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style="color:#212529;font-weight:bold;">Title of each class:</b></p></td><td style="vertical-align:bottom;width:26.68%;border-left:1px solid #000000;border-top:1px solid #000000;margin:0pt;padding:1.5pt 1.12pt 1.5pt 1.12pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:0pt;"><b style="color:#212529;font-weight:bold;">Trading symbol(s)</b></p></td><td style="vertical-align:bottom;width:36.91%;border-left:1px solid #000000;border-right:1px solid #000000;border-top:1px solid #000000;margin:0pt;padding:1.5pt 1.12pt 1.5pt 1.12pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:0pt;"><b style="color:#212529;font-weight:bold;">Name of exchange on which registered</b></p></td></tr><tr><td style="vertical-align:bottom;width:36.4%;border-bottom:1px solid #000000;border-left:1px solid #000000;border-top:1px solid #000000;margin:0pt;padding:1.5pt 1.12pt 1.5pt 1.12pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_10_15_2021_To_10_15_2021_z8dPXpyRB0aSTSe8vwBBiw" name="dei:Security12bTitle" id="Tc_KuWy4-8zcEGayboBKpLyog_2_0"><span style="color:#212529;font-size:9pt;">Common Stock, $0.0001 par value</span></ix:nonNumeric></p></td><td style="vertical-align:bottom;width:26.68%;border-bottom:1px solid #000000;border-left:1px solid #000000;border-top:1px solid #000000;margin:0pt;padding:1.5pt 1.12pt 1.5pt 1.12pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_10_15_2021_To_10_15_2021_z8dPXpyRB0aSTSe8vwBBiw" name="dei:TradingSymbol" id="Tc_dpwCbHpDVkOg6piEppMYFQ_2_1"><span style="color:#212529;font-size:9pt;">GANX</span></ix:nonNumeric></p></td><td style="vertical-align:bottom;width:36.91%;border-bottom:1px solid #000000;border-left:1px solid #000000;border-right:1px solid #000000;border-top:1px solid #000000;margin:0pt;padding:1.5pt 1.12pt 1.5pt 1.12pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric format="ixt-sec:exchnameen" contextRef="Duration_10_15_2021_To_10_15_2021_z8dPXpyRB0aSTSe8vwBBiw" name="dei:SecurityExchangeName" id="Tc_y-ze3bZhHEipxjLPoZ2Ecw_2_2"><span style="color:#212529;font-size:9pt;">NASDAQ Global Market</span></ix:nonNumeric></p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="border-bottom-style:none;font-family:'Times New Roman','Times','serif';font-size:9pt;padding-bottom:0pt;margin:0pt;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter).</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-bottom:3pt;padding-top:0pt;text-indent:36pt;margin:0pt;"><span style="font-size:9pt;">Emerging growth company </span><ix:nonNumeric format="ixt-sec:boolballotbox" contextRef="Duration_10_15_2021_To_10_15_2021_z8dPXpyRB0aSTSe8vwBBiw" name="dei:EntityEmergingGrowthCompany" id="Narr__kBWVGCYn0i3i1R9B008IA"><span style="font-family:'Segoe UI Symbol';font-size:9pt;">&#9746;</span></ix:nonNumeric></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:9pt;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. </span><ix:nonNumeric format="ixt-sec:boolballotbox" contextRef="Duration_10_15_2021_To_10_15_2021_z8dPXpyRB0aSTSe8vwBBiw" name="dei:EntityExTransitionPeriod" id="Narr_YLkyel3AM0uuQxfP8p4ahg"><span style="font-family:'Segoe UI Symbol';font-size:9pt;">&#9746;</span></ix:nonNumeric></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:9pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:9pt;visibility:hidden;">&#8203;</span></p></div></div>
<div style="background-color:#000000;clear:both;height:2pt;page-break-after:always;width:79.3%;border:0;margin:30pt 10.35% 30pt 10.35%;"></div><div style="max-width:100%;padding-left:10.35%;padding-right:10.35%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p><a id="_2f9a872d_7cd4_4b98_a790_3296e408185c"></a><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt 0pt 12pt 0pt;"><span style="display:inline-block;text-align:left;text-indent:0pt;width:72pt;"><b style="font-family:'Times New Roman','Times','serif';font-size:10pt;font-style:normal;font-weight:bold;text-align:justify;">Item 5.02</b></span><b style="font-weight:bold;">Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt 0pt 12pt 0pt;">(c) Appointment of Chief Operating Officer</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;text-indent:36pt;margin:0pt 0pt 12pt 0pt;">On October 19, 2021, Gain Therapeutics, Inc. (the &#8220;Company&#8221;) publicly announced the appointment of Matthias Alder, age 56, to serve as the Company&#8217;s Chief Operating Officer effective as of October 15, 2021. Most recently, from July 2017 to September 2021, Mr. Alder was Chief Business Officer at Autolus Therapeutics, a biotechnology company focused on developing CAR T-cell therapies for hematological and solid tumors, where he led the corporate development, legal, IP and HR functions. Prior to joining Autolus, from October 2014 to June 2017, he served as EVP of Business Development &amp; Licensing and as General Counsel of Sucampo Pharmaceuticals, Inc. He has also held executive management positions at Cytos Biotechnology AG as EVP Corporate Development and General Counsel from March 2013 to April 2014, and Micromet, Inc. from July 2006 to April 2012, last serving as SVP Administration and General Counsel. Earlier in his career, Matthias was a partner in the Life Sciences Transactions Practice at Cooley LLP and in-house counsel for Novartis&#8217; pharmaceutical business.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;text-indent:36pt;margin:0pt 0pt 12pt 0pt;">Mr. Alder is a party to an employment agreement with the Company, which specifies his compensation and benefits. Mr. Alder&#8217;s annual base compensation will be $400,000, and he is eligible to participate in the Company&#8217;s management incentive plan at an incentive target of 35% of base compensation.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;text-indent:36pt;margin:0pt 0pt 12pt 0pt;">To induce Mr. Alder to join the Company and to provide long-term incentives that are in alignment with the Company&#8217;s stockholder interests, Mr. Alder will be eligible to receive a stock option grant of 200,000 shares with standard vesting conditions, and restricted stock unit grants of 200,000 vesting on specified performance conditions based on the achievement of business development targets and clinical development targets.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;text-indent:36pt;margin:0pt 0pt 12pt 0pt;">Mr. Alder is eligible to participate in the Company&#8217;s long-term compensation plans and health and welfare plans on the same terms offered to all plan participants, and will be entitled to severance payments and benefits upon termination by the Company without Cause or by Mr. Alder for good reason.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt 0pt 12pt 0pt;">Additional Information</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;text-indent:36pt;margin:0pt 0pt 12pt 0pt;">There are no family relationships between Mr. Alder and any other director or executive officer of the Company, or with any person selected to become an officer of the Company.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;text-indent:36pt;margin:0pt 0pt 12pt 0pt;">A copy of the press release announcing the hiring of Mr. Alder is attached as Exhibit 99.1 to this Current Report on Form 8-K.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt 0pt 12pt 0pt;"><span style="display:inline-block;text-indent:0pt;width:72pt;"><b style="font-family:'Times New Roman','Times','serif';font-size:10pt;font-style:normal;font-weight:bold;text-align:left;">Item 8.01.</b></span><b style="font-weight:bold;">Other Events</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;text-indent:36pt;margin:0pt 0pt 12pt 0pt;">On October 19, 2021, Gain Therapeutics, Inc. issued a press release announcing the appointment of Matthias Alder as Chief Operating Officer.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-indent:36pt;margin:0pt 0pt 12pt 0pt;">A copy of the press release is attached as Exhibit 99.1 to this Form 8-K and incorporated by reference herein.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt 0pt 12pt 0pt;"><span style="display:inline-block;text-indent:0pt;width:72pt;"><b style="font-family:'Times New Roman','Times','serif';font-size:10pt;font-style:normal;font-weight:bold;text-align:left;">Item 9.01.</b></span><b style="font-weight:bold;">Financial Statements and Exhibits.</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt 0pt 12pt 0pt;">(d) <span style="text-decoration:underline;text-decoration-color:#000000;">Exhibits</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-indent:36pt;margin:0pt 0pt 12pt 0pt;">The exhibits listed below are furnished as part of this Current Report on Form 8-K.</p><table style="border-collapse:collapse;font-size:16pt;height:max-content;margin-left:auto;margin-right:auto;padding-left:0.5pt;padding-right:0.5pt;width:100%;"><tr style="height:1pt;"><td style="vertical-align:top;width:12.32%;margin:0pt;padding:0pt 0.5pt 0pt 0.5pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"></div></div></td><td style="vertical-align:top;width:1.58%;margin:0pt;padding:0pt 0.5pt 0pt 0.5pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:86.09%;margin:0pt;padding:0pt 0.5pt 0pt 0.5pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td></tr><tr><td style="vertical-align:top;width:12.32%;border-bottom:1px solid #000000;margin:0pt;padding:0pt 0.5pt 0pt 0.5pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;text-align:justify;margin:0pt;"><b style="font-weight:bold;">Exhibit No.</b></p></td><td style="vertical-align:top;width:1.58%;margin:0pt;padding:0pt 0.5pt 0pt 0.5pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="font-size:8pt;font-weight:bold;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:86.09%;border-bottom:1px solid #000000;margin:0pt;padding:0pt 0.5pt 0pt 0.5pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:8pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">Description</b></p></td></tr><tr><td style="vertical-align:top;width:12.32%;margin:0pt;padding:0pt 0.5pt 0pt 0.5pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">99.1</p></td><td style="vertical-align:top;width:1.58%;margin:0pt;padding:0pt 0.5pt 0pt 0.5pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="text-decoration:underline;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:86.09%;margin:0pt;padding:0pt 0.5pt 0pt 0.5pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><a style="-sec-extract:exhibit;" href="ganx-20211015xex99d1.htm"><span style="font-family:'Times New Roman','Times','serif';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">Press release dated October 19, 2021, issued by the Company</span></a></p></td></tr><tr><td style="vertical-align:top;width:12.32%;margin:0pt;padding:0pt 0.5pt 0pt 0.5pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">104</p></td><td style="vertical-align:top;width:1.58%;margin:0pt;padding:0pt 0.5pt 0pt 0.5pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="text-decoration:underline;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:86.09%;margin:0pt;padding:0pt 0.5pt 0pt 0.5pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Cover Page Interactive Data File (embedded within the Inline XBRL document).</p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:11pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt 0pt 0.5pt 0pt;"><span style="visibility:hidden;">&#8203;</span></p></div></div>
<div style="background-color:#000000;clear:both;height:2pt;page-break-after:always;width:79.3%;border:0;margin:30pt 10.35% 30pt 10.35%;"></div><div style="max-width:100%;padding-left:10.35%;padding-right:10.35%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt 0pt 1.64pt 0pt;"><span style="visibility:hidden;">&#8203;</span></p><a id="_0c56b44b_a94b_465c_a60b_a9abe91900ce"></a><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt 0pt 12pt 0pt;"><b style="font-weight:bold;text-decoration:underline;text-decoration-color:#000000;">SIGNATURE</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-indent:25.2pt;margin:0pt 0pt 12pt 0pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><table style="border-collapse:collapse;font-size:16pt;height:max-content;margin-left:auto;margin-right:auto;padding-left:0pt;padding-right:0pt;width:100%;"><tr><td style="vertical-align:top;width:50.01%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td colspan="3" style="vertical-align:top;width:49.98%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">GAIN THERAPEUTICS, INC.</b></p></td></tr><tr><td style="vertical-align:top;width:50.01%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td colspan="3" style="vertical-align:top;width:49.98%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:top;width:50.01%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:3.84%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">By:</p></td><td colspan="2" style="vertical-align:top;width:46.14%;border-bottom:1px solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">/s/ Eric I Richman</p></td></tr><tr><td style="vertical-align:top;width:50.01%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td colspan="2" style="vertical-align:top;width:6.55%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Name:</p></td><td style="vertical-align:top;width:43.43%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Eric I. Richman</p></td></tr><tr><td style="vertical-align:top;width:50.01%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td><td colspan="2" style="vertical-align:top;width:6.55%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Title:</p></td><td style="vertical-align:top;width:43.43%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Chief Executive Officer</p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt 0pt 4.55pt 0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt 0pt 4.55pt 0pt;">Date: October 20, 2021</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt 0pt 6.09pt 0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-weight:bold;visibility:hidden;">&#8203;</span></p></div></div>
<div style="background-color:#000000;clear:both;height:2pt;margin-left:10.35%;margin-right:10.35%;margin-top:30pt;page-break-after:avoid;width:79.3%;border:0;"></div></body></html>
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
_______________
FORM
8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of report (Date of earliest event reported):
October 15, 2021
Gain Therapeutics, Inc.
(Exact Name of the Registrant as Specified in Charter)
​
​
​
​
​
​
Delaware
001-40237
85-1726310
(State or Other Jurisdiction
of Incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
​
4800 Montgomery Lane
,
Suite 220
Bethesda
,
Maryland
20814
(
Address of principal executive offices)
(Zip Code)
​
(
301
)
500-1556
(Registrant's telephone number, including area code)
​
4800 Hampden Lane
,
suite 220
Bethesda
,
Maryland
20814
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
​
​
​
​
Title of each class:
Trading symbol(s)
Name of exchange on which registered
Common Stock, $0.0001 par value
GANX
NASDAQ Global Market
​
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
☒
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
☒
​
​
​
Item 5.02
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
(c) Appointment of Chief Operating Officer
On October 19, 2021, Gain Therapeutics, Inc. (the "Company") publicly announced the appointment of Matthias Alder, age 56, to serve as the Company's Chief Operating Officer effective as of October 15, 2021. Most recently, from July 2017 to September 2021, Mr. Alder was Chief Business Officer at Autolus Therapeutics, a biotechnology company focused on developing CAR T-cell therapies for hematological and solid tumors, where he led the corporate development, legal, IP and HR functions. Prior to joining Autolus, from October 2014 to June 2017, he served as EVP of Business Development & Licensing and as General Counsel of Sucampo Pharmaceuticals, Inc. He has also held executive management positions at Cytos Biotechnology AG as EVP Corporate Development and General Counsel from March 2013 to April 2014, and Micromet, Inc. from July 2006 to April 2012, last serving as SVP Administration and General Counsel. Earlier in his career, Matthias was a partner in the Life Sciences Transactions Practice at Cooley LLP and in-house counsel for Novartis' pharmaceutical business.
Mr. Alder is a party to an employment agreement with the Company, which specifies his compensation and benefits. Mr. Alder's annual base compensation will be $400,000, and he is eligible to participate in the Company's management incentive plan at an incentive target of 35% of base compensation.
To induce Mr. Alder to join the Company and to provide long-term incentives that are in alignment with the Company's stockholder interests, Mr. Alder will be eligible to receive a stock option grant of 200,000 shares with standard vesting conditions, and restricted stock unit grants of 200,000 vesting on specified performance conditions based on the achievement of business development targets and clinical development targets.
Mr. Alder is eligible to participate in the Company's long-term compensation plans and health and welfare plans on the same terms offered to all plan participants, and will be entitled to severance payments and benefits upon termination by the Company without Cause or by Mr. Alder for good reason.
Additional Information
There are no family relationships between Mr. Alder and any other director or executive officer of the Company, or with any person selected to become an officer of the Company.
A copy of the press release announcing the hiring of Mr. Alder is attached as Exhibit 99.1 to this Current Report on Form 8-K.
Item 8.01.
Other Events
On October 19, 2021, Gain Therapeutics, Inc. issued a press release announcing the appointment of Matthias Alder as Chief Operating Officer.
A copy of the press release is attached as Exhibit 99.1 to this Form 8-K and incorporated by reference herein.
Item 9.01.
Financial Statements and Exhibits.
(d)
Exhibits
The exhibits listed below are furnished as part of this Current Report on Form 8-K.
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Exhibit No.
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Description
99.1
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Press release dated October 19, 2021, issued by the Company
104
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Cover Page Interactive Data File (embedded within the Inline XBRL document).
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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GAIN THERAPEUTICS, INC.
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By:
/s/ Eric I Richman
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Name:
Eric I. Richman
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Title:
Chief Executive Officer
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Date: October 20, 2021
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