| Time and Date: | | | April 27, 2021 at 3:30 p.m. Irish Standard Time | |
| Place: | | | Theravance Biopharma Ireland Limited, Connaught House, 1 Burlington Road, Dublin 4 Ireland | |
| Items of Business: | | |
(1)
To elect the following three directors to serve as Class I members of the board of directors until the annual general meeting held in 2024 and until their successors are duly elected and qualified: Eran Broshy, Laurie Smaldone Alsup and Burton G. Malkiel.
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(2)
To approve a non-binding proposal to ratify the appointment of Deepika R. Pakianathan to serve as a Class III member of the board of directors until the annual general meeting held in 2023 and until her successor is duly elected and qualified.
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(3)
To ratify the appointment of Ernst & Young LLP as Theravance Biopharma, Inc.’s independent registered public accounting firm for the fiscal year ending December 31, 2021.
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(4)
To transact such other business as may properly come before the annual general meeting or any adjournment thereof.
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| | | | These items of business are more fully described in the proxy statement accompanying this notice. | |
| Adjournments: | | | Any action on the items of business described above may be considered at the annual general meeting at the time and on the date specified above or at any time and date to which the annual general meeting may be properly adjourned. | |
| Record Date: | | | You are entitled to vote if you were a shareholder of record as of the close of business on March 1, 2021. | |
| Voting: | | | Your vote is very important. We encourage you to read the proxy statement and vote on the Internet or by telephone or submit your proxy card as soon as possible. For specific instructions on how to vote your shares, please refer to the section entitled “Questions and Answers About Procedural Matters.” | |
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Name
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Age
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Principal Occupation and Business Experience
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Eran Broshy | | |
62
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| | Eran Broshy has served as a director since June 2014. Mr. Broshy has been working since June 2009 with multiple private equity firms supporting their healthcare investment efforts and on the board of select portfolio companies, including with Nordic Capital (July 2016 — present), Tailwind Capital (Sep 2015 — present), Linden Capital Partners (March 2013 — August 2015), Court Square Capital (March 2013 — August 2015), and Providence Equity Partners (June 2009 — December 2012). Mr. Broshy previously served for over a decade as the chief executive officer (until 2008) and chairman of the board of directors (until 2010) of inVentiv Health, Inc., a privately held company (and until August 2010 a Nasdaq listed company) that delivers a broad range of clinical and commercialization services to pharmaceutical and life sciences companies globally. Prior to joining inVentiv, Mr. Broshy was a management consultant with The Boston | |
Name
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Age
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Principal Occupation and Business Experience
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| | | | | | Consulting Group (BCG) for 14 years, including as the partner responsible for BCG’s healthcare practice across the Americas. He also served as president and chief executive officer of Coelacanth Corporation, a privately held biotechnology company. Within the previous five years Mr. Broshy has also served on the board of directors of Magellan Health. He currently also serves as chairman of the board of ERT and of DermaRite, both privately-held healthcare companies, as a member of the Corporation of the Massachusetts Institute of Technology (“MIT”), as chairman of the American Friends of the Open University of Israel, and on the board of governors of the American Jewish Committee. Mr. Broshy holds an M.B.A. from Harvard University, an M.S. in civil engineering from Stanford University, and a B.S. in civil engineering from the Massachusetts Institute of Technology. Mr. Broshy’ s demonstrated leadership in the healthcare industry in general and the managed healthcare industry in particular contributed to our board’s conclusion that he should serve as a director. | |
Laurie Smaldone Alsup | | |
67
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| | Laurie Smaldone Alsup, M.D. has served as a director since February 2018. Dr. Smaldone Alsup is Chief Medical and Chief Scientific Officer of NDA Group, a regulatory and product development consultancy firm, a position she has held since March 2019. Dr. Smaldone Alsup served as Chief Operating Officer and Chief Scientific Officer of NDA Group from March 2016 until March 2019. Dr. Smaldone Alsup served as President and Chief Scientific Officer of PharmApprove, LLC, a regulatory communications consultancy firm and division of Taft Communications, from August 2011 to March 2016. Dr. Smaldone Alsup served in clinical and regulatory roles of increasing responsibility and scope while at Bristol Myers Squibb, including Senior Vice President of Global Regulatory Science and Vice President of Corporate Strategy and Business Risk Management. In addition, she served as Chief Executive Officer of Phytomedics, Inc., an early stage company focused on arthritis and inflammation. Dr. Smaldone Alsup is a member of the board of directors of BlackBerry Limited, a cybersecurity software and services company, a position she has held since June 2015, Arvinas, Inc., a biotechnology company, a position she has held since November 2019 and Kinnate Biopharma, Inc,. a precision oncology company, a position she has held since August 2020. Dr. Smaldone Alsup was a member of the board of directors of KaloBios Pharmaceuticals, Inc., a biotechnology company, from October 2013 to November 2015. Dr. Smaldone Alsup received a B.A. in biology from Fordham College and an M.D. at Yale University School of Medicine, where she completed her residency in Internal Medicine and fellowship in Medical Oncology. Dr. Smaldone Alsup’s extensive regulatory and clinical experience in the life sciences industry, senior management experience in several companies in our industry and demonstrated leadership in her field contributed to our board’s conclusion that she should serve as a director. | |
Burton G. Malkiel | | |
88
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| | Burton G. Malkiel, Ph.D., has served as a director since October 2013. Prior to our spin-off from Innoviva, Inc. (“Innoviva”) in June 2014 and since July 2007, Dr. Malkiel served as a director of Innoviva. Dr. Malkiel is the Chief Investment Officer and chair of the Investment Committee at Wealthfront, Inc., a private investment | |
Name
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Age
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Principal Occupation and Business Experience
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| | | | | | company, a position he has held since November 2012, and the Chemical Bank Chairman’s Professor of Economics, Emeritus, and Senior Economist at Princeton University, a position he has held since July 2011 following positions as a senior research economist and professor at Princeton University since 1988. Dr. Malkiel is the author of A Random Walk Down Wall Street and over 125 articles and is the author or co-author of nine other books. From 1981 to 1988 he was dean of the Yale University School of Management and also served as the William S. Beinecke Professor of Management Studies. He is a past appointee to the President’s Council of Economic Advisors. In addition, Dr. Malkiel currently serves on the board of directors of several private corporations and served on the board of directors of The Vanguard Group Ltd. until March 2015 and Genmab AS until June 2018. He also serves on several investment management boards including the Investment Committees for the American Philosophical Association and Alpha Shares, LLC. He is a past president of the American Finance Association and the International Atlantic Economic Association. He holds a B.A. and M.B.A. degree from Harvard University and a Ph.D. degree from Princeton University. Dr. Malkiel’s demonstrated leadership in his field, his knowledge of financial and financing matters, and his ability to serve as a financial expert on our audit committee contributed to our board’s conclusion that he should serve as a director. | |
Name
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Age
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Principal Occupation and Business Experience
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Rick E Winningham | | |
61
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| | Rick E Winningham has served as Chairman of the board of directors since July 2013. He has served as our Chief Executive Officer since our spin-off from Innoviva in June 2014. From October 2001 to August 2014, Mr. Winningham served as Chief Executive Officer of Innoviva, where he also served as Chairman of the board of directors from April 2010 to October 2014. From 1997 to 2001 he served as President, Bristol Myers Squibb Oncology/Immunology/Oncology Therapeutics Network (OTN) and also as President of Global Marketing from 2000 to 2001. In addition to operating responsibility for U.S. Oncology/Immunology/OTN at Bristol Myers Squibb (BMS), Mr. Winningham also had full responsibility for Global Marketing in the Cardiovascular, Infectious Disease, Immunology, Oncology/Metabolics and GU/GI/Neuroscience therapeutic areas. Over a fifteen year period beginning in 1986 with BMS and its predecessor, Bristol Myers, Mr. Winningham held various U.S. and global management positions. Mr. Winningham is a member of Biotechnology Industry Organization’s board of directors and serves on the Health Section Governing Board Standing Committee on Reimbursement. Mr. Winningham served as a Director on the board of directors of the California Healthcare Institute (“CHI”) from November 2011 to March 2015. He was elected Chairman of CHI in January 2014, a position he held until CHI merged with Baybio to become the California Life Sciences Association (“CLSA”) in March 2015. Mr. Winningham is on the board of CLSA, and served as its chairman from March 2015 to November 2015. He is a member of the board of directors of Jazz Pharmaceuticals plc. a public biopharmaceutical | |
Name
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Age
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Principal Occupation and Business Experience
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| | | | | | company, and Retrotope Inc, a private biopharmaceutical company, and served as a member of the board of directors of OncoMed Pharmaceuticals, Inc. from June 2015 until April 2019. Mr. Winningham holds an M.B.A. from Texas Christian University and a B.S. degree from Southern Illinois University. We believe that it is appropriate and desirable for our Chief Executive Officer to serve on our board of directors. Mr. Winningham’s demonstrated leadership in his field, his prior senior management experience in our industry and his experience as our Chief Executive Officer contributed to our board’s conclusion that he should serve as a director. | |
Robert V. Gunderson, Jr.
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| |
69
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| | Robert V. Gunderson, Jr. has served as a director since October 2013. Prior to our spin-off from Innoviva in June 2014 and since September 1999, Mr. Gunderson served as a director of Innoviva. He is a founding partner and, since January 2021, Chairman Emeritus of the law firm of Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP, where he has practiced since 1995 and served as Chairman until December 2020. Mr. Gunderson is a Fellow of the American College of Governance Counsel and a Fellow of the American Bar Foundation. Mr. Gunderson served on the board of directors of Vitae Pharmaceuticals, Inc. until its sale to Allergan plc in October 2016. Mr. Gunderson holds a J.D. from the University of Chicago, where he was Executive Editor of The University of Chicago Law Review and is currently a member of the Law School Council. Mr. Gunderson also received an M.B.A. in Finance from The Wharton School, University of Pennsylvania and an M.A. from Stanford University. Mr. Gunderson’s demonstrated leadership in his field, his understanding of our industry and his knowledge of financial and financing matters contributed to our board’s conclusion that he should serve as a director. | |
Susan M. Molineaux | | |
67
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| | Susan M. Molineaux, Ph.D. has served as a director since April 2015. Dr. Molineaux has served as President, Chief Executive Officer and as a member of the board of directors of Calithera Biosciences, Inc. since she co-founded the biopharmaceutical company in March 2010. Dr. Molineaux co-founded Proteolix, Inc., a biopharmaceutical company, where she served as Chief Scientific Officer from 2003 to 2005, Chief Executive Officer from January 2006 to January 2009 and again as Chief Scientific Officer from February 2009 until Proteolix’s acquisition by Onyx Pharmaceuticals, Inc. in November 2009. From 2000 to 2003, Dr. Molineaux served as Vice President of Biology at Rigel Pharmaceuticals, Inc., a drug development company. From 1999 to 2000, she served as Vice President of Biology at Praelux, Inc., a biopharmaceutical company, and from 1994 through 1999, she served as Vice President of Drug Development at Praecis Pharmaceuticals, Inc., a biopharmaceutical company. From 1989 until 1994, she was a scientist in the Immunology group at Merck & Co. Dr. Molineaux also serves as a member of the board of directors of Geron Corporation, a biopharmaceutical company and served as a member of the board of directors of the California Life Sciences Association until March 2016. In June 2017, Dr. Molineaux joined the board of trustees of Smith College and she also serves as on the board of directors of Cyteir Therapeutics, Inc., a privately held biotechnology company. She is also a Scientific Advisor at Lightstone Ventures. Dr. Molineaux holds a B.S. in Biology from Smith College and a Ph.D. in Molecular Biology | |
Name
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Age
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Principal Occupation and Business Experience
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| | | | | | from Johns Hopkins University, and she completed a postdoctoral fellowship at Columbia University. Dr. Molineaux’s extensive management experience in pharmaceutical drug development, particularly as it relates to managing and conducting clinical trials, her experience as a Chief Executive Officer and board member of multiple biotechnology companies and her demonstrated leadership in our field contributed to our board’s conclusion that she should serve as a director. | |
Donal O’Connor | | |
70
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| | Donal O’Connor has served as a director since October 2015. Mr. O’Connor is the Chairman of Galco Steel Limited and Huttonread Unlimited Company, having been appointed to their boards in September 2010 and March 2011, respectively, and has been a nonexecutive Director of Perrigo Company plc since November 2014. He was a non-executive director of Malin Corporation plc from July 2017 (appointed chairman in January 2018) until July 2018. He was a non-executive Director of Elan Corporation, plc, from May 2008 until it was acquired by Perrigo in December 2013. He was a non-executive Director and senior independent director of Readymix plc from December 2008 until May 2012. He was appointed by the Irish Government as Chairman of Anglo Irish Bank from December 2008 until June 2010. He was the Irish High Court appointed Administrator of Icarom plc from 1995 until February 2013. Mr. O’Connor was a member of the Board of the Irish Auditing and Accountancy Supervisory Authority from its inception as an Interim Board in 2001 until 2009. He was a member of PricewaterhouseCoopers’ (“PwC”) Global Board from 2003 until 2008 and is a former Chairman of the PwC Eurofirms Board. Mr. O’Connor originally joined PwC in 1972 and was appointed partner in 1983. He was later appointed partner in charge of the PwC Financial Services practice in 1988 and leader of the Audit Practice in 1992. He was elected Senior Partner in 1994 and was re-elected in 1998 and 2003. He served as Senior Partner of PwC Ireland for over twelve years until 2007. Mr. O’Connor obtained a Bachelor of Commerce degree from University College Dublin and is a Fellow of the Institute of Chartered Accountants in Ireland. Mr. O’Connor’s senior management experience and demonstrated leadership in his field, his experience as a director of numerous companies, including Irish entities, and his knowledge of financial and financing matters contributed to our board’s conclusion that he should serve as a director. | |
Name
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Age
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Principal Occupation and Business Experience
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Dean J. Mitchell | | |
65
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| | Dean J. Mitchell has served as a director since June 2014. Mr. Mitchell is on the board of directors ImmunoGen Inc. since 2012, Precigen, Inc. (formerly Intrexon Corporation) since 2009, Praxis Precision Medicines, Inc. since August 2020, and Kinnate Biopharma, Inc. since August 2020, all of which are public biopharmaceutical companies. He served as Executive Chairman of the board of directors of Covis Pharma Holdings, a specialty pharmaceutical company, from August 2013 until its sale in March 2020 and was Chairman of PaxVax Corporation from January 2016 until it’s sale in October 2018. | |
Name
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Age
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Principal Occupation and Business Experience
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| | | | | | Mr. Mitchell served as President and Chief Executive Officer of Lux Biosciences, Inc., a biotechnology company focusing on the treatment of ophthalmic diseases, from July 2010 to August 2013. Prior to Lux Biosciences, he served as President and Chief Executive Officer of both Alpharma, Inc., a publicly traded specialty pharmaceutical company, from 2006 until its acquisition by King Pharmaceuticals, Inc. in 2008, and Guilford Pharmaceuticals, Inc., a publicly traded pharmaceutical company focused in oncology and acute care, from 2004 until its acquisition by MGI Pharma Inc. in 2005. From 2001 to 2004 he served in various senior executive capacities in the worldwide medicines group of Bristol Myers Squibb Company, a pharmaceutical company. Prior to Bristol Myers Squibb Company, he spent 14 years at GlaxoSmithKline plc, in assignments of increasing responsibility spanning sales, marketing, general management, commercial strategy and clinical development and product strategy. Mr. Mitchell holds an M.B.A. from City University London and a B.Sc. in biology from Coventry University. We believe that Mr. Mitchell’s qualifications to serve as our director include his management experience in the pharmaceutical and biotherapeutics industries, in particular as it relates to later stage drug development and commercialization, and his experience as a President, Chief Executive Officer and board member of multiple biotechnology companies. | |
Deepika R. Pakianathan
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56
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| | Deepika R. Pakianathan, Ph.D., has served as a member of our board of directors since July 2020. Since 2001, Dr. Pakianathan has served as a Managing Member at Delphi Ventures, a venture capital firm. She is also the Chief Executive Officer of Redd Pharmaceuticals, Inc., a privately-held pharmaceuticals company, since September 2019. From 2007 to 2019, Dr. Pakianathan served on the board of directors of Alder Pharmaceuticals, Inc. and from 2004 to 2016, Dr. Pakianathan served on the board of directors of Alexza Pharmaceuticals, Inc. From 1998 to 2001, Dr. Pakianathan served as a Vice President in the healthcare group at JP Morgan Chase & Company. From 1993 to 1997, Dr. Pakianathan served as a postdoctoral scientist in the Immunology Department at Genentech Corporation. Dr. Pakianathan currently serves on the board of directors of Calithera Biosciences, Inc., Karyopharm Therapeutics, Inc., Mereo Biopharma Group PLC and FS Development Corp. II, an SPAC. Dr. Pakianathan holds an M.S. and a Ph.D. from Wake Forest University, a B.Sc. from the University of Bombay, India and an M.Sc. from The Cancer Research Institute at the University of Bombay, India. We believe that Dr. Pakianathan’s qualifications to serve as our director include her scientific experience, experience as board member of multiple biotechnology companies, knowledge of our industry and knowledge of financial and financing matters. | |
George M. Whitesides | | |
81
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| | George M. Whitesides, Ph.D., has served as a director since October 2013. Since the inception of Innoviva in 1996 until our spin-off from Innoviva in June 2014, Dr. Whitesides served as a director of Innoviva. He has been Woodford L. and Ann A. Flowers University Professor at Harvard University since 2004. From 1986 to 2004, Dr. Whitesides was Mallinckrodt Professor of Chemistry at Harvard University. From 1982 to 1991 he was a member of the Department of Chemistry at Harvard University and Chairman of the Department of Chemistry from 1986 to 1989. He was a faculty | |
Name
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Age
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Principal Occupation and Business Experience
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| | | | | | member of the Massachusetts Institute of Technology from 1964 to 1982. Dr. Whitesides was a 1998 recipient of the National Medal of Science. He is a member of the editorial boards of 15 scientific journals. He is also a member of the board of directors of Arsenal Biomedical, Inc., Lyra Biomedical, Inc., Diagnostics for All, Inc., Soft Robotics Inc. and Datacule, Inc. Dr. Whitesides holds a Ph.D. in Chemistry from the California Institute of Technology and a B.A. from Harvard University. Dr. Whitesides’ demonstrated leadership in his field, his knowledge of scientific matters affecting our business and his understanding of our industry contributed to our board’s conclusion that he should serve as a director. | |
William D. Young | | |
76
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| | William D. Young has served as a director since October 2013 and has served as our lead independent director since April 2014. Prior to our spin-off from Innoviva in June 2014 and since April 2001, Mr. Young served as a director of Innoviva. He has been a Senior Advisor of Blackstone Life Sciences since 2018, when Blackstone Life Sciences acquired Claris Ventures. He was a Venture Partner at Claris Ventures from 2010 until 2018.. Mr. Young served from 1999 until 2009 as Chairman of the board of directors and Chief Executive Officer of Monogram Biosciences, Inc., a biotechnology company. From 1980 to 1999 Mr. Young was employed at Genentech, Inc., most recently as Chief Operating Officer, where he was responsible for all Product Development, Manufacturing and Commercial functions. Prior to joining Genentech, Mr. Young worked at Eli Lilly and Company for 14 years. Mr. Young has been Chairman of NanoString Technologies, a biotechnology company, since 2010, and of Annexon Biosciences, a biotechnology company and Clarus portfolio company, since March 2017. In addition, Mr. Young is a member of the board of directors of Praxis Precision Medicine, a public company, and SFJ Pharmaceuticals, both Clarus portfolio companies. He was a member of the board of directors of Vertex Pharmaceuticals until June 2020, BioMarin, Inc. until October 2015, and Biogen Idec Inc. until June 2014, having served as a director since 1997 and as Chairman of the Board since 2010. Mr. Young is also a Trustee of Montage Health, a nonprofit company. Mr. Young received his M.B.A. from Indiana University and his B.S. in Chemical Engineering from Purdue University, and an honorary Doctorate of Engineering from Purdue University. Mr. Young was elected to The National Academy of Engineering in 1993 for his contributions to biotechnology. Mr. Young’s demonstrated leadership in his field, his understanding of our industry and his senior management experience in several companies in our industry contributed to our board’s conclusion that he should serve as a director. | |
| | |
Year Ended December 31
|
| |||||||||
| | |
2020
|
| |
2019
|
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| | |
(in thousands)
|
| |
(in thousands)
|
| ||||||
Audit Fees(1)
|
| | | $ | 1,602 | | | | | $ | 1,567 | | |
Audit-Related Fees
|
| | | | — | | | | | | — | | |
Tax Fees(2)
|
| | | | 927 | | | | | | 628 | | |
All Other Fees(3)
|
| | | | 1 | | | | | | 4 | | |
Total Fees
|
| | | $ | 2,530 | | | | | $ | 2,199 | | |
Name
|
| |
Fees Earned or
Paid in Cash ($)(1) |
| |
Share
Awards ($)(2)(3) |
| |
Option
Awards ($)(2)(4) |
| |
Total
($) |
| ||||||||||||
(a)
|
| |
(b)
|
| |
(c)
|
| |
(d)
|
| |
(h)
|
| ||||||||||||
Eran Broshy
|
| | | | 89,500.00 | | | | | | 199,979 | | | | | | 83,619 | | | | | | 373,098.00 | | |
Robert V. Gunderson, Jr.
|
| | | | 65,500.00 | | | | | | 199,979 | | | | | | 83,619 | | | | | | 349,098.00 | | |
Burton G. Malkiel, Ph.D.
|
| | | | 107,500.00 | | | | | | 199,979 | | | | | | 83,619 | | | | | | 391,098.00 | | |
Dean J. Mitchell
|
| | | | 85,500.00 | | | | | | 199,979 | | | | | | 83,619 | | | | | | 369,098.00 | | |
Susan Molineaux, Ph.D.
|
| | | | 78,500.00 | | | | | | 199,979 | | | | | | 83,619 | | | | | | 362,098.00 | | |
Donal O’Connor
|
| | | | 85,500.00 | | | | | | 199,979 | | | | | | 83,619 | | | | | | 369,098.00 | | |
Deepika R. Pakianathan, Ph.D.
|
| | | | 46,500.00 | | | | | | 166,664 | | | | | | 164,361 | | | | | | 377,525.00 | | |
Peter S. Ringrose, Ph.D.(5)
|
| | | | 25,750.00 | | | | | | 0 | | | | | | 0 | | | | | | 25,750.00 | | |
Laurie Smaldone Alsup, M.D.
|
| | | | 82,230.77 | | | | | | 199,979 | | | | | | 83,619 | | | | | | 365,828.77 | | |
George M. Whitesides, Ph.D.
|
| | | | 68,500.00 | | | | | | 199,979 | | | | | | 83,619 | | | | | | 352,098.00 | | |
William D. Young
|
| | | | 113,500.00 | | | | | | 199,979 | | | | | | 83,619 | | | | | | 397,098.00 | | |
Name
|
| |
Age
|
| |
Position(s)
|
|
Rick E Winningham | | |
61
|
| | Chief Executive Officer and Chairman of the Board | |
Ann B. Brady | | |
54
|
| | President, Theravance Biopharma Ireland Limited | |
Richard A. Graham | | |
47
|
| | Senior Vice President, Development | |
Brett K. Haumann | | |
51
|
| | Senior Vice President, Chief Medical Officer | |
Andrew A. Hindman | | |
48
|
| | Senior Vice President and Chief Financial Officer | |
Frank Pasqualone | | |
65
|
| | Senior Vice President and Chief Commercial Operations Officer | |
Kenneth R. Pitzer | | |
57
|
| | Senior Vice President, Product Strategy and Commercial Planning | |
Vijay Sabesan | | |
48
|
| | Senior Vice President, Technical Operations | |
Bradford J. Shafer | | |
60
|
| | Executive Vice President, General Counsel and Secretary | |
Philip D. Worboys | | |
51
|
| | Senior Vice President, Research and Translational Science | |
|
Peer Group
|
| |||
|
Agios Pharmaceuticals
|
| |
Heron Therapeutics
|
|
|
Amarin
|
| |
ImmunoGen
|
|
|
Arena Pharmaceuticals
|
| |
Ironwood Pharmaceuticals
|
|
|
Bluebird Bio
|
| |
Portola Pharmaceuticals
|
|
|
Corcept Therapeutics
|
| |
Prothena
|
|
|
CytomX Therapeutics
|
| |
PTC Therapeutics
|
|
|
Eagle Pharmaceuticals
|
| |
Radius Health
|
|
|
FibroGen
|
| |
Retrophin
|
|
|
Five Prime Therapeutics
|
| |
Ultragenyx Pharmaceutical
|
|
|
Global Blood Therapeutics
|
| |
Zogenix
|
|
|
Halozyme Therapeutics
|
| | | |
Name
|
| |
Increase in
Annual Base Salary |
| |||
Rick E Winningham
|
| | | | 3.0% | | |
Andrew A. Hindman
|
| | | | 2.4% | | |
Brett K. Haumann
|
| | | | 2.0% | | |
Vijay Sabesan
|
| | | | 3.5% | | |
Bradford J. Shafer
|
| | | | 3.5% | | |
Category
|
| |
2020 Corporate Goals, As Revised in June 2020
|
| |
Original
Weighting |
| |
Weighting
|
| |
Achievement
(out of possible 200%) |
| |||||||||
COMMERCIAL | | |
•
YUPELRI® (Revefenacin) Inhalation Solution: Achieve net sales target established by the Board
|
| | | | 35% | | | | | | 35% | | | | | | 89% | | |
DEVELOPMENT | | |
•
Successful execution and progression of the pivotal Phase 3 Studies of Ampreloxetine
|
| | | | 40% | | | | | | 35% | | | | | | 114% | | |
| | |
•
Successful execution and progression of clinical studies of TD-1473
|
| | | | | | | | | | | | | | | | | | |
| | |
•
Successful execution and progression of NINJA phase 2a program
|
| | | | | | | | | | | | | | | | | | |
| | |
•
Creation, execution and progression of the new COVID-19 development program
|
| | | | | | | | | | | | | | | | | | |
RESEARCH AND TRANSLATIONAL SCIENCE
|
| |
•
Nominate one Development Candidate
|
| | | | 15% | | | | | | 15% | | | | | | 113% | | |
| | |
•
Initiate one new program
|
| | | | | | | | | | | | | | | | | | |
CORPORATE | | |
•
Achieve year-end cash balance of ~2 years projected burn
|
| | | | 10% | | | | | | 15% | | | | | | 113% | | |
| | |
•
Complete 1-2 Corporate/Business Development transaction(s), based on business needs
|
| | | | | | | | | | | | | | | | | | |
| | |
•
Demonstrate organization resilience amongst COVID-19 pandemic (employee retention, engagement, self-care)
|
| | | | | | | | | | | | | | | | | | |
| | |
Total:
|
| | | | 100% | | | | | | 100% | | | | | | 105% | | |
Name
|
| |
Title
|
| |
Cash Bonus
($) |
| |
Percentage
of Target (%) |
| ||||||
Rick E Winningham
|
| | Chief Executive Officer | | | | | 579,646 | | | | | | 95 | | |
Andrew A. Hindman
|
| | Senior Vice President and Chief Financial Officer | | | | | 265,000 | | | | | | 96 | | |
Brett K. Haumann
|
| | Senior Vice President, Chief Medical Officer | | | | | 213,320(1) | | | | | | 70 | | |
Vijay Sabesan
|
| | Senior Vice President, Technical Operations | | | | | 200,000 | | | | | | 98 | | |
Bradford J. Shafer
|
| |
Executive Vice President, General Counsel and Secretary
|
| | | | 265,000 | | | | | | 95 | | |
Name and Title
|
| |
2020 RSUs
|
| |||
Rick E Winningham
Chief Executive Officer |
| | | | 170,000 | | |
Andrew A. Hindman
Senior Vice President and Chief Financial Officer |
| | | | 43,550 | | |
Brett K. Haumann
Senior Vice President and Chief Medical Officer |
| | | | 65,000 | | |
Vijay Sabesan
Senior Vice President, Technical Operations |
| | | | 65,000 | | |
Bradford J. Shafer
Executive Vice President, General Counsel and Secretary |
| | | | 65,000 | | |
Performance Milestone
|
| | | |
Achieve a more diversified shareholder base(1)
|
| |
|
|
Name and Principal Position
|
| |
Year
|
| |
Salary
($)(1) |
| |
Bonus
($) |
| |
Share
Awards ($)(2) |
| |
Option
Awards ($)(2) |
| |
Non-Equity
Incentive Plan Compensation ($)(3) |
| |
All Other
Compensation ($) |
| |
Total
($) |
| ||||||||||||||||||||||||
Rick E Winningham
|
| | | | 2020 | | | | | | 1,014,455 | | | | | | — | | | | | | 4,977,600 | | | | | | — | | | | | | 579,646 | | | | | | 6,045(4) | | | | | | 6,577,746 | | |
Chief Executive Officer
|
| | | | 2019 | | | | | | 983,710 | | | | | | — | | | | | | 4,469,300 | | | | | | — | | | | | | 473,906 | | | | | | 5,496 | | | | | | 5,932,411 | | |
| | | | | 2018 | | | | | | 956,600 | | | | | | 74,767 | | | | | | 796,320 | | | | | | — | | | | | | 690,154 | | | | | | 5,000 | | | | | | 2,522,841 | | |
Andrew A. Hindman(5)
|
| | | | 2020 | | | | | | 551,608 | | | | | | — | | | | | | 1,275,144 | | | | | | — | | | | | | 265,278 | | | | | | 5,920 | | | | | | 2,097,950 | | |
Senior Vice President and
|
| | | | 2019 | | | | | | 315,000 | | | | | | 175,000 | | | | | | 847,000 | | | | | | 2,204,956 | | | | | | 216,000 | | | | | | — | | | | | | 3,757,956 | | |
Chief Financial Officer
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Brett Haumann(6)
|
| | | | 2020 | | | | | | 572,569 | | | | | | — | | | | | | 1,903,200 | | | | | | — | | | | | | 213,589 | | | | | | 53,267(7) | | | | | | 2,742,625 | | |
Senior Vice President,
|
| | | | 2019 | | | | | | 543,047 | | | | | | — | | | | | | 1,708,850 | | | | | | — | | | | | | 170,000 | | | | | | 42,382 | | | | | | 2,464,280 | | |
Clinical Development and
|
| | | | 2018 | | | | | | 497,810 | | | | | | 34,125 | | | | | | 255,960 | | | | | | — | | | | | | 315,000 | | | | | | 414,300 | | | | | | 1,517,194 | | |
Chief Medical Officer
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Vijay Sabesan
|
| | | | 2020 | | | | | | 407,677 | | | | | | — | | | | | | 1,903,200 | | | | | | — | | | | | | 760,326 | | | | | | 6,541(8) | | | | | | 3,077,744 | | |
Senior Vice President,
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Technical Operations
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
Bradford J. Shafer
|
| | | | 2020 | | | | | | 556,321 | | | | | | — | | | | | | 1,903,200 | | | | | | — | | | | | | 264,999 | | | | | | 6,045(9) | | | | | | 2,730,565 | | |
Executive Vice President,
|
| | | | 2019 | | | | | | 537,403 | | | | | | — | | | | | | 1,708,850 | | | | | | — | | | | | | 215,611 | | | | | | 6,983 | | | | | | 2,468,848 | | |
General Counsel and
|
| | | | 2018 | | | | | | 518,080 | | | | | | 33,770 | | | | | | 255,960 | | | | | | — | | | | | | 311,726 | | | | | | 5,000 | | | | | | 1,124,537 | | |
Secretary
|
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| | | | | |
Estimated
Possible Payouts Under Non-Equity Incentive Plan Awards(1) |
| |
All Other
Stock Awards: Number of Shares or Units (#)(2)(3) |
| |
Grant Date
Fair Value of Stock Awards ($) |
| |||||||||||||||
Name
|
| |
Grant
Date |
| |
Target
($) |
| |
Maximum
($) |
| ||||||||||||||||||
Rick E Winningham
|
| |
N/A
|
| | | | 610,154 | | | | | | 1,220,307 | | | | | | — | | | | | | — | | |
| | |
2/3/2020
|
| | | | — | | | | | | — | | | | | | 170,000 | | | | | | 4,977,600 | | |
Andrew A. Hindman
|
| |
N/A
|
| | | | 276,332 | | | | | | 552,663 | | | | | | — | | | | | | — | | |
| | |
2/3/2020
|
| | | | — | | | | | | — | | | | | | 43,550 | | | | | | 1,275,144 | | |
Brett Haumann
|
| |
N/A
|
| | | | 305,127 | | | | | | 610,254 | | | | | | — | | | | | | — | | |
| | |
2/3/2020
|
| | | | — | | | | | | — | | | | | | 65,000 | | | | | | 1,903,200 | | |
Vijay Sabesan
|
| |
N/A
|
| | | | 204,415 | | | | | | 557,893 | | | | | | — | | | | | | — | | |
| | |
2/3/2020
|
| | | | — | | | | | | — | | | | | | 65,000 | | | | | | 1,903,200 | | |
Bradford J. Shafer
|
| |
N/A
|
| | | | 278,947 | | | | | | 408,829 | | | | | | — | | | | | | — | | |
| | |
2/3/2020
|
| | | | — | | | | | | — | | | | | | 65,000 | | | | | | 1,903,200 | | |
| | | | | | | | |
Option Awards
|
| |
Stock Awards
|
| ||||||||||||||||||||||||||||||||||||||||||
Name
|
| |
Security
|
| |
Number of
Securities Underlying Unexercised Options Exercisable (#) |
| |
Number of
Securities Underlying Unexercised Options Unexercisable (#) |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| |
Number of
Shares or Units of Stock That Have Not Vested (#) |
| |
Market
Value of Shares or Units That Have Not Vested ($)(1) |
| |
Equity
Incentive Plan Awards: Number of Unearned Shares, Units or Other Rights that Have Not Vested (#) |
| |
Equity
Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested ($)(2) |
| |||||||||||||||||||||||||||
(a)
|
| | | | | | | |
(b)
|
| |
(c)
|
| |
(e)
|
| |
(f)
|
| |
(g)
|
| |
(h)
|
| |
(i)
|
| |
(j)
|
| ||||||||||||||||||||||||
Rick E Winningham
|
| | | | TBPH | | | | | | 80,000(3) | | | | | | — | | | | | | 23.51 | | | | | | 6/02/2024 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | 320,000(4) | | | | | | — | | | | | | 28.35 | | | | | | 8/21/2024 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 14,000(5) | | | | | | 248,780 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 168,000(6) | | | | | | 2,985,360 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 1,750(7) | | | | | | 31,098 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 8,750(8) | | | | | | 155,488 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 95,625(9) | | | | | | 1,699,256 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 170,000(10) | | | | | | 3,020,900 | | | | | | — | | | | | | — | | |
Andrew A. Hindman
|
| | | | TBPH | | | | | | 92,083(11) | | | | | | 167,917(11) | | | | | | 16.94 | | | | | | 6/30/2029 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 37,500(12) | | | | | | 666,375 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 20,000(13) | | | | | | 355,400 | | | | | | 20,000(13) | | | | | | 355,400 | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 43,550(10) | | | | | | 773,884 | | | | | | — | | | | | | — | | |
Brett Haumann
|
| | | | INVA | | | | | | 94,823(14) | | | | | | — | | | | | | 29.95 | | | | | | 12/01/2023 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | 59,375(3) | | | | | | — | | | | | | 23.51 | | | | | | 6/02/2024 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 4,500(5) | | | | | | 79,965 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 54,000(6) | | | | | | 959,580 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 562(7) | | | | | | 9,987 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 2,812(8) | | | | | | 49,969 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 36,562(9) | | | | | | 649,707 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 65,000(10) | | | | | | 1,155,050 | | | | | | — | | | | | | — | | |
Vijay Sabesan
|
| | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 937(7) | | | | | | 16,650 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 312(15) | | | | | | 5,544 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 11,719(8) | | | | | | 208,374 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 21,094(9) | | | | | | 374,840 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 15,469(16) | | | | | | 274,884 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 65,000(10) | | | | | | 1,155,050 | | | | | | — | | | | | | — | | |
Bradford J. Shafer
|
| | | | TBPH | | | | | | 170,000(17) | | | | | | — | | | | | | 28.75 | | | | | | 9/07/2024 | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 4,500(5) | | | | | | 79,965 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 54,000(6) | | | | | | 959,580 | | | | | | — | | | | | | — | | |
| | | | | | | | |
Option Awards
|
| |
Stock Awards
|
| ||||||||||||||||||||||||||||||||||||||||||
Name
|
| |
Security
|
| |
Number of
Securities Underlying Unexercised Options Exercisable (#) |
| |
Number of
Securities Underlying Unexercised Options Unexercisable (#) |
| |
Option
Exercise Price ($) |
| |
Option
Expiration Date |
| |
Number of
Shares or Units of Stock That Have Not Vested (#) |
| |
Market
Value of Shares or Units That Have Not Vested ($)(1) |
| |
Equity
Incentive Plan Awards: Number of Unearned Shares, Units or Other Rights that Have Not Vested (#) |
| |
Equity
Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested ($)(2) |
| |||||||||||||||||||||||||||
(a)
|
| | | | | | | |
(b)
|
| |
(c)
|
| |
(e)
|
| |
(f)
|
| |
(g)
|
| |
(h)
|
| |
(i)
|
| |
(j)
|
| ||||||||||||||||||||||||
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 562(7) | | | | | | 9,987 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 2,812(8) | | | | | | 49,969 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 36,562(9) | | | | | | 649,707 | | | | | | — | | | | | | — | | |
| | | | | TBPH | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | 65,000(10) | | | | | | 1,155,050 | | | | | | — | | | | | | — | | |
| | | | | | | | |
Stock Awards
|
| |||||||||
Name
|
| |
Security
|
| |
Number of
Shares Acquired on Vesting (#) |
| |
Value
Realized on Vesting ($)(1) |
| |||||||||
(a)
|
| | | | | | | |
(d)
|
| |
(e)
|
| ||||||
Rick E Winningham
|
| | | | TBPH | | | | | | 291,375 | | | | | | 7,107,863 | | |
Andrew A. Hindman
|
| | | | TBPH | | | | | | 32,500 | | | | | | 745,750 | | |
Brett Haumann
|
| | | | TBPH | | | | | | 98,188 | | | | | | 2,391,944 | | |
Vijay Sabesan
|
| | | | TBPH | | | | | | 43,468 | | | | | | 1,006,398 | | |
Bradford J. Shafer
|
| | | | TBPH | | | | | | 99,750 | | | | | | 2,432,400 | | |
Name
|
| |
Bonus for
Year of Termination ($)(1) |
| |
Cash
Severance ($)(2) |
| |
Vacation
Payout ($) |
| |
Options
that Vest ($)(3) |
| |
Restricted
Shares or RSUs that Vest ($)(4) |
| |
Health
and Welfare ($)(5) |
| |
Cash-Based
Awards that Vest(6) |
| |
Total
($) |
| ||||||||||||||||||||||||
(a)
|
| |
(b)
|
| |
(c)
|
| |
(d)
|
| |
(e)
|
| |
(f)
|
| |
(g)
|
| |
(h)
|
| |
(i)
|
| ||||||||||||||||||||||||
Rick E Winningham(7)
|
| | | | 610,154 | | | | | | 3,254,154 | | | | | | 97,777 | | | | | | — | | | | | | 8,140,881 | | | | | | 84,803 | | | | | | | | | | | | 12,187,769 | | |
Andrew A. Hindman
|
| | | | 276,332 | | | | | | 1,243,492 | | | | | | 39,854 | | | | | | 139,371 | | | | | | 1,809,875 | | | | | | 51,355 | | | | | | | | | | | | 3,560,278 | | |
Brett K. Haumann
|
| | | | 305,127 | | | | | | 1,373,072 | | | | | | 29,158 | | | | | | — | | | | | | 2,904,258 | | | | | | 0 | | | | | | | | | | | | 4,611,615 | | |
Vijay Sabesan
|
| | | | 204,415 | | | | | | 919,865 | | | | | | 39,309 | | | | | | — | | | | | | 2,035,216 | | | | | | 84,803 | | | | | | 560,000 | | | | | | 3,283,608 | | |
Bradford J. Shafer
|
| | | | 278,947 | | | | | | 1,255,259 | | | | | | 53,642 | | | | | | — | | | | | | 2,904,258 | | | | | | 84,803 | | | | | | | | | | | | 4,576,908 | | |
| | |
Beneficial Ownership
|
| |||||||||
Name and Address of Beneficial Owner(1)
|
| |
Number of Ordinary
Shares |
| |
Percent of Total
Outstanding Ordinary Shares(2) |
| ||||||
5% Shareholders | | | | | | | | | | | | | |
GlaxoSmithKline plc(3)
|
| | | | 9,644,807 | | | | | | 14.8% | | |
980 Great West Road
Brentford, Middlesex TW8 9GS, United Kingdom |
| | | | | | | | | | | | |
FMR LLC(4)
|
| | | | 9,607,310 | | | | | | 14.7% | | |
245 Summer Street
Boston, MA 02210 |
| | | | | | | | | | | | |
The Baupost Group, L.L.C.(5)
|
| | | | 9,605,996 | | | | | | 14.7% | | |
10 St. James Ave, Suite 1700
Boston, MA 02116 |
| | | | | | | | | | | | |
OrbiMed Capital LLC(6)
|
| | | | 6,219,110 | | | | | | 9.5% | | |
601 Lexington Avenue, 54th Floor
New York, NY 10022 |
| | | | | | | | | | | | |
Wellington Management Group LLP(7)
|
| | | | 5,609,627 | | | | | | 8.6% | | |
c/o Wellington Management Company LLP
280 Congress Street Boston, MA 02210 |
| | | | | | | | | | | | |
Vanguard Group, Inc.(8)
|
| | | | 4,654,309 | | | | | | 7.1% | | |
100 Vanguard Blvd.
Malvern, PA 19355 |
| | | | | | | | | | | | |
BlackRock, Inc.(9)
|
| | | | 4,491,195 | | | | | | 6.9% | | |
55 East 52nd Street
New York, NY 10055 |
| | | | | | | | | | | | |
| | |
Beneficial Ownership
|
| |||||||||
Name and Address of Beneficial Owner(1)
|
| |
Number of Ordinary
Shares |
| |
Percent of Total
Outstanding Ordinary Shares(2) |
| ||||||
Named Executive Officers and Directors | | | | | | | | | | | | | |
Rick E Winningham(10)
|
| | | | 1,437,888 | | | | | | 2.2% | | |
Andrew A. Hindman(11)
|
| | | | 143,292 | | | | | | * | | |
Brett Haumann(12)
|
| | | | 218,374 | | | | | | * | | |
Vijay Sabesan
|
| | | | 94,076 | | | | | | * | | |
Bradford J. Shafer(13)
|
| | | | 306,547 | | | | | | * | | |
Eran Broshy(14)
|
| | | | 83,206 | | | | | | * | | |
Robert V. Gunderson, Jr.(15)
|
| | | | 111,112 | | | | | | * | | |
Burton G. Malkiel, Ph.D.(16)
|
| | | | 128,777 | | | | | | * | | |
Dean Mitchell(17)
|
| | | | 83,206 | | | | | | * | | |
Susan M. Molineaux, Ph.D.(18)
|
| | | | 71,206 | | | | | | * | | |
Donal O’Connor(19)
|
| | | | 64,206 | | | | | | * | | |
Deepika R. Pakianathan, Ph.D.(20)
|
| | | | 17,567 | | | | | | * | | |
Laurie Smaldone Alsup(21)
|
| | | | 56,482 | | | | | | * | | |
George M. Whitesides, Ph.D.(22)
|
| | | | 281,248 | | | | | | * | | |
William D. Young(23)
|
| | | | 100,330 | | | | | | * | | |
All executive officers and directors as a group (20 persons)(24)
|
| | | | 4,117,940 | | | | | | 6.2% | | |
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 Remaining Available for Future Issuance Under Equity Compensation Plans |
| |||||||||
Equity compensation plans approved by shareholders
|
| | | | 8,076,337(1) | | | | | | 25.09(3) | | | | | | 6,707,056(4)(5) | | |
Equity compensation plans not approved by shareholders
|
| | | | 216,760(2) | | | | | | 17.27 | | | | | | 203,261 | | |
Total
|
| | | | 8,293,097 | | | | | | 24.58 | | | | | | 6,910,317 | | |