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SEC Filings

SERES THERAPEUTICS, INC. filed this Form 10-K on 03/16/2017
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The members of the Audit Committee are Messrs. Kender and Graves and Dr. Ausiello. Mr. Kender serves as the Chair of the committee. The members of our Audit Committee meet the requirements for financial literacy under the applicable rules of the SEC and NASDAQ.  Our board of directors has determined that Mr. Kender is an “audit committee financial expert” as defined by Item 407(d)(5)(ii) of Regulation S-K.

Compensation Committee  

Our Compensation Committee is responsible for assisting the board of directors in the discharge of its responsibilities relating to the compensation of our executive officers. In fulfilling its purpose, our Compensation Committee has the following principal duties:



annually reviewing and approving corporate goals and objectives relevant to CEO compensation;


determining our CEO’s compensation;


reviewing and approving, or making recommendations to our board of directors with respect to, the compensation of our other executive officers;


overseeing an evaluation of our senior executives;


overseeing and administering our cash and equity incentive plans;


reviewing and making recommendations to our board of directors with respect to director compensation;


reviewing and discussing annually with management our “Compensation Discussion and Analysis,” if required; and


preparing the annual compensation committee report, if required by SEC rules.


The members of our Compensation Committee are Dr. Afeyan and Messrs. Hutt and Kender. Dr. Afeyan serves as the Chair of the Compensation Committee.

Nominating and Corporate Governance Committee  

Our Nominating and Corporate Governance Committee’s responsibilities include:


identifying individuals qualified to become board members;


recommending to our board of directors the persons to be nominated for election as directors and to each board committee;


reviewing and making recommendations to our board of directors with respect to management succession planning;


developing and recommending to our board of directors corporate governance principles; and


overseeing an annual evaluation of our board of directors.

The members of our Nominating and Corporate Governance Committee are Mr. Hutt and Drs. Afeyan, Ausiello, and Kim. Mr. Hutt serves as the Chairperson of the Nominating and Corporate Governance Committee.


Section 16(a) Beneficial Ownership Reporting Compliance


Section 16(a) of the Exchange Act requires our directors, executive officers and stockholders who beneficially own more than 10% of any class of our equity securities registered pursuant to Section 12 of the Exchange Act, or the Reporting Persons, to file initial statements of beneficial ownership of securities and statements of changes in beneficial ownership of securities with respect to our equity securities with the SEC. All Reporting Persons are required by SEC regulation to furnish us with copies of all reports that such Reporting Persons file with the SEC pursuant to Section 16(a). Based solely on our review of the copies of such forms received by us and upon written representations of the Reporting Persons received by us, we believe that there has been compliance with all Section 16(a) filing requirements applicable to such Reporting Persons with respect to the year ended December 31, 2016.



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