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| | | | | By Order of the Board of Directors, | |
| |
Cambridge, Massachusetts
May 2, 2022 |
| |
/s/ Michael D. Bookman
Michael D. Bookman
General Counsel & Secretary |
|
| | | |
Page
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| | | | | 35 | | | |
| | | | | 35 | | | |
|
Proposal
|
| |
Votes Required
|
| |
Voting Options
|
| |
Impact of
“Withhold” or “Abstain” Votes |
| |
Broker
Discretionary Voting Allowed |
|
| Proposal No. 1: Election of Directors | | |
The plurality of the votes cast. This
means that the two nominees receiving the highest number of affirmative “FOR” votes will be elected as Class I directors. |
| |
“FOR ALL”
“WITHHOLD ALL” “FOR ALL EXCEPT” |
| | None(1) | | | No(3) | |
|
Proposal No. 2: Ratification of
Appointment of Independent Registered Public Accounting Firm |
| |
The vote of the holders
of a majority in voting power of the votes cast affirmatively or negatively (excluding abstentions) at the Annual Meeting by the holders entitled to vote thereon. |
| |
“FOR”
“AGAINST” “ABSTAIN” |
| | None(2) | | | Yes(4) | |
| |
Class I Director -
Current Term Ending at 2022 Annual Meeting |
| |
Class II Director -
Current Term Ending at 2023 Annual Meeting |
| |
Class III Director -
Current Term Ending at 2024 Annual Meeting |
|
| |
Ann E. Berman
|
| |
Peter Feinberg
|
| |
Robert J. Carpenter
|
|
| |
Diana F. Hausman, M.D.
|
| |
Laurie B. Keating
|
| |
Benjamin J. Zeskind, Ph.D.
|
|
|
Class I Directors
|
| |
Age
|
| |
Director Since
|
| |
Current Position at
Immuneering |
|
| Ann E. Berman | | |
69
|
| |
July 2021
|
| |
Director
|
|
| Diana F. Hausman, M.D. | | |
59
|
| |
January 2022
|
| |
Director
|
|
|
Class I Director Nominees
|
| |
Age
|
| |
Director Since
|
| |
Current Position at
Immuneering |
|
| Peter Feinberg | | |
61
|
| |
January 2021
|
| |
Director
|
|
| Laurie B. Keating | | |
68
|
| |
March 2021
|
| |
Director
|
|
|
Class III Directors
|
| |
Age
|
| |
Director Since
|
| |
Current Position at
Immuneering |
|
| Robert J. Carpenter | | |
77
|
| |
May 2009
|
| |
Chairman and Director
|
|
| Benjamin J. Zeskind, Ph.D. | | |
40
|
| |
February 2008
|
| |
Co-Founder, President, Chief Executive Officer, Director
|
|
| | | |
Fiscal
Year 2021 |
| |
Fiscal
Year 2020 |
| ||||||
|
Audit fees(1)
|
| | | $ | 315,000 | | | | | $ | 126,125 | | |
|
Audit-related fees(2)
|
| | | $ | 160,125 | | | | | $ | — | | |
|
Tax fees
|
| | | $ | — | | | | | $ | — | | |
|
All other fees
|
| | | $ | — | | | | | $ | — | | |
|
Total Fees
|
| | | $ | 475,125 | | | | | $ | 126,125 | | |
|
Name
|
| |
Age
|
| |
Position(s)
|
| |
In
Current Position Since |
|
| Benjamin J. Zeskind, Ph.D. | | |
40
|
| | Co-Founder, President, Chief Executive Officer, Director | | |
2008
|
|
| Biren Amin | | |
49
|
| | Chief Financial Officer, Treasurer | | |
2021
|
|
| Scott Barrett, M.D. | | |
59
|
| | Chief Medical Officer | | |
2019
|
|
| Brett Hall, Ph.D. | | |
53
|
| | Chief Scientific Officer | | |
2019
|
|
| Michael D. Bookman | | |
35
|
| | General Counsel, Secretary | | |
2021
|
|
| | — Board size, independence and qualifications | | | — Stock ownership | |
| | — Executive sessions of independent directors | | | — Board access to senior management | |
| | — Board leadership structure | | | — Board access to independent advisors | |
| | — Selection of new directors | | | — Board self-evaluations | |
| |
— Director orientation and continuing education
|
| | — Board meetings | |
| | — Limits on board service | | | — Meeting attendance by directors and non-directors | |
| | — Change of principal occupation | | | — Meeting materials | |
| | — Term limits | | |
— Board committees, responsibilities and independence
|
|
| | — Director responsibilities | | | — Succession planning | |
| | — Director compensation | | | — Risk management | |
|
Name
|
| |
Audit
Committee |
| |
Nominating
and Corporate Governance Committee |
| |
Compensation
Committee |
|
| Ann E. Berman | | |
Chair
|
| |
X
|
| | | |
| Robert J. Carpenter | | |
X
|
| |
Chair
|
| |
X
|
|
| Peter Feinberg | | | | | | | | | | |
| Diana F. Hausman, M.D. | | | | | | | | | | |
| Laurie B. Keating | | |
X
|
| | | | |
Chair
|
|
| Benjamin J. Zeskind, Ph.D. | | | | | | | | | | |
|
Total Number of Directors (6 total)
|
| | | | | | | | | | | | |
| | | |
Female
|
| |
Male
|
| |
Non-
Binary |
| |
Did Not
Disclose Gender |
|
| Part I: Gender Identity | | | | | | | | | | | | | |
|
Directors
|
| |
3
|
| |
3
|
| |
—
|
| |
—
|
|
| Part II: Demographic Background | | | | | | | | | | | | | |
|
African American or Black
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
|
|
Alaskan Native or Native American
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
|
|
Asian
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
|
|
Hispanic or Latinx
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
|
|
Native Hawaiian or Pacific Islander
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
|
|
White
|
| |
3
|
| |
3
|
| |
—
|
| |
—
|
|
|
Two or More Races or Ethnicities
|
| |
—
|
| |
—
|
| |
—
|
| |
—
|
|
|
LGBTQ+
|
| |
—
|
| |||||||||
|
Did Not Disclose Demographic Background
|
| |
—
|
| |||||||||
|
Directors who identify as Military Veterans
|
| |
—
|
| |
1
|
| |
—
|
| |
—
|
|
|
Name and Principal Position
|
| |
Year
|
| |
Salary ($)
|
| |
Bonus ($)(1)
|
| |
Option Awards
($)(2) |
| |
All Other
Compensation ($) |
| |
Total ($)
|
| ||||||||||||||||||
|
Benjamin J. Zeskind, Ph.D.
|
| | | | 2021 | | | | | | 400,238(3) | | | | | | 421,041 | | | | | | 1,704,500 | | | | | | 18,492(4) | | | | | | 2,544,271 | | |
|
President and Chief Executive
Officer |
| | | | 2020 | | | | | | 292,550 | | | | | | 500,000 | | | | | | — | | | | | | 13,495 | | | | | | 806,045 | | |
|
Brett Hall, Ph. D
|
| | | | 2021 | | | | | | 630,000 | | | | | | 189,000 | | | | | | 1,704,500 | | | | | | 690(5) | | | | | | 2,524,190 | | |
|
Chief Scientific Officer
|
| | | | 2020 | | | | | | 615,000 | | | | | | 160,000 | | | | | | — | | | | | | 200 | | | | | | 775,200 | | |
|
Biren Amin
|
| | | | 2021 | | | | | | 312,500(6) | | | | | | 180,000 | | | | | | 2,769,472 | | | | | | 11,558(7) | | | | | | 3,273,530 | | |
|
Chief Financial Officer
|
| | | | 2020 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
|
Name
|
| |
Vesting Start
Date |
| |
Number of
securities underlying unexercised options (#) exercisable |
| |
Number of
securities underlying unexercised options (#) unexercisable |
| |
Option
exercise price ($) |
| |
Option
expiration date |
| |||||||||||||||
|
Benjamin J. Zeskind, Ph.D.
|
| | | | 9/20/2019 | | | | | | 210,000(1) | | | | | | — | | | | | | 3.01 | | | | | | 12/15/2029 | | |
| | | | | | 5/4/2021 | | | | | | —(2) | | | | | | 175,000(2) | | | | | | 9.74 | | | | | | 5/5/2031 | | |
|
Brett Hall, Ph.D.
|
| | | | 11/1/2019 | | | | | | 105,000(3) | | | | | | 96,600(3) | | | | | | 3.01 | | | | | | 12/15/2029 | | |
| | | | | | 5/5/2018 | | | | | | 81,520(3) | | | | | | 9,480(3) | | | | | | 3.01 | | | | | | 2/24/2029 | | |
| | | | | | 5/4/2021 | | | | | | —(2) | | | | | | 175,000(2) | | | | | | 9.74 | | | | | | 5/5/2031 | | |
|
Biren Amin
|
| | | | 5/4/2021 | | | | | | —(2) | | | | | | 284,340(2) | | | | | | 9.74 | | | | | | 5/5/2031 | | |
|
Name
|
| |
Fees
earned or paid in cash ($) |
| |
Option
awards ($)(1) |
| |
All other
compensation ($) |
| |
Total ($)
|
| ||||||||||||
|
Ann E. Berman
|
| | | | 22,745 | | | | | | 344,218 | | | | | | — | | | | | | 366,963 | | |
|
Robert J. Carpenter
|
| | | | 36,012 | | | | | | — | | | | | | — | | | | | | 36,012 | | |
|
Peter Feinberg
|
| | | | 14,742 | | | | | | — | | | | | | — | | | | | | 14,742 | | |
|
Laurie B. Keating
|
| | | | 22,113 | | | | | | 202,096 | | | | | | — | | | | | | 224,209 | | |
|
Andrew Phillips, Ph.D.(2)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
|
Diana F. Hausman, MD(2)
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | |
|
Name
|
| |
Options
outstanding at fiscal year end (exercisable) |
| |
Options
outstanding at fiscal year end (unexercisable) |
| |
Unvested
restricted shares outstanding at fiscal year end |
| |||||||||
|
Ann E. Berman
|
| | | | — | | | | | | 28,372 | | | | | | — | | |
|
Robert J. Carpenter
|
| | | | 55,576 | | | | | | 55,577 | | | | | | — | | |
|
Peter Feinberg
|
| | | | 55,576 | | | | | | 55,577 | | | | | | — | | |
|
Laurie B. Keating
|
| | | | — | | | | | | 60,074 | | | | | | — | | |
|
Andrew Phillips, Ph.D.
|
| | | | — | | | | | | — | | | | | | — | | |
|
Diana F. Hausman
|
| | | | — | | | | | | — | | | | | | — | | |
|
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 (excludes securities Reflected in first column)(1) |
| |||||||||
|
Equity compensation plans approved by security holders(2)
|
| | | | 2,859,568(3) | | | | | $ | 6.55(4) | | | | | | 2,618,936(5) | | |
|
Equity compensation plans not approved by security holders
|
| | | | — | | | | | | — | | | | | | — | | |
|
Total
|
| | | | 2,859,568 | | | | | $ | 6.55 | | | | | | 2,618,936 | | |
| | | |
Shares of
Class A Common Stock Beneficially Owned |
| |
Percentage
of Shares Beneficially Owned |
| ||||||
| Greater than 5% Stockholders | | | | | | | | | | | | | |
|
Entities advised or sub-advised by T. Rowe Price Associates, Inc. and
T. Rowe Price Health Sciences Fund, Inc.(1) |
| | | | 3,188,505 | | | | | | 12.1% | | |
|
Merrin Investors LLC(2)
|
| | | | 2,405,386 | | | | | | 9.1% | | |
|
Entities affiliated with Cormorant Asset Management, LP(3)
|
| | | | 2,252,628 | | | | | | 8.5% | | |
|
Citadel Multi-Strategy Equities Master Fund Ltd.(4)
|
| | | | 2,058,148 | | | | | | 7.8% | | |
|
BlackRock, Inc.(5)
|
| | | | 1,716,170 | | | | | | 6.5% | | |
| Named Executive Officers and Directors | | | | | | | | | | | | | |
|
Benjamin J. Zeskind, Ph.D.(6)
|
| | | | 3,426,515 | | | | | | 12.9% | | |
|
Biren Amin(7)
|
| | | | 83,820 | | | | | | * | | |
|
Brett Hall, Ph.D.(8)
|
| | | | 578,680 | | | | | | 2.2% | | |
|
Ann E. Berman(9)
|
| | | | 9,500 | | | | | | * | | |
|
Robert J. Carpenter(10)
|
| | | | 1,215,993 | | | | | | 4.6% | | |
|
Peter Feinberg(11)
|
| | | | 1,063,218 | | | | | | 4.0% | | |
|
Laurie B. Keating(12)
|
| | | | 24,521 | | | | | | * | | |
|
Diana F. Hausman, MD(13)
|
| | | | 2,800 | | | | | | * | | |
|
All current executive officers and directors as a group (10 persons)(14)
|
| | | | 6,547,148 | | | | | | 23.9% | | |
|
Participants(1)
|
| |
Series A Preferred
Stock |
| |
Aggregate Purchase Price
(in thousands) |
| ||||||
|
Merrin Investors LLC
|
| | | | 409,289 | | | | | $ | 3,500 | | |
|
Robert J. Carpenter
|
| | | | 67,561 | | | | | $ | 512 | | |
|
Benjamin J. Zeskind, Ph.D.
|
| | | | 29,234 | | | | | $ | 250 | | |
|
Brett Hall, Ph.D.
|
| | | | 1,169 | | | | | $ | 10 | | |
|
Scott Barrett, M.D.
|
| | | | 2,338 | | | | | $ | 20 | | |
|
Entities affiliated with Peter Feinberg(2)
|
| | | | 213,215 | | | | | $ | 1,509 | | |
|
Participants(1)
|
| |
Series B Preferred
Stock |
| |
Aggregate Purchase Price
(in thousands) |
| ||||||
|
Merrin Investors LLC
|
| | | | 291,878 | | | | | $ | 3,000 | | |
|
Entities affiliated with Cormorant Asset Management, LP(2)
|
| | | | 1,216,163 | | | | | $ | 12,500 | | |
|
Entities advised or sub-advised by T. Rowe Price Associates, Inc.(3)
|
| | | | 778,345 | | | | | $ | 8,000 | | |
|
Entities affiliated with Blackrock, Inc.(4)
|
| | | | 583,758 | | | | | $ | 6,000 | | |
|
Citadel Multi-Strategy Equities Master Fund Ltd.
|
| | | | 1,216,165 | | | | | $ | 12,500 | | |
|
Benjamin J. Zeskind, Ph.D.
|
| | | | 5,837 | | | | | $ | 60 | | |
|
Robert J. Carpenter
|
| | | | 87,563 | | | | | $ | 900 | | |
|
Brett Hall, Ph.D.
|
| | | | 2,431 | | | | | $ | 25 | | |
|
Scott Barrett, M.D.
|
| | | | 1,945 | | | | | $ | 20 | | |
|
Biren Amin
|
| | | | 1,945 | | | | | $ | 20 | | |
|
Entities affiliated with Peter Feinberg(5)
|
| | | | 87,560 | | | | | $ | 900 | | |
|
Participants(1)
|
| |
Class A Common
Stock |
| |
Aggregate Purchase Price
(in thousands) |
| ||||||
|
Merrin Investors LLC
|
| | | | 1,300,000 | | | | | $ | 19,500 | | |
|
Entities affiliated with Cormorant Asset Management, LP
|
| | | | 550,000 | | | | | $ | 8,250 | | |
|
Entities advised or sub-advised by T. Rowe Price Associates, Inc.
|
| | | | 1,900,000 | | | | | $ | 28,500 | | |
|
Entities affiliated with Blackrock, Inc.
|
| | | | 300,000 | | | | | $ | 4,500 | | |
|
Entities affiliated with Citadel Multi-Strategy Equities Master Fund Ltd.
|
| | | | 400,000 | | | | | $ | 12,500 | | |
|
Benjamin J. Zeskind, Ph.D.
|
| | | | 2,098 | | | | | $ | 31 | | |
|
Robert J. Carpenter
|
| | | | 325,000 | | | | | $ | 4,875 | | |
|
Brett Hall, Ph.D.
|
| | | | 1,353 | | | | | $ | 20 | | |
|
Scott Barrett, M.D.
|
| | | | 667 | | | | | $ | 10 | | |
|
Biren Amin
|
| | | | 4,175 | | | | | $ | 63 | | |
|
Entities affiliated with Peter Feinberg(2)
|
| | | | 291,667 | | | | | $ | 4,375 | | |
|
Michael D. Bookman
|
| | | | 1,402 | | | | | $ | 21 | | |
|
Laurie B. Keating
|
| | | | 7,000 | | | | | $ | 110 | | |
|
Ann E. Berman
|
| | | | 3,500 | | | | | $ | 53 | | |
| | | | |
By Order of the Board of Directors
|
|
| | | | |
/s/ Michael D. Bookman
Michael D. Bookman
General Counsel and Secretary |
|
No information found
* THE VALUE IS THE MARKET VALUE AS OF THE LAST DAY OF THE QUARTER FOR WHICH THE 13F WAS FILED.
| FUND | NUMBER OF SHARES | VALUE ($) | PUT OR CALL |
|---|
| DIRECTORS | AGE | BIO | OTHER DIRECTOR MEMBERSHIPS |
|---|
No information found
No Customers Found
No Suppliers Found
Price
Yield
| Owner | Position | Direct Shares | Indirect Shares |
|---|