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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 4/15/22 Senseonics Holdings, Inc. DEF 14A 5/26/22 1:5.1M Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: DEF 14A Definitive Proxy Statement HTML 369K
tm223449-1_def14a - none - 12.171928s |
| | Important Notice Regarding the Availability of Proxy Materials for the Stockholders’ Meeting to Be Held on May 26, 2022 at 10:00 a.m. EDT at www.meetnow.global/MUNNYQA | | |
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The proxy statement and annual report to stockholders are available at www.envisonreports.com/sens.
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| | You are cordially invited to attend the meeting online. Whether or not you expect to attend the meeting, please vote by one of following methods as promptly as possible in order to ensure your representation at the meeting: 1) over the internet at www.envisionreports.com/sens, 2) by telephone by calling the toll-free number 1-800-652-VOTE, or 3) by completing, dating, signing and returning the enclosed proxy card in the accompanying postage-paid envelope. Even if you have voted by proxy, you may still vote online if you attend 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 online at the meeting, you must obtain a proxy issued in your name from that record holder. | | |
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Proposals
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Page
|
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Voting Standard
|
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Board
Recommendation |
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Election of Directors | | | | | Plurality | | |
FOR each director
nominee |
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Advisory approval of the compensation of the Company’s named executive officers | | | | | Majority of shares present in person or virtually or represented by proxy and entitled to vote on the matter. | | |
FOR
|
| |
Ratification of the selection of KPMG LLP as the Company’s independent registered public accounting firm for fiscal year ending December 31, 2022 | | | | | Majority of shares present in person or virtually or represented by proxy and entitled to vote on the matter. | | |
FOR
|
|
|
Proposal
Number |
| |
Proposal Description
|
| |
Vote Required for Approval
|
| |
Effect of
Abstentions |
| |
Effect of Broker
Non-Votes |
|
|
1
|
| | Election of Directors | | | Three nominees receiving the most “For” votes; withheld votes will have no effect | | |
Not applicable
|
| | No effect | |
|
2
|
| | Advisory approval of the compensation of our named executive officers | | | “For” votes from the holders of a majority of shares present at the Annual Meeting or represented by proxy and entitled to vote on the matter | | | Against | | | No effect | |
|
Proposal
Number |
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Proposal Description
|
| |
Vote Required for Approval
|
| |
Effect of
Abstentions |
| |
Effect of Broker
Non-Votes |
|
|
3
|
| | Ratification of selection of KPMG LLP as independent registered public accounting firm for the year ending December 31, 2022 | | | “For” votes from the holders of a majority of shares present at the Annual Meeting or represented by proxy and entitled to vote on the matter | | | Against | | |
Not applicable(1)
|
|
Name
|
| |
Audit
Committee |
| |
Compensation
Committee |
| |
Nominating &
Corporate Governance Committee |
| |||||||||
Stephen P. DeFalco
|
| | | | X | | | | | | | | | | | | X* | | |
Steven V. Edelman
|
| | | | | | | | | | X | | | | | | X | | |
Edward J. Fiorentino
|
| | | | X | | | | | | X | | | | | | | | |
Douglas S. Prince
|
| | | | X* | | | | | | | | | | | | X | | |
Douglas A. Roeder
|
| | | | | | | | | | X* | | | | | | X | | |
Sharon Larkin(1)
|
| | | | | | | | | | X | | | | | | | | |
Anthony Raab
|
| | | | | | | | | | | | | | | | | | |
Robert Schumm
|
| | | | | | | | | | | | | | | | | | |
Timothy Goodnow
|
| | | | | | | | | | | | | | | | | | |
Francine Kaufman
|
| | | | | | | | | | | | | | | | | | |
John Marotta(2)
|
| | | | | | | | | | | | | | | | | | |
Number of meetings in 2021
|
| | | | 7 | | | | | | 4 | | | | | | 4 | | |
| | |
2021
|
| |
2020
|
| ||||||
Audit fees(1)
|
| | | $ | 979,729 | | | | | $ | 839,050 | | |
Audit-related fees(2)
|
| | | | 229,000 | | | | | | 62,000 | | |
Total fees
|
| | | $ | 1,204,000 | | | | | $ | 901,250 | | |
Name
|
| |
Position
|
|
Executive Officers: | | | | |
Timothy T. Goodnow, Ph.D. | | | President, Chief Executive Officer and Director | |
Nick B. Tressler | | | Chief Financial Officer, Secretary and Treasurer | |
Mukul Jain, Ph.D. | | | Chief Operating Officer | |
Francine R. Kaufman, M.D. | | | Chief Medical Officer and Director | |
Kenneth L. Horton | | |
General Counsel and Corporate Development Advisor
|
|
Name of Beneficial Owner
|
| |
Number of
Shares Beneficially Owned |
| |
Percentage
of Shares Beneficially Owned |
| ||||||
Principal Stockholders: | | | | | | | | | | | | | |
PHC Holdings Corporation(1)
|
| | | | 68,300,652 | | | | | | 12.9 | | |
Entities affiliated with Robert J. Smith(2)
|
| | | | 39,289,592 | | | | | | 8.0 | | |
BlackRock, Inc.(3)
|
| | | | 31,075,724 | | | | | | 6.7 | | |
Named Executive Officers and Directors: | | | | | | | | | | | | | |
Timothy T. Goodnow, Ph.D.(4)
|
| | | | 5,337,540 | | | | | | 1.1 | | |
Francine R. Kaufman, M.D.(5)
|
| | | | 1,103,741 | | | | | | * | | |
Mukul Jain, Ph.D.(6)
|
| | | | 2,824,342 | | | | | | * | | |
Stephen P. DeFalco(7)
|
| | | | 1,514,554 | | | | | | * | | |
Edward J. Fiorentino(8)
|
| | | | 748,962 | | | | | | * | | |
Douglas S. Prince(9)
|
| | | | 706,205 | | | | | | * | | |
Douglas A. Roeder(10)
|
| | | | 165,959 | | | | | | * | | |
Steven Edelman, M.D.(11)
|
| | | | 750,787 | | | | | | * | | |
Anthony Raab(12)
|
| | | | 217,022 | | | | | | * | | |
Sharon Larkin
|
| | | | 0 | | | | | | * | | |
Robert Schumm
|
| | | | 0 | | | | | | * | | |
John Marotta
|
| | | | 0 | | | | | | * | | |
All current directors and executive officers as a group (14 persons)(13)
|
| | | | 15,082,424 | | | | | | 3.2 | | |
Name and Principal Position
|
| |
Year
|
| |
Salary
($) |
| |
Bonus
($)(1) |
| |
Stock
Awards ($)(2) |
| |
Non-Equity
Incentive Plan Compensation ($)(4) |
| |
All Other
Compensation |
| |
Total
($) |
| |||||||||||||||||||||
Timothy T. Goodnow
President and Chief Executive Officer |
| | | | 2021 | | | | | | 568,560 | | | | | | — | | | | | | 2,044,999 | | | | | | 496,800 | | | | | | 8,700 | | | | | | 3,119,059 | | |
| | | 2020 | | | | | | 552,000 | | | | | | 253,368 | | | | | | 1,999,634 | | | | | | 243,432 | | | | | | 8,550 | | | | | | 3,056,984 | | | ||
Mukul Jain, Ph.D.
Chief Operating Officer |
| | | | 2021 | | | | | | 439,810 | | | | | | — | | | | | | 749,999 | | | | | | 192,150 | | | | | | 8,700 | | | | | | 1,390,659 | | |
| | | 2020 | | | | | | 427,000 | | | | | | 97,997 | | | | | | 965,778 | | | | | | 94,154 | | | | | | 8,550 | | | | | | 1,593,479 | | | ||
Francine R. Kaufman, M.D.
Chief Medical Officer |
| | | | 2021 | | | | | | 420,240 | | | | | | — | | | | | | 507,999 | | | | | | 229,500 | | | | | | 8,700 | | | | | | 1,166,439 | | |
| | | 2020 | | | | | | 510,000 | | | | | | 117,045 | | | | | | 578,343 | | | | | | 112,445 | | | | | | 8,550 | | | | | | 1,326,383 | | |
Name
|
| |
2020
Base Salary ($) |
| |
%
Increase |
| |
2021
Base Salary ($) |
| |
%
Increase |
| |
2022
Base Salary ($) |
| |||||||||||||||
Timothy T. Goodnow
|
| | | | 552,000 | | | | | | 3% | | | | | | 568,560 | | | | | | 3% | | | | | | 586,000 | | |
Mukul Jain
|
| | | | 427,000 | | | | | | 3% | | | | | | 439,810 | | | | | | 3% | | | | | | 453,000 | | |
Francine R. Kaufman(1)
|
| | | | 510,000 | | | | | | 3% | | | | | | 420,240 | | | | | | 3% | | | | | | 172,760 | | |
Name
|
| |
Target Bonus
(as a % of Base Salary) (%) 2020 |
| |
Target Bonus
(as a % of Base Salary) (%) 2021 |
| |
Target Bonus
(as a % of Base Salary) (%) 2022 |
| |||||||||
Timothy T. Goodnow
|
| | | | 100 | | | | | | 100 | | | | | | 100 | | |
Mukul Jain
|
| | | | 50 | | | | | | 50 | | | | | | 50 | | |
Francine R. Kaufman
|
| | | | 50 | | | | | | 50 | | | | | | 50 | | |
Name
|
| |
RSUs
|
| |||
Timothy T. Goodnow
|
| | | | 1,099,462 | | |
Mukul Jain
|
| | | | 403,225 | | |
Francine R. Kaufman
|
| | | | 273,118 | | |
Name
|
| |
RSUs
|
| |||
Timothy T. Goodnow
|
| | | | 3,836,957 | | |
Mukul Jain
|
| | | | 1,902,174 | | |
Francine R. Kaufman
|
| | | | 1,021,739 | | |
Name
|
| |
RSUs
|
| |||
Timothy T. Goodnow
|
| | | | 673,268 | | |
Mukul Jain
|
| | | | 260,483 | | |
Francine R. Kaufman
|
| | | | 310,884 | | |
| | |
Option Awards
|
| |
Stock Awards
|
| ||||||||||||||||||||||||||||||||||||||||||
Name
(a) |
| |
Number of
Securities Underlying Unexercised Options (#) Exercisable (b) |
| |
Number of
Securities Underlying Unexercised Options (#) Unexercisable (c) |
| |
Option
Exercise Price ($) (e) |
| |
Option
Expiration Date (f) |
| |
Number of
Shares or Units of Stock That Have Not Vested (#) (g) |
| |
Market
Value of Shares or Units of Stock That Have Not Vested(5) ($) (h) |
| |
Equity
Incentive Plan Awards: Number of Unearned Shares, Units or Other Rights That Have Not Vested (#) (i) |
| |
Equity
Incentive Plan Awards: Market or Payout Value of Unearned Shares, Units or Other Rights That Have Not Vested(5) ($) (j) |
| ||||||||||||||||||||||||
Timothy T. Goodnow
|
| | | | 173,113 | | | | | | 0 | | | | | $ | 1.95 | | | | | | 7/24/2025 | | | | | | 1,918,478(6) | | | | | $ | 5,122,336 | | | | | | 673,268(8) | | | | | $ | 1,797,626 | | |
| | | 347,652 | | | | | | 0 | | | | | $ | 2.97 | | | | | | 4/12/2026 | | | | | | 824,596(7) | | | | | $ | 2,201,671 | | | | | | | | | | | | | | | ||
| | | 750,000 | | | | | | 0 | | | | | $ | 2.74 | | | | | | 1/17/2027 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | 761,593 | | | | | | 16,204(1)(4) | | | | | $ | 2.62 | | | | | | 2/2/2028 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | 600,000 | | | | | | 200,000(2)(4) | | | | | $ | 2.72 | | | | | | 1/17/2029 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
Mukul Jain
|
| | | | 153,774 | | | | | | 0 | | | | | $ | 0.46 | | | | | | 9/11/2023 | | | | | | 951,087(6) | | | | | $ | 2,539,402 | | | | | | 260,483(8) | | | | | $ | 695,490 | | |
| | | 155,599 | | | | | | 0 | | | | | $ | 0.54 | | | | | | 6/4/2024 | | | | | | 302,419(7) | | | | | $ | 807,459 | | | | | | | | | | | | | | | ||
| | | 108,686 | | | | | | 0 | | | | | $ | 0.54 | | | | | | 12/5/2024 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | 134,239 | | | | | | 0 | | | | | $ | 1.95 | | | | | | 7/24/2025 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | 145,254 | | | | | | 0 | | | | | $ | 2.97 | | | | | | 4/12/2026 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | 314,212 | | | | | | 0 | | | | | $ | 2.73 | | | | | | 1/20/2027 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | 474,558 | | | | | | 20,633(1)(4) | | | | | $ | 2.62 | | | | | | 2/2/2028 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
| | | 390,104 | | | | | | 144,896(2)(4) | | | | | $ | 2.72 | | | | | | 1/17/2029 | | | | | | | | | | | | | | | | | | | | | | | | | | | ||
Francine R. Kaufman
|
| | | | 378,125 | | | | | | 171,875(3)(4) | | | | | $ | 3.07 | | | | | | 3/4/2029 | | | | | | 510,869(6) | | | | | $ | 1,364,020 | | | | | | 310,884(8) | | | | | $ | 830,060 | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | 204,838(7) | | | | | $ | 546,917 | | | | | | | | | | | | | | |
| | |
Member
Annual Service Retainer |
| |
Chairman
Additional Annual Service Retainer |
| ||||||
Board of Directors
|
| | | $ | 40,000 | | | | | $ | 35,000 | | |
Audit Committee
|
| | | | 10,000 | | | | | | 10,000 | | |
Compensation Committee
|
| | | | 6,500 | | | | | | 7,500 | | |
Nominating and Corporate Governance Committee
|
| | | | 5,000 | | | | | | 5,000 | | |
Name
|
| |
Fees Earned
or Paid in Cash(1) ($) |
| |
Stock
Awards(2) ($) |
| |
Total
($) |
| |||||||||
Stephen P. DeFalco(3)
|
| | | | 0 | | | | | $ | 200,055 | | | | | $ | 200,055 | | |
Edward J. Fiorentino(4)
|
| | | | 0 | | | | | $ | 166,242 | | | | | $ | 166,242 | | |
Justin Klein(5)
|
| | | $ | 26,875 | | | | | $ | 12,747 | | | | | $ | 39,622 | | |
Douglas S. Prince(6)
|
| | | $ | 33,813 | | | | | $ | 146,307 | | | | | $ | 180,119 | | |
Douglas A. Roeder(7)
|
| | | $ | 59,800 | | | | | $ | 112,498 | | | | | $ | 172,298 | | |
Name
|
| |
Fees Earned
or Paid in Cash(1) ($) |
| |
Stock
Awards(2) ($) |
| |
Total
($) |
| |||||||||
Steven Edelman(8)
|
| | | $ | 6,438 | | | | | $ | 155,553 | | | | | $ | 161,990 | | |
Anthony Raab(9)
|
| | | $ | 29,375 | | | | | $ | 112,498 | | | | | $ | 141,873 | | |
Robert Schumm(10)
|
| | | | 0 | | | | | | 0 | | | | | | 0 | | |
Sharon Larkin(11)
|
| | | | 0 | | | | | $ | 224,999 | | | | | | 224,999 | | |
John Marotta(12)
|
| | | | 0 | | | | | | 0 | | | | | | 0 | | |
Plan Category
|
| |
Number of securities
to be issued upon exercise of outstanding options, warrants and rights (a) |
| |
Weighted-average
exercise price of outstanding options, warrants and rights (b) |
| |
Number of securities
remaining available for future issuance under equity compensation plans (excluding securities reflected in column (a)) (c) |
| |||||||||
Equity compensation plans approved by security holders
|
| | | | 38,585,612(1) | | | | | $ | 0.98 | | | | | | 18,676,977(2) | | |
Equity compensation plans not approved by security holders
|
| | | | 732,500 | | | | | $ | 1.36 | | | | | | 989,795(3) | | |
Total
|
| | | | 39,318,112 | | | | | $ | 0.98 | | | | | | 19,666,772 | | |
This ‘DEF 14A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
11/9/30 | ||||
10/31/24 | ||||
10/31/23 | ||||
8/9/23 | ||||
3/27/23 | ||||
2/25/23 | ||||
1/26/23 | ||||
12/31/22 | ||||
12/16/22 | ||||
10/31/22 | ||||
For Period end: | 5/26/22 | 4, 8-K, S-8 | ||
5/25/22 | ||||
4/30/22 | ||||
Filed on: | 4/15/22 | DEFA14A | ||
4/6/22 | ||||
3/31/22 | 10-Q | |||
3/15/22 | 4, 8-K | |||
3/9/22 | 8-K | |||
2/4/22 | SC 13G | |||
1/24/22 | ||||
1/16/22 | ||||
1/1/22 | ||||
12/31/21 | 10-K | |||
12/8/21 | 3, 4, 8-K | |||
11/18/21 | 4 | |||
11/15/21 | 4 | |||
10/24/21 | ||||
9/8/21 | 8-K | |||
6/15/21 | 4 | |||
5/28/21 | 4 | |||
5/9/21 | ||||
4/15/21 | ||||
3/31/21 | 10-Q | |||
1/21/21 | 424B5, 8-K, 8-K/A, FWP, S-3MEF, SC 13D | |||
1/1/21 | ||||
12/31/20 | 10-K | |||
11/15/20 | 4 | |||
11/9/20 | 10-Q, 8-K | |||
11/5/20 | SC 13D | |||
8/9/20 | 8-K, 8-K/A | |||
7/21/20 | ||||
4/24/20 | ||||
4/21/20 | 4, 8-K | |||
3/4/20 | ||||
1/1/20 | ||||
5/30/19 | 4, 8-K, DEF 14A | |||
3/23/16 | 4, 8-K | |||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 1/30/23 Senseonics Holdings, Inc. S-3/A 1:278K Toppan Merrill/FA 1/10/23 Senseonics Holdings, Inc. S-3 7:541K Toppan Merrill/FA 5/26/22 Senseonics Holdings, Inc. S-8 5/26/22 4:98K Toppan Merrill/FA |