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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Outlook Therapeutics Inc | NASDAQ:OTLK | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
-0.22 | -2.47% | 8.70 | 8.55 | 8.70 | 9.123 | 8.49 | 8.93 | 194,073 | 00:15:16 |
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Important Notice Regarding the Availability of Proxy Materials for the Stockholders’ Meeting
to Be Held on Wednesday, March 24, 2021 at 10:00 a.m. Eastern time via live webcast at https://web.lumiagm.com/269779073 |
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The proxy statement and annual report to stockholders are available
at http://www.astproxyportal.com/ast/22704. |
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Your vote is very important to us. Whether or not you expect to attend the Annual Meeting, please complete, date, sign and return the enclosed proxy card, or vote over the telephone or the Internet as instructed in these materials, as promptly as possible in order to ensure your representation at the Annual Meeting. Stockholders who attend the virtual Annual Meeting should follow the instructions found at the meeting center at https://web.lumiagm.com/269779073 to vote during the meeting. Please note, however, that if your shares are held of record by a broker, bank or other nominee and you wish to vote at the Annual Meeting, you must obtain a proxy issued in your name from that record holder and register in advance following the instructions provided by your broker, bank or other nominee.
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| APPENDIX A – FORM OF CERTIFICATE OF AMENDMENT | | | | | | | |
| | Internet proxy voting may be provided to allow you to vote your shares online, with procedures designed to ensure the authenticity and correctness of your proxy vote instructions. However, please be aware that you must bear any costs associated with your internet access, such as usage charges from internet access providers and telephone companies. | | |
name
|
| |
age(1)
|
| |
principal occupation/position held with the company
|
|
Lawrence A. Kenyon | | |
55
|
| | President, Chief Executive Officer, Chief Financial Officer, Treasurer, Corporate Secretary and Director, Class II | |
Gerd Auffarth | | |
56
|
| | Director, Class II | |
Andong Huang | | |
24
|
| | Director, Class II | |
name
|
| |
age(1)
|
| |
principal occupation/position held with the company, class
|
|
Ralph H. “Randy” Thurman | | |
71
|
| | Executive Chairman, Director, Class III | |
Julian Gangolli | | |
63
|
| | Director, Class III | |
Yezan Haddadin | | |
45
|
| | Director, Class I | |
Kurt J. Hilzinger | | |
60
|
| | Director, Class I | |
Faisal G. Sukhtian | | |
36
|
| | Director, Class I | |
Name
|
| |
Audit
|
| |
Compensation
|
| |
Nominating and
Corporate Governance |
| |
Executive
|
|
Lawrence A. Kenyon
|
| | | | | | | | | | |
X
|
|
Kurt J. Hilzinger
|
| |
X*
|
| |
X
|
| | | | | | |
Faisal G. Sukhtian
|
| | | | | | | |
X*
|
| |
X
|
|
Ralph “Randy” H. Thurman
|
| | | | |
X*
|
| |
X
|
| |
X
|
|
Yezan Haddadin
|
| |
X
|
| |
X
|
| | | | |
X
|
|
Julian Gangolli(1)
|
| |
X
|
| | | | | | | |
X
|
|
Gerd Auffarth(2)
|
| | | | | | | |
X
|
| | | |
Andong Huang
|
| | | | | | | | | | | | |
| | |
Fiscal Year Ended
|
| |||||||||
| | |
2020
|
| |
2019
|
| ||||||
Audit Fees
|
| | | $ | 318,000 | | | | | $ | 430,000 | | |
Tax Fees
|
| | | | 31,403 | | | | | | 80,809 | | |
Total Fees
|
| | | $ | 349,403 | | | | | $ | 510,809 | | |
| | |
Common Stock
|
| |||||||||
Name of Beneficial Owner
|
| |
Number of
Shares Beneficially Owned |
| |
%
|
| ||||||
Five Percent Stockholders (other than directors and officers): | | | | | | | | | | | | | |
BioLexis Pte. Ltd.(1)
|
| | | | 50,965,058 | | | | | | 29.6% | | |
Syntone Ventures, LLC(2)
|
| | | | 19,823,045 | | | | | | 11.5% | | |
GMS Ventures and Investments(3)
|
| | | | 12,050,945 | | | | | | 6.9% | | |
Named Executive Officers and Directors: | | | | | | | | | | | | | |
Lawrence A. Kenyon, Director, Chief Executive Officer, Chief Financial Officer, Treasurer and Corporate Secretary(4)
|
| | | | 256,784 | | | | | | * | | |
Jeff Evanson, Chief Commercial Officer
|
| | | | 1,207,457 | | | | | | * | | |
Terry Dagnon, Chief Operating Officer
|
| | | | 1,207,457 | | | | | | * | | |
Ralph H. “Randy” Thurman, Executive Chairman(5)
|
| | | | 530,545 | | | | | | * | | |
Gerd Auffarth, M.D, Director(6)
|
| | | | 62,666 | | | | | | * | | |
Julian Gangolli, Director(7)
|
| | | | 110,380 | | | | | | * | | |
Yezan Haddadin, Director(8)
|
| | | | 206,392 | | | | | | * | | |
Kurt J. Hilzinger, Director(9)
|
| | | | 201,585 | | | | | | * | | |
Andong Huang, Director(10)
|
| | | | 50,278 | | | | | | * | | |
Faisal G. Sukhtian, Director(11)
|
| | | | 202,632 | | | | | | * | | |
All executive officers and directors as a group (10 persons)
|
| | | | 4,036,176 | | | | | | 2.3% | | |
Name
|
| |
Age
|
| |
Position(s)
|
|
Lawrence A. Kenyon | | |
55
|
| | Director, Chief Executive Officer, President, Chief Financial Officer, Treasurer and Corporate Secretary | |
Terry Dagnon | | |
59
|
| | Chief Operating Officer | |
Jeff Evanson | | |
52
|
| | Chief Commercial Officer | |
Name and Principal Position
|
| |
Year
|
| |
Salary
($) |
| |
Bonus
($)(1) |
| |
Option
Awards ($)(2) |
| |
All
Other Compensation ($)(3) |
| |
Total
($) |
| |||||||||||||||
Lawrence A. Kenyon
Director, Chief Executive Officer, President, Chief Financial Officer, Treasurer and Corporate Secretary |
| |
2020
|
| | | | 425,000 | | | | | | 116,875 | | | | | | 621,449 | | | | | | 21,010 | | | | | | 1,184,334 | | |
|
2019
|
| | | | 425,000 | | | | | | — | | | | | | 1,419,880 | | | | | | 19,021 | | | | | | 1,863,901 | | | ||
Terry Dagnon(4)
Chief Operating Officer |
| |
2020
|
| | | | — | | | | | | — | | | | | | — | | | | | | 159,677 | | | | | | 159,677 | | |
|
2019
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | | ||
Jeff Evanson(4)
Chief Commercial Officer |
| |
2020
|
| | | | — | | | | | | — | | | | | | — | | | | | | 159,677 | | | | | | 159,677 | | |
|
2019
|
| | | | — | | | | | | — | | | | | | — | | | | | | — | | | | | | — | | |
| | |
Option awards(1)
|
| |||||||||||||||||||||||||||
Name
|
| |
Grant
date |
| |
Number of
securities underlying unexercised options (#) exercisable |
| |
Number of
securities underlying unexercised options (#) unexercisable |
| |
Equity incentive plan
awards: Number of securities underlying unexercised unearned options (#) |
| |
Option
exercise price ($) |
| |
Option
expiration date |
| ||||||||||||
Lawrence A. Kenyon
|
| |
8/1/2018
|
| | | | 31,250 | | | | | | 31,250(2) | | | | | | — | | | | | | 6.88 | | | |
8/1/2028
|
|
|
2/19/2019
|
| | | | 25,000 | | | | | | 75,000(2) | | | | | | — | | | | | | 10.56 | | | |
2/19/2029
|
| ||
|
9/12/2019
|
| | | | 112,500 | | | | | | 337,500(2) | | | | | | — | | | | | | 1.75 | | | |
9/12/2029
|
| ||
|
3/19/2020
|
| | | | — | | | | | | 216,435(2) | | | | | | — | | | | | | 0.54 | | | |
3/19/2030
|
| ||
|
7/17/2020
|
| | | | — | | | | | | 450,000(2) | | | | | | — | | | | | | 1.58 | | | |
7/17/2030
|
|
Name
|
| |
Fees Earned or
Paid in Cash(1) ($) |
| |
Option
Awards(2)(3) ($) |
| |
Total
($) |
| |||||||||
Randy Thurman
|
| | | | — | | | | | | 399,998 | | | | | | 399,998 | | |
Gerd Auffarth(4)
|
| | | | — | | | | | | 172,804 | | | | | | 172,804 | | |
Julian Gangolli(5)
|
| | | | — | | | | | | 186,394 | | | | | | 186,394 | | |
Kurt Hilzinger
|
| | | | — | | | | | | 318,870 | | | | | | 318,870 | | |
Yezan Haddadin
|
| | | | — | | | | | | 256,665 | | | | | | 256,665 | | |
Andong Huang(6)
|
| | | | — | | | | | | 177,049 | | | | | | 177,049 | | |
Faisal G. Sukhtian
|
| | | | — | | | | | | 259,335 | | | | | | 259,335 | | |
Board Committee
|
| |
Chairperson
Fee |
| |
Member
Fee |
| ||||||
Audit Committee
|
| | | $ | 15,000 | | | | | $ | 7,500 | | |
Compensation Committee
|
| | | | 10,000 | | | | | | 5,000 | | |
Nominating and Corporate Governance Committee
|
| | | | 8,000 | | | | | | 4,000 | | |
Executive Committee
|
| | | | — | | | | | | 30,000 | | |
| | |
Option awards
|
| |||||||||||||||||||||||||||
Name
|
| |
Grant date
|
| |
Number of
options granted |
| |
Grant
date fair value ($) |
| |
Option
exercise price ($) |
| |
Option
expiration date |
| |||||||||||||||
Randy Thurman
|
| | | | 10/03/2019 | | | | | | 207,036 | | | | | | 204,000 | | | | | | 1.40 | | | | | | 10/03/2029 | | |
Gerd Auffarth
|
| | | | 7/01/2020 | | | | | | 19,874 | | | | | | 17,849 | | | | | | 1.28 | | | | | | 7/01/2030 | | |
Julian Gangolli
|
| | | | 7/01/2020 | | | | | | 35,006 | | | | | | 31,439 | | | | | | 1.28 | | | | | | 7/01/2030 | | |
Kurt Hilzinger
|
| | | | 10/03/2019 | | | | | | 60,893 | | | | | | 60,000 | | | | | | 1.40 | | | | | | 10/03/2029 | | |
Yezan Haddadin
|
| | | | 10/03/2019 | | | | | | 80,176 | | | | | | 79,000 | | | | | | 1.40 | | | | | | 10/03/2029 | | |
Yezan Haddadin
|
| | | | 1/02/2020 | | | | | | 5,980 | | | | | | 3,830 | | | | | | 0.88 | | | | | | 1/01/2030 | | |
Andong Huang
|
| | | | 7/01/2020 | | | | | | 11,376 | | | | | | 10,217 | | | | | | 1.28 | | | | | | 7/01/2030 | | |
Faisal G. Sukhtian
|
| | | | 10/03/2019 | | | | | | 86,772 | | | | | | 85,500 | | | | | | 1.40 | | | | | | 10/03/2029 | | |
1 Year Outlook Therapeutics Chart |
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