | | 150,000,000 | | | | | | 150,000,000 | | |
已发行
|
| | | | 74,102,008 | | | | | | 37,051,004 | | | | | | 14,820,401 | | | | | | 7,410,200 | | | | | | 3,705,100 | | | | | | 2,964,080 | | |
太棒了
|
| | | | 73,683,027 | | | | | | 36,841,513 | | | | | | 14,736,605 | | | | | | 7,368,302 | | | | | | 3,684,151 | | | | | | 2,947,321 | | |
根据
留待将来发行
到股权激励和员工 福利计划 |
| | | | 5,700,933 | | | | | | 2,850,466 | | | | | | 1,140,186 | | | | | | 570,093 | | | | | | 285,046 | | | | | | 228,037 | | |
行使未偿还期权后可发行的股票数量
|
| | | | 6,099,724 | | | | | | 3,049,862 | | | | | | 1,219,944 | | | | | | 609,972 | | | | | | 304,986 | | | | | | 243,988 | | |
发行已发行限制性股票单位后可发行的股票数量
|
| | | | 47,426 | | | | | | 23,713 | | | | | | 9,485 | | | | | | 4,742 | | | | | | 2,371 | | | | | | 1,897 | | |
已授权但未发行且未保留
|
| | | | 64,468,890 | | | | | | 107,234,445 | | | | | | 132,893,780 | | | | | | 141,446,890 | | | | | | 145,723,446 | | | | | | 146,578,757 | | |
导演
|
| |
R. Rosiello
|
| |
P. Sekhri
|
| |
M. Rosenblatt
|
| |
W. Baird (1)
|
| |
S. Nissen
|
| |
W. Hinshaw (2)
|
| |
M. Hendrix
|
| |
G. Pisano
|
| |
C. Rondinone
|
| |
C. Sohn
|
|
class
|
| |
III
|
| |
II
|
| |
I
|
| |
II
|
| |
I
|
| |
I
|
| |
III
|
| |
III
|
| |
II
|
| |
II
|
|
委员会
|
| ||||||||||||||||||||||||||||||
审计 | | | | | | | | | | | |
椅子
|
| | | | | | | |
X
|
| |
X
|
| | | | | | |
补偿 | | | | | |
X
|
| | | | |
X
|
| | | | | | | | | | | | | | | | |
椅子
|
|
提名与公司治理 | | | | | | | | | | | | | | | | | | | | | | | | | | |
X
|
| |
椅子
|
|
技能和经验
|
| ||||||||||||||||||||||||||||||
业务发展 | | |
X
|
| |
X
|
| | | | |
X
|
| |
X
|
| |
X
|
| |
X
|
| | | | |
X
|
| |
X
|
|
首席执行官经验 | | | | | |
X
|
| | | | | | | |
X
|
| |
X
|
| | | | | | | | | | | | |
商业化 | | |
X
|
| |
X
|
| | | | | | | | | | |
X
|
| |
X
|
| | | | | | | |
X
|
|
Digital | | |
X
|
| |
X
|
| | | | | | | | | | | | | | | | | | | | | | | | |
药物开发 | | |
X
|
| |
X
|
| |
X
|
| | | | |
X
|
| |
X
|
| |
X
|
| | | | |
X
|
| | | |
财务/会计 | | |
X
|
| |
X
|
| | | | |
X
|
| |
X
|
| |
X
|
| |
X
|
| |
X
|
| | | | | | |
政府/监管 | | |
X
|
| | | | | | | | | | | | | |
X
|
| | | | | | | | | | |
X
|
|
医疗保健行业 | | |
X
|
| |
X
|
| |
X
|
| |
X
|
| |
X
|
| |
X
|
| |
X
|
| | | | |
X
|
| |
X
|
|
人际关系 | | |
X
|
| |
X
|
| | | | | | | |
X
|
| |
X
|
| | | | | | | |
X
|
| |
X
|
|
国际 | | |
X
|
| |
X
|
| |
X
|
| | | | | | | |
X
|
| |
X
|
| | | | |
X
|
| |
X
|
|
投资者关系 | | |
X
|
| |
X
|
| | | | |
X
|
| |
X
|
| |
X
|
| | | | | | | | | | |
X
|
|
制造业 | | | | | |
X
|
| | | | | | | | | | | | | | | | | | | | | | | | |
科学/技术 | | | | | | | | |
X
|
| | | | |
X
|
| |
X
|
| |
X
|
| | | | |
X
|
| |
X
|
|
策略 | | |
X
|
| |
X
|
| | | | |
X
|
| |
X
|
| |
X
|
| |
X
|
| |
X
|
| |
X
|
| |
X
|
|
主治医生 | | | | | | | | |
X
|
| | | | | | | | | | | | | | | | | | | | | |
董事会多元化矩阵(截至 2023 年 8 月 1 日)
|
| ||||||||||||
董事总数
|
| |
10
|
| |||||||||
| | |
女
|
| |
男
|
| |
非-
二进制 |
| |
没有
披露 性别 |
|
第一部分:性别认同 | | | | | | | | | | | | | |
导演 | | |
2
|
| |
7
|
| | | | |
1
|
|
第二部分:人口统计背景 | | | | | | | | | | | | | |
非裔美国人或黑人 | | | | | | | | | | | | | |
阿拉斯加原住民或美洲原住民 | | | | | | | | | | | | | |
亚洲人 | | | | | | | | | | | | | |
西班牙裔或拉丁裔 | | |
1
|
| | | | | | | | | |
夏威夷原住民或太平洋岛民 | | | | | | | | | | | | | |
White | | |
1
|
| |
6
|
| | | | | | |
两个或更多种族或民族 | | | | | |
1
|
| | | | | | |
LGBTQ+ | | | | | |
1
|
| | | | | | |
未透露人口统计背景
|
| | | | | | | | | | |
1
|
|
名称
|
| |
已赚取的费用
或已付费 以现金 ($) |
| |
stock
奖项 ($)(1) |
| |
选项
奖项 ($)(1)(3) |
| |
非股权
激励 计划 补偿 ($) |
| |
不合格
已推迟 补偿 收入 ($) |
| |
所有其他
补偿 ($) |
| |
总计 ($)
|
| ||||||||||||
Martin Hendrix,博士
|
| | | | 41,236 | | | | | | | | | 52,628 | | | | | | | | | | | | | | | | | | 93,864 | | |
Catherine Angell Sohn,Pharm.D.
|
| | | | 57,165 | | | | | | | | | 25,952 | | | | | | | | | | | | | | | | | | 83,117 | | |
William D. “Chip” Baird
|
| | | | 67,500 | | | | | | | | | 25,952 | | | | | | | | | | | | | | | | | | 93,452 | | |
Gary P. Pisano,博士
|
| | | | 47,500 | | | | | | | | | 25,952 | | | | | | | | | | | | | | | | | | 73,452 | | |
Cristina M. Rondinone,博士
|
| | | | 44,000 | | | | | | | | | 25,952 | | | | | | | | | | | | | | | | | | 69,952 | | |
Paul Sekhri
|
| | | | 33,832 | | | | | | | | | 52,628 | | | | | | | | | | | | | | | | | | 86,460 | | |
迈克尔·罗森布拉特
|
| | | | 34,725 | | | | | | | | | 52,628 | | | | | | | | | | | | 10,000(2) | | | | | | 97,353 | | |
Robert Rosiello
|
| | | | 15,750(4) | | | | | | | | | 29,680 | | | | | | | | | | | | | | | | | | 45,430 | | |
Torben Straight Nissen
|
| | | | 9,000(4) | | | | | | | | | 29,680 | | | | | | | | | | | | | | | | | | 38,680 | | |
| | |
期权奖励 (1)
|
| |||||||||
名称
|
| |
可锻炼 (#)
|
| |
不可行使 (#)
|
| ||||||
Martin Hendrix,博士
|
| | | | 6,667 | | | | | | 33,333 | | |
Catherine Angell Sohn,Pharm.D.
|
| | | | 53,000 | | | | | | 20,000 | | |
William D. “Chip” Baird
|
| | | | 93,031 | | | | | | 20,000 | | |
Gary P. Pisano,博士
|
| | | | 42,000 | | | | | | 20,000 | | |
Cristina M. Rondinone,博士
|
| | | | 88,144 | | | | | | 20,000 | | |
Paul Sekhri
|
| | | | 6,667 | | | | | | 33,333 | | |
迈克尔·罗森布拉特
|
| | | | 19,898 | | | | | | 33,333 | | |
Robert Rosiello
|
| | | | — | | | | | | 40,000 | | |
Torben Straight Nissen
|
| | | | — | | | | | | 40,000 | | |
| | |
年度
Retainer |
| |||
董事会: | | | | | | | |
除主席之外的所有非雇员成员
|
| | | $ | 40,000 | | |
审计委员会: | | | | | | | |
会员
|
| | | $ | 7,500 | | |
主席
|
| | | $ | 15,000 | | |
薪酬委员会: | | | | | | | |
会员
|
| | | $ | 5,000 | | |
主席
|
| | | $ | 10,000 | | |
提名和公司治理委员会: | | | | | | | |
会员
|
| | | $ | 4,000 | | |
主席
|
| | | $ | 8,000 | | |
| | |
股权薪酬计划信息
|
| |||||||||||||||
计划类别
|
| |
的数量
证券 待发行 运动后 的未完成 期权,认股证 和权利 |
| |
加权
平均值 练习 的价格 太棒了 选项, 认股权证 和权利 |
| |
证券数量
剩余可用 代表未来 发行 低于净值 补偿 套餐(不包括 股票 第一列) |
| |||||||||
股权补偿计划已获得安全部门批准
持有者 (1) |
| | | | 6,612,210(2) | | | | | $ | 5.05 | | | | | | 3,015,476(3)(4) | | |
股权补偿计划未获得证券持有人批准
|
| | | | — | | | | | | — | | | | | | — | | |
总计
|
| | | | 6,612,210 | | | | | $ | 5.05 | | | | | | 3,015,476 | | |
姓名和主要职位
|
| |
年
|
| |
薪水 ($)
|
| |
stock
奖励 ($) |
| |
选项
奖励 ($) (1) |
| |
非股权
激励计划 补偿 ($)(2) |
| |
所有其他
补偿 ($) |
| |
总计 ($)
|
| ||||||||||||||||||
William R. Hinshaw, Jr.
总裁兼首席执行官 |
| | | | 2022 | | | | | | 571,875 | | | | | | | | | 435,679 | | | | | | 291,741 | | | | | | 8,061(4) | | | | | | 1,307,356 | | |
| | | 2021 | | | | | | 546,250 | | | | | | | | | 1,913,241(3) | | | | | | 275,275 | | | | | | 8,700(4) | | | | | | 2,743,466 | | | ||
Paul Fehlner,法学博士,博士
首席法务官 |
| | | | 2022 | | | | | | 398,491 | | | | | | | | | 86,215 | | | | | | 150,769 | | | | | | 8,700(4) | | | | | | 644,175 | | |
玛格丽特·詹姆斯·科齐尔,医学博士 (5)
前高级副总裁兼首席医疗官 |
| | | | 2022 | | | | | | 415,000 | | | | | | | | | 41,133 | | | | | | 157,389 | | | | | | 7,380(4) | | | | | | 620,902 | | |
Robert Crane (6)
前高级副总裁兼首席财务官 |
| | | | 2022 | | | | | | 214,103 | | | | | | | | | 401,801 | | | | | | 121,812 | | | | | | 8,202(4) | | | | | | 745,918 | | |
名称
|
| |
目标奖励
(% br} 基数 薪水) |
| |||
William R. Hinshaw, Jr.
|
| | | | 55 | | |
Paul Fehlner,法学博士,博士
|
| | | | 40 | | |
玛格丽特·詹姆斯·科齐尔,医学博士
|
| | | | 40 | | |
Robert Crane
|
| | | | | | |
| | |
期权奖励
|
| |
股票大奖
|
| |||||||||||||||||||||||||||||||||
名称
|
| |
的数量
证券 底层 未行使 选项 (#) 可锻炼 |
| |
的数量
证券 底层 未行使 选项 (#) 不可行使 |
| |
Equity
激励 计划奖励: 的数量 证券 底层 未行使 未获得 选项 (#) |
| |
选项
练习 价格 ($) |
| |
选项
到期 日期 |
| |
数字
of shares 或单位 of Stock 有 的 不是 已获得 (#) |
| |
市场
的值 股或 个 的单位 库存那个 还没有 已获得 ($) (1) |
| ||||||||||||||||||
William R. Hinshaw
总裁兼首席执行官
|
| | | | 939,028(2) | | | | | | 0(2) | | | | | | | | | 6.21 | | | | | | 6/21/2028 | | | | | | | | | | | | | | |
| | | 57,000(3) | | | | | | 3,800(3) | | | | | | | | | 13.83 | | | | | | 3/22/2029 | | | | | | | | | | | | | | | ||
| | | 117,525(4) | | | | | | 39,175(4) | | | | | | | | | 4.12 | | | | | | 1/2/2030 | | | | | | | | | | | | | | | ||
| | | 164,063(5) | | | | | | 210,937(5) | | | | | | | | | 6.59 | | | | | | 2/8/2031 | | | | | | | | | | | | | | | ||
| | | 0(6) | | | | | | 275,000(6) | | | | | | | | | 1.63 | | | | | | 2/7/2032 | | | | | | | | | | | | | | | ||
| | | 0(6) | | | | | | 100,000(6) | | | | | | | | | 5.00 | | | | | | 2/7/2032 | | | | | | | | | | | | | | | ||
Paul Fehlner,法学博士,博士
首席法务官
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| | | | 97,828(7) | | | | | | 0(7) | | | | | | | | | 6.21 | | | | | | 4/24/2028 | | | | | | 42,500(10) | | | | | | 13,919(10) | | |
| | | 13,500(8) | | | | | | 4,500(8) | | | | | | | | | 3.40 | | | | | | 12/18/2029 | | | | | | | | | | | | | | | ||
| | | 16,875(9) | | | | | | 13,125(9) | | | | | | | | | 4.73 | | | | | | 9/15/2030 | | | | | | | | | | | | | | | ||
| | | 37,188(5) | | | | | | 47,812(5) | | | | | | | | | 6.59 | | | | | | 2/8/2031 | | | | | | | | | | | | | | | ||
| | | 0(6) | | | | | | 70,000(6) | | | | | | | | | 1.63 | | | | | | 2/7/2032 | | | | | | | | | | | | | | | ||
玛格丽特·詹姆斯·科齐尔,医学博士
前高级副总裁兼首席医疗官
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| | | | 18,200(11) | | | | | | 2,600(11) | | | | | | | | | 9.31 | | | | | | 6/27/2029 | | | | | | 13,125(16) | | | | | | 4,298(16) | | |
| | | 7,688(12) | | | | | | 2,562(12) | | | | | | | | | 4.12 | | | | | | 1/2/2030 | | | | | | | | | | | | | | | ||
| | | 5,500(13) | | | | | | 5,500(13) | | | | | | | | | 5.04 | | | | | | 11/10/2030 | | | | | | | | | | | | | | | ||
| | | 13,584(5) | | | | | | 17,466(5) | | | | | | | | | 6.59 | | | | | | 2/08/2031 | | | | | | | | | | | | | | | ||
| | | 3,750(14) | | | | | | 6,250(14) | | | | | | | | | 4.11 | | | | | | 6/25/2031 | | | | | | | | | | | | | | | ||
| | | 18,750(15) | | | | | | 56,250(15) | | | | | | | | | 2.60 | | | | | | 12/10/2031 | | | | | | | | | | | | | | | ||
| | | 0(6) | | | | | | 33,397(6) | | | | | | | | | 1.63 | | | | | | 2/7/2032 | | | | | | | | | | | | | | | ||
Robert Crane
前高级副总裁兼首席财务官
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| | | | 0(17) | | | | | | 200,000(17) | | | | | | | | | 1.63 | | | | | | 5/25/2023 | | | | | | | | | | | | | | |
| | | 0(17) | | | | | | 125,000(17) | | | | | | | | | 1.63 | | | | | | 5/25/2023 | | | | | | | | | | | | | | |
受益所有人姓名
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股票
从中受益 已拥有 |
| |
百分比
of shares 从中受益 已拥有 |
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5% 或以上的股东: | | | | | | | | | | | | | |
旗舰开拓者 (1)
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| | | | 29,251,545 | | | | | | 39.7% | | |
FMR LLC (2)
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| | | | 11,033,193 | | | | | | 15.0% | | |
雀巢股份公司 (3)
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| | | | 11,105,438 | | | | | | 15.1% | | |
HarbourVest Partners, LLC (4)
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| | | | 6,207,929 | | | | | | 8.4% | | |
董事、指定执行官和其他执行官 | | | | | | | | | | | | | |
William R. Hinshaw, Jr. (5)
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| | | | 1,595,869 | | | | | | 2.2% | | |
Paul Fehlner,法学博士,博士 (6)
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| | | | 273,534 | | | | | | * | | |
玛格丽特·詹姆斯·科齐尔,医学博士 (7)
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| | | | 24,283 | | | | | | * | | |
Robert Crane (8)
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| | | | 45,364 | | | | | | * | | |
Martin Hendrix,博士 (9)
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| | | | 16,667 | | | | | | * | | |
Catherine Angell Sohn,Pharm.D. (10)
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| | | | 80,097 | | | | | | * | | |
William D. “Chip” Baird (11)
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| | | | 113,031 | | | | | | * | | |
Gary P. Pisano,博士 (12)
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| | | | 153,798 | | | | | | * | | |
Cristina M. Rondinone,博士 (13)
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| | | | 108,144 | | | | | | * | | |
Paul Sekhri (14)
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| | | | 16,667 | | | | | | * | | |
迈克尔·罗森布拉特 (15)
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| | | | 29,898 | | | | | | * | | |
Robert Rosiello (16)
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| | | | 10,000 | | | | | | * | | |
Torben Straight Nissen (17)
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| | | | 10,000 | | | | | | * | | |
所有执行官和董事作为一个团体(13 人)
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| | | | 2,477,352 | | | | | | 3.4% | | |