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 <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:4pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Washington, D.C. 20549 </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>FORM <FONT
STYLE="white-space:nowrap">8-K</FONT> </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>CURRENT
REPORT </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Pursuant to Section&nbsp;13 or 15(d) </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>of the Securities Exchange Act of 1934 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Date of report (Date of earliest event reported): January&nbsp;13, 2019 </B></P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B>SERES THERAPEUTICS, INC. </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(Exact name of registrant as specified in its charter) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><B>Delaware</B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">001-37465</FONT></B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">27-4326290</FONT></B></TD></TR>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(State or Other Jurisdiction</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>of Incorporation)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Commission</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>File Number)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(IRS Employer</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Identification No.)</B></P></TD></TR>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>200 Sidney Street</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Cambridge, MA</B></P></TD>
<TD VALIGN="bottom">&nbsp;</TD>
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<TD VALIGN="bottom" ALIGN="center"><B>02139</B></TD></TR>
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<TD VALIGN="top" ALIGN="center"><B>(Address of Principal Executive Offices)</B></TD>
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<TD VALIGN="top" ALIGN="center"><B>(Zip Code)</B></TD></TR>
</TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Registrant&#146;s Telephone Number, Including Area Code: (617)
<FONT STYLE="white-space:nowrap">945-9626</FONT> </B></P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Not Applicable </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Former Name or Former Address, if Changed Since Last Report) </B></P>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center> <P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;&nbsp;230.405 of this
chapter) or Rule <FONT STYLE="white-space:nowrap">12b-2</FONT> of the Securities Exchange Act of 1934 <FONT STYLE="white-space:nowrap">(&#167;&nbsp;240.12b-2</FONT> of this chapter). </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Emerging growth company&nbsp;&nbsp;&nbsp;&#9746; </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">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&nbsp;13(a) of the Exchange
Act.&nbsp;&nbsp;&nbsp;&#9746; </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Check the appropriate box below if the Form <FONT STYLE="white-space:nowrap">8-K</FONT> filing is intended to
simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instructions A.2 below): </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) </P></TD></TR></TABLE>
<P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left">Soliciting material pursuant to Rule <FONT STYLE="white-space:nowrap">14a-12</FONT> under the Exchange Act (17
CFR <FONT STYLE="white-space:nowrap">240.14a-12)</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TR style = "page-break-inside:avoid">
<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to Rule <FONT
STYLE="white-space:nowrap">14d-2(b)</FONT> under the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.14d-2(b))</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="4%" VALIGN="top" ALIGN="left">&#9744;</TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><FONT STYLE="white-space:nowrap">Pre-commencement</FONT> communications pursuant to Rule <FONT
STYLE="white-space:nowrap">13e-4(c)</FONT> under the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.13e-4(c))</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:10pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
<P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain
Officers; Compensatory Arrangements of Certain Officers. </B></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">On January&nbsp;14, 2019, Roger J. Pomerantz, M.D. notified Seres
Therapeutics, Inc. (the &#147;Company&#148;) of his resignation from his position as President and Chief Executive Officer of the Company effective immediately. In connection with his resignation, Dr.&nbsp;Pomerantz entered into a separation
agreement and release (the &#147;Separation Agreement&#148;) with the Company pursuant to which Dr.&nbsp;Pomerantz will receive the severance payments and benefits described in his existing employment agreement with the Company upon his involuntary
or constructive termination, subject to and in accordance with the previously disclosed terms of his employment agreement. Dr.&nbsp;Pomerantz will continue to serve as a director and as Chairman of the Board of Directors of the Company (the
&#147;Board&#148;). During his service on the Board, Dr.&nbsp;Pomerantz will be eligible to receive compensation in accordance with and subject to the previously disclosed terms of the Company&#146;s
<FONT STYLE="white-space:nowrap">Non-Employee</FONT> Director Compensation Program (the &#147;NED Program&#148;), including an annual retainer of $55,000 and an option to purchase 15,000 shares of the Company&#146;s common stock on the date of the
next annual meeting of stockholders in accordance with the terms of the NED Program. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">On January&nbsp;15, 2019, the Company announced that
the Board had appointed Eric D. Shaff, as the Company&#146;s President and Chief Executive Officer and as a member of the Board, in each case effective at the effective time of the resignation of Dr.&nbsp;Pomerantz. Mr.&nbsp;Shaff will serve as a
Class&nbsp;I director of the Company, with a term expiring at the Annual Meeting of Stockholders in 2019 or until his earlier death, resignation or removal. The Company also entered into an amended and restated employment agreement with
Mr.&nbsp;Shaff (the &#147;Amended Employment Agreement&#148;) that supersedes the terms of the employment agreement previously entered into by and between the Company and Mr.&nbsp;Shaff. The Amended Employment Agreement entitles Mr.&nbsp;Shaff to
receive an annual base salary of $540,000, subject to periodic review and adjustment by the Board or its compensation committee, and an annual target bonus opportunity of 55% of his annual base salary. In connection with its annual equity grant
process, the Company expects to grant Mr.&nbsp;Shaff a stock option under its 2015 Incentive Award Plan to purchase 275,000 shares of common stock of the Company, which will vest in accordance with the Company&#146;s standard four-year vesting
schedule, subject to Mr.&nbsp;Shaff&#146;s continued service. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">In the event Mr.&nbsp;Shaff&#146;s employment is terminated by the Company
without cause or he resigns for good reason, within the meaning of and under the Amended Employment Agreement, he will be entitled to receive 12 months of continued base salary and up to 12 months of continued medical, dental or vision coverage
pursuant to COBRA, if elected. The Amended Employment Agreement provides that, upon any such termination within 60 days prior to or 12 months following a change in control of the Company, in lieu of the benefits described in the previous sentence,
Mr.&nbsp;Shaff is entitled to accelerated vesting of his time-based equity awards, 18 months of continued base salary and up to 18 months of continued medical, dental or vision coverage pursuant to COBRA, if elected. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Mr.&nbsp;Shaff&#146;s rights to receive termination payments and benefits are conditioned upon executing a general release of claims in the
Company&#146;s favor. Mr.&nbsp;Shaff has agreed to refrain from disclosing the Company&#146;s confidential information during or at any time following his employment with the Company and from competing with the Company or soliciting its employees or
consultants for 12 months following termination of his employment. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Mr.&nbsp;Shaff, 43, has served as the Company&#146;s Chief Financial
Officer and Executive Vice President since November 2014 and as its Chief Operating Officer since January 2018. From January 2012 to November 2014, Mr.&nbsp;Shaff was Vice President of Corporate Finance for Momenta Pharmaceuticals, Inc.
(&#147;Momenta&#148;), a biotechnology company, where he helped manage Momenta&#146;s accounting, finance, planning, and procurement functions, and contributed to Momenta&#146;s investor relations efforts. Mr.&nbsp;Shaff received his B.A. from the
University of Pennsylvania and his M.B.A. from Cornell University. The Company believes that Mr.&nbsp;Shaff is qualified to serve on the Board due to his knowledge of the Company and extensive executive-level experience in the biotechnology
industry. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">The description of the Separation Agreement is qualified in its entirety by reference to the full text of the Separation
Agreement, a copy of which is filed as Exhibit 10.1 to this Current Report on Form <FONT STYLE="white-space:nowrap">8-K</FONT> and incorporated herein by reference, and the description of the Amended Employment Agreement is qualified in its entirety
by reference to the full text of the Amended Employment Agreement, a copy of which is filed as Exhibit 10.2 to this Current Report on Form <FONT STYLE="white-space:nowrap">8-K</FONT> and incorporated herein by reference. </P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;9.01. Financial Statements and Exhibits. </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:8%; font-size:10pt; font-family:Times New Roman">(d) Exhibits </P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="bottom" NOWRAP> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman"><B>Exhibit</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; "><B>No.</B></P></TD>
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<TD VALIGN="bottom" ALIGN="center" STYLE="border-bottom:1.00pt solid #000000"> <P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Description</B></P></TD></TR>


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<TD VALIGN="top" NOWRAP>10.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"><A HREF="d641078dex101.htm">Separation Agreement and Release, dated as of January&nbsp;14, 2019, by and between Seres Therapeutics, Inc. and Roger Pomerantz </A></TD></TR>
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<TD VALIGN="top" NOWRAP>10.2</TD>
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<TD VALIGN="top"><A HREF="d641078dex102.htm">Amended and Restated Employment Agreement, dated as of January&nbsp;14, 2019, by and between Seres Therapeutics, Inc. and Eric D. Shaff </A></TD></TR>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>SIGNATURES </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">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-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" COLSPAN="3">SERES THERAPEUTICS, INC.</TD></TR>
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<TD VALIGN="top">Date: January&nbsp;15, 2019</TD>
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<TD VALIGN="top">By:</TD>
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<TD VALIGN="top"> <P STYLE="margin-top:0pt; margin-bottom:1pt; border-bottom:1px solid #000000; font-size:10pt; font-family:Times New Roman">/s/ Thomas J. DesRosier</P></TD></TR>
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<TD VALIGN="top">Name: Thomas J. DesRosier</TD></TR>
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<TD VALIGN="top">Title: Executive Vice President and Chief Legal Officer</TD></TR>
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{"company-data": {"conformed-name": "Seres Therapeutics, Inc.", "cik": "0001609809", "assigned-sic": "2834", "irs-number": "274326290", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-37465", "film-number": "19526186"}, "business-address": {"street1": "200 SIDNEY STREET", "city": "CAMBRIDGE", "state": "MA", "zip": "02139", "phone": "617 945 9626"}, "mail-address": {"street1": "200 SIDNEY STREET", "city": "CAMBRIDGE", "state": "MA", "zip": "02139"}, "former-company": {"former-conformed-name": "Seres Health, Inc.", "date-changed": "20140603"}}
8-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 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): January 13, 2019
SERES THERAPEUTICS, INC.
(Exact name of registrant as specified in its charter)
Delaware
001-37465
27-4326290
(State or Other Jurisdiction
of Incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
200 Sidney Street
Cambridge, MA
02139
(Address of Principal Executive Offices)
(Zip Code)
Registrant's Telephone Number, Including Area Code: (617)
945-9626
Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
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
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Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain
Officers; Compensatory Arrangements of Certain Officers.
On January 14, 2019, Roger J. Pomerantz, M.D. notified Seres
Therapeutics, Inc. (the "Company") of his resignation from his position as President and Chief Executive Officer of the Company effective immediately. In connection with his resignation, Dr. Pomerantz entered into a separation
agreement and release (the "Separation Agreement") with the Company pursuant to which Dr. Pomerantz will receive the severance payments and benefits described in his existing employment agreement with the Company upon his involuntary
or constructive termination, subject to and in accordance with the previously disclosed terms of his employment agreement. Dr. Pomerantz will continue to serve as a director and as Chairman of the Board of Directors of the Company (the
"Board"). During his service on the Board, Dr. Pomerantz will be eligible to receive compensation in accordance with and subject to the previously disclosed terms of the Company's
Non-Employee
Director Compensation Program (the "NED Program"), including an annual retainer of $55,000 and an option to purchase 15,000 shares of the Company's common stock on the date of the
next annual meeting of stockholders in accordance with the terms of the NED Program.
On January 15, 2019, the Company announced that
the Board had appointed Eric D. Shaff, as the Company's President and Chief Executive Officer and as a member of the Board, in each case effective at the effective time of the resignation of Dr. Pomerantz. Mr. Shaff will serve as a
Class I director of the Company, with a term expiring at the Annual Meeting of Stockholders in 2019 or until his earlier death, resignation or removal. The Company also entered into an amended and restated employment agreement with
Mr. Shaff (the "Amended Employment Agreement") that supersedes the terms of the employment agreement previously entered into by and between the Company and Mr. Shaff. The Amended Employment Agreement entitles Mr. Shaff to
receive an annual base salary of $540,000, subject to periodic review and adjustment by the Board or its compensation committee, and an annual target bonus opportunity of 55% of his annual base salary. In connection with its annual equity grant
process, the Company expects to grant Mr. Shaff a stock option under its 2015 Incentive Award Plan to purchase 275,000 shares of common stock of the Company, which will vest in accordance with the Company's standard four-year vesting
schedule, subject to Mr. Shaff's continued service.
In the event Mr. Shaff's employment is terminated by the Company
without cause or he resigns for good reason, within the meaning of and under the Amended Employment Agreement, he will be entitled to receive 12 months of continued base salary and up to 12 months of continued medical, dental or vision coverage
pursuant to COBRA, if elected. The Amended Employment Agreement provides that, upon any such termination within 60 days prior to or 12 months following a change in control of the Company, in lieu of the benefits described in the previous sentence,
Mr. Shaff is entitled to accelerated vesting of his time-based equity awards, 18 months of continued base salary and up to 18 months of continued medical, dental or vision coverage pursuant to COBRA, if elected.
Mr. Shaff's rights to receive termination payments and benefits are conditioned upon executing a general release of claims in the
Company's favor. Mr. Shaff has agreed to refrain from disclosing the Company's confidential information during or at any time following his employment with the Company and from competing with the Company or soliciting its employees or
consultants for 12 months following termination of his employment.
Mr. Shaff, 43, has served as the Company's Chief Financial
Officer and Executive Vice President since November 2014 and as its Chief Operating Officer since January 2018. From January 2012 to November 2014, Mr. Shaff was Vice President of Corporate Finance for Momenta Pharmaceuticals, Inc.
("Momenta"), a biotechnology company, where he helped manage Momenta's accounting, finance, planning, and procurement functions, and contributed to Momenta's investor relations efforts. Mr. Shaff received his B.A. from the
University of Pennsylvania and his M.B.A. from Cornell University. The Company believes that Mr. Shaff is qualified to serve on the Board due to his knowledge of the Company and extensive executive-level experience in the biotechnology
industry.
The description of the Separation Agreement is qualified in its entirety by reference to the full text of the Separation
Agreement, a copy of which is filed as Exhibit 10.1 to this Current Report on Form
8-K
and incorporated herein by reference, and the description of the Amended Employment Agreement is qualified in its entirety
by reference to the full text of the Amended Employment Agreement, a copy of which is filed as Exhibit 10.2 to this Current Report on Form
8-K
and incorporated herein by reference.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
Exhibit
No.
Description
10.1
Separation Agreement and Release, dated as of January 14, 2019, by and between Seres Therapeutics, Inc. and Roger Pomerantz
10.2
Amended and Restated Employment Agreement, dated as of January 14, 2019, by and between Seres Therapeutics, Inc. and Eric D. Shaff
SIGNATURES
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.
SERES THERAPEUTICS, INC.
Date: January 15, 2019
By:
/s/ Thomas J. DesRosier
Name: Thomas J. DesRosier
Title: Executive Vice President and Chief Legal Officer