Ashoo Gupta
About Ashoo Gupta
Ashoo Gupta is Principal Financial and Accounting Officer (appointed September 30, 2025) and previously served as Vice President, Finance & Controller at 4D Molecular Therapeutics (start date June 12, 2024). He is 49, holds a Bachelor of Commerce from the University of Mumbai, and is a Certified Public Accountant . Company context during his tenure: 4DMT reported a Q3 2025 net loss of $56.9M and a 9M 2025 net loss of $159.5M, with 46,771,185 shares outstanding as of September 30, 2025 . He signed Sarbanes-Oxley 302/906 certifications for the Q3 2025 10-Q, reflecting responsibility for disclosure controls and financial reporting .
Past Roles
| Organization | Role | Years | Strategic impact/notes |
|---|---|---|---|
| Kyverna Therapeutics, Inc. | Vice President of Finance & Corporate Controller | Sep 2023 – Jun 2024 | Finance and controllership at a clinical-stage biopharma |
| Myovant Sciences, Inc. | Executive Director of Accounting & Corporate Controller | Mar 2019 – Jun 2023 | Public company accounting and controllership |
External Roles
| Organization | Role | Years |
|---|---|---|
| None disclosed in SEC filings reviewed | — | — |
Fixed Compensation
| Component | Terms |
|---|---|
| Base salary | $315,000 annually (pro-rated for partial year) |
| Target annual bonus | 30% of annual salary; discretionary, subject to Board approval; based on individual and corporate goals; must be employed on payment date; first-year proration applies |
| Sign-on bonus | $25,000 paid in two equal installments; each installment not deemed earned until 12 months after payment and contingent on continued employment |
| Employment status | At-will; offer letter with Entire Agreement clause and CIIAA referenced |
Performance Compensation
Annual Bonus Structure
| Metric | Weighting | Target | Actual | Payout Mechanics |
|---|---|---|---|---|
| Corporate and individual goals (discretionary) | Not specified (bonus based on individual and corporate goals) | 30% of salary target | Not disclosed | Board-approved, discretionary; employment on pay date required; first-year proration if start after June 12, 2024 and by Sep 30 |
Equity Awards (granted/held per filings)
| Type | Shares | Exercise/Strike | Expiration | Vesting Schedule |
|---|---|---|---|---|
| Stock options | 27,700 | $22.69 | 07/08/2034 | 25% vests on first anniversary of June 12, 2024; 1/48 monthly thereafter while in service |
| Stock options | 7,056 | $4.14 | 03/05/2035 | 1/48 vests monthly from March 6, 2025 while in service |
| RSUs | 13,850 | — | — | 25% vests on June 20, 2025; 1/16 quarterly thereafter while in service |
| RSUs | 3,528 | — | — | 1/16 vests on June 20, 2025 and quarterly thereafter while in service |
Equity program governance: grants subject to the Company’s equity plan and equity agreement; option pricing at grant equals NASDAQ closing price; approval by Board or committee .
Equity Ownership & Alignment
| Holding | Amount | Notes |
|---|---|---|
| Common shares owned (direct) | 45,662 | Per Form 3 as of event date 09/30/2025 |
| RSUs outstanding | 13,850 | Initial RSU grant; vesting as above |
| RSUs outstanding (additional) | 3,528 | Additional RSU grant; vesting as above |
| Stock options outstanding | 27,700 | $22.69 strike; 07/08/2034 expiry; vesting as above |
| Stock options outstanding | 7,056 | $4.14 strike; 03/05/2035 expiry; vesting as above |
| Ownership as % of shares outstanding (approx.) | ~0.10% | 45,662 / 46,771,185 SO as of 9/30/2025 (derived) |
| Hedging/pledging | Hedging transactions are prohibited for officers; no pledging policy disclosure found in reviewed documents |
Employment Terms
| Term | Details |
|---|---|
| Start date and role | Joined FDMT as VP, Finance & Controller on June 12, 2024 |
| Appointment | Appointed Principal Financial Officer and Principal Accounting Officer effective September 30, 2025 |
| Work location | Emeryville, CA office; hybrid arrangement permitted subject to business needs |
| Indemnification | Company to enter into standard indemnification agreement with Mr. Gupta |
| Severance / Change-of-control | No severance or change-of-control benefits for Mr. Gupta disclosed in reviewed filings. Note: Company discloses change-in-control severance terms for named executive officers in its 2025 proxy (CEO/other NEOs) but not specifically for Mr. Gupta . |
| Clawback | Company adopted a Dodd-Frank Rule 10D-1 compliant compensation recovery policy covering current/former executive officers for erroneously awarded incentive compensation (effective for awards on/after Oct 2, 2023) |
| Insider certifications | Signed Q3 2025 SOX 302 and 906 certifications as PFO |
Investment Implications
- Alignment and retention: Time-based RSUs and multi-year option vesting create steady vesting supply starting June 2025; sign-on bonus clawback-like earn conditions over 12 months further anchor near-term retention .
- Ownership scale: Beneficial ownership is modest (~0.10% of SO), so wealth alignment is primarily via unvested RSUs/options rather than large outright holdings; hedging is prohibited, which helps preserve alignment .
- Governance and risk controls: SOX certifications, standard indemnification, and an exchange-listed clawback policy reduce governance risk around financial reporting and pay outcomes .
- Transition watch items: Finance leadership evolved in Q4 2025 (Mr. Gupta’s appointment as PFO in September and a CFO hire in November); monitor role scope and any future equity or severance disclosures that could alter incentives or retention calculus .
Supporting notes: Mr. Gupta’s offer letter governs at-will employment and equity program mechanics; equity vesting schedules and derivative holdings are detailed in his Form 3; Board policy prohibits hedging; the Company’s 2025 proxy describes the executive clawback policy and NEO severance framework (not specifically attributed to Mr. Gupta) .