The following table sets forth certain information as of January 31, 2018 concerning the ownership of Common Shares by our directors and officers. In preparing the following table, we have relied on information furnished by such persons.
Name and Country of Residence | Shares Beneficially Owned(1) | ||
---|---|---|---|
Number(2) | Percent Ownership | ||
Peer M. Schatz, Germany | 2,681,395 | (3) | 1.18% |
Roland Sackers, Germany | 40,000 | (4) | * |
Stéphane Bancel, United States | 2,081 | (5) | * |
Dr. Metin Colpan, Germany | 3,529,123 | (6) | 1.56% |
Prof. Dr. Manfred Karobath, Austria | 22,631 | (7) | * |
Dr. Ross L. Levine, United States | — | — | |
Dr. Elaine Mardis, United States | — | (8) | — |
Lawrence A. Rosen, United States | — | (9) | — |
Elizabeth Tallett, United States | 10,130 | (10) | * |
* Indicates that the person beneficially owns less than 0.5% of the Common Shares issued and outstanding as of January 31, 2018.
(1) The number of Common Shares outstanding as of January 31, 2018 was 226,556,855. The persons and entities named in the table have sole voting and investment power with respect to all shares shown as beneficially owned by them and have the same voting rights as shareholders with respect to Common Shares.
(2) Does not include Common Shares subject to options or awards held by such persons at January 31, 2018. See footnotes below for information regarding options now exercisable or that could become exercisable within 60 days of the date of this table.
(3) Does not include 628,045 shares issuable upon the exercise of options now exercisable having exercise prices ranging from $15.59 to $22.25 per share. Options expire in increments during the period between February 2019 and February 2023. Does not include 387,518 shares issuable upon the release of unvested stock awards that could become releasable within 60 days from the date of this table.
(4) Does not include 162,483 shares issuable upon the exercise of options now exercisable having exercise prices ranging from $15.59 to $22.25 per share. Options expire in increments during the period between February 2019 and February 2023. Does not include 117,966 shares issuable upon the release of unvested stock awards that could become releasable within 60 days from the date of this table.
(5) Does not include 4,496 shares issuable upon the release of unvested stock awards that could become releasable within 60 days from the date of this table.
(6) Does not include 7,893 shares issuable upon the exercise of options now exercisable having exercise prices ranging from $15.59 to $22.43 per share. Options expire in increments during the period between April 2018 and February 2022. Includes 2,741,579 shares held by CC Verwaltungs GmbH, of which Dr. Colpan is the sole stockholder and 770,370 shares held by Colpan GbR. Does not include 10,496 shares issuable upon the release of unvested stock awards that could become releasable within 60 days from the date of this table.
(7) Does not include 7,893 shares issuable upon the exercise of options now exercisable having exercise prices ranging from $15.59 to $22.43 per share. Options expire in increments during the period between April 2018 and February 2022. Does not include 10,496 shares issuable upon the release of unvested stock awards that could become releasable within 60 days from the date of this table.
(8) Does not include 4,496 shares issuable upon the release of unvested stock awards that could become releasable within 60 days from the date of this table.
(9) Does not include 4,496 shares issuable upon the release of unvested stock awards that could become releasable within 60 days from the date of this table.
(10) Does not include 1,563 shares issuable upon the exercise of options now exercisable having exercise prices of $15.59 per share. Options expire on February 2022. Does not include 10,496 shares issuable upon the release of unvested stock awards that could become releasable within 60 days from the date of this table.
The following table sets forth the options of our officers and directors as of January 31, 2018:
Name | Total Vested Options | Expiration Dates | Exercise Prices |
---|---|---|---|
Peer M. Schatz | 628,045 | 2/27/2019 to 2/28/2023 | $ 15.59 to $ 22.25 |
Roland Sackers | 162,483 | 2/27/2019 to 2/28/2023 | $ 15.59 to $ 22.25 |
Dr. Metin Colpan | 7,893 | 4/29/2018 to 2/28/2022 | $ 15.59 to $ 22.43 |
Prof. Dr. Manfred Karobath | 7,893 | 4/29/2018 to 2/28/2022 | $ 15.59 to $ 22.43 |
Elizabeth E. Tallett | 1,563 | 2/28/2022 | $ 15.59 |