{"url_path":"/sec/glsi/10-k/2026/item-10","section_key":"item-10","section_title":"Item 10 DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE**","topic":"sec","document":{"doc_type":"10-K","doc_date":"2026-06-01","source_url":"https://www.sec.gov/Archives/edgar/data/1799788/0001493152-26-026651-index.html","accession_number":"0001493152-26-026651","cik":"0001799788","ticker":"GLSI","issuer_name":"Greenwich LifeSciences, Inc.","edgar_url":"https://www.sec.gov/Archives/edgar/data/1799788/0001493152-26-026651-index.html","primary_entity_key":"0001799788","primary_entity_name":"Greenwich LifeSciences, Inc."},"word_count":2853,"has_tables":true,"body_markdown":"**ITEM\n10. DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE**\n\n \n\n**Executive\nOfficers, Directors and Key Employees**\n\n \n\nThe\nfollowing table sets forth the name, age and position of each of our executive officers, key employees and directors as of May 26,\n2026. All directors hold office until the next annual meeting of stockholders and the election and qualification of their successors.\nOfficers serve at the discretion of the board.\n\n \n\n**Name**\n \n**Age**\n \n**Position**\n\nSnehal\nPatel\n \n62\n \nChief\nExecutive Officer, Chief Financial Officer and Director\n\nF.\nJoseph Daugherty\n \n75\n \nChief\nMedical Officer and Director\n\nJaye\nThompson\n \n60\n \nVice\nPresident Clinical & Regulatory Affairs\n\nDavid\nMcWilliams\n \n83\n \nChairman\nof the Board\n\nEric\nRothe\n \n51\n \nDirector\n\nKenneth\nHallock\n \n77\n \nDirector\n\n \n\n**Biographies**\n\n \n\nThe\nprincipal occupations for the past five years (and, in some instances, for prior years) of each of our directors and executive officers\nare as follows:\n\n \n\n**Snehal\nPatel.** Snehal Patel has over 30 years of experience in executive management, corporate development, operations, and investment banking\nin the healthcare industry. Mr. Patel has served as our Chief Executive Officer since June 2016 and our Chief Financial Officer and a\nmember of our board of directors since February 2010. In addition, since 2009, Mr. Patel has served as a consultant, manager, and advisor\nat various levels in multiple private start-up biotech companies helping to develop clinical and pre-clinical assets in cancer and other\ntherapeutic areas. Prior to 2010, Mr. Patel served as a consultant to public and private companies focused on stem cell therapy, multiple\nsclerosis t-cell therapy, oncolytic viruses, and disposable biotech manufacturing equipment. In addition, Mr. Patel previously served\nas an investment banker at Sanders Morris Harris, Ferghana Partners, and JP Morgan Chase focusing on healthcare and biotech financing\nand strategic transactions. Mr. Patel also previously worked in operations and business development at Bayer Corporation and in design\nand operations consulting firms. Mr. Patel received a Bachelor of Science degree in chemical engineering and a Master of Science degree\nin biochemical engineering from the Massachusetts Institute of Technology and a Masters of Business Administration degree from the University\nof Chicago. We believe Mr. Patel is qualified to serve as a member of our board of directors because of his executive and management\nexperience working with biotech companies.\n\n \n\n**F.\nJoseph Daugherty.** F. Joseph Daugherty has over 35 years of experience in managing and overseeing biotechnology and biomedical projects.\nDr. Daugherty has served as our Chief Medical Officer since September 2019 and a member of our board of directors since September 2019.\nIn addition, since 2002, Dr. Daugherty has served as the Managing Partner of Phenolics, LLC and PharmaPrint, LLC which was spun off from\nPhenolics, LLC, both of which are nutraceutical companies. From 2002 until 2018, he served first as President, and since 2008 as Chief\nExecutive Officer, Chief Medical Officer and the Chairman of the board of directors of Eleos Inc., a clinical stage private biotech company\nfocused on anti-sense technology in cancer. Dr. Daugherty also served in various other capacities as a management consultant as well\nas an officer and director to over 20 public and private biomedical companies including Dupont. In addition, Dr. Daugherty was President\nof ConAgra’s biotech division. Dr. Daugherty received a Bachelor of Arts degree in biology from Washington University, a Doctor\nof Medicine degree from the University of Nebraska Medical Center and a Masters of Science in Industrial Administration from Carnegie-Mellon\nUniversity (Tepper). We believe Dr. Daugherty is qualified to serve as a member of our board of directors because of his executive and\nmanagement experience, including his experience working with biotech companies.\n\n \n\n**Jaye\nThompson.**Jaye Thompson has over 30 years of experience in pharmaceutical and device product development. Dr. Thompson has served\nas our Vice President Clinical & Regulatory Affairs since September 2019. Since December 2017, Dr. Thompson has served as a co-founder\nand Chief Operating Officer of Proxima Clinical Research, Inc., a clinical research service provider. Dr. Thompson previously served\nas Senior Vice President of Clinical and Regulatory Affairs of Repros Therapeutics, a reproductive health company, from March 2013 to\nMay 2017 and as a member of the board of directors of Repros Therapeutics from November 2009 to March 2013. Dr. Thompson previously served\nas Senior Vice President of Clinical Development and Regulatory Affairs of Opexa Therapeutics, a multiple sclerosis cell therapy company,\nfrom September 2009 to March 2013. In addition, Dr. Thompson has served at clinical stage biotech companies, in various senior clinical\nand regulatory roles and at inVentiv Clinical Solutions, a clinical research service provider. Dr. Thompson was the president and founder\nof SYNERGOS, Inc., a clinical research service provider, which was founded in 1991, and acquired by inVentiv Health, as a wholly-owned\nsubsidiary in 2006. Dr. Thompson has advised several of the region’s leading life science companies on strategic and regulatory\nplanning as well as clinical product development. She has directed and managed statistical analysis, data management, report writing,\nand the conduct of clinical trials for a wide variety of indications. Dr. Thompson has been actively involved in over 200 clinical trials\nfor drugs, biologics and devices, and has been associated with numerous FDA regulatory submissions. Dr. Thompson has often represented\nsponsor companies at FDA meetings and advisory committee meetings, and she was appointed to the Governor’s Texas Emerging Technology\nFund Advisory Committee. Dr. Thompson received a BS in applied mathematics from Texas A&M University and an MS and a PhD in biostatistics\nfrom the University of Texas Health Science Center in Houston.\n\n \n\n59\n\n[Table of Contents](#toc_001)\n\n \n\n**David\nMcWilliams**. David McWilliams has over 40 years of experience in building biopharmaceutical and healthcare companies. Mr. McWilliams\nhas served as a member of our board of directors since February 2009. He previously served as the Chief Executive Officer from February\n2010 to June 2016 and Chairman of the board of directors of the Company since February 2009. In addition, since 2008, Mr. McWilliams\nhas served as a consultant and an advisor at various levels in multiple private start-up biotech companies to help develop clinical and\npre-clinical assets in cancer and other therapeutic areas. Mr. McWilliams previously served as the Chief Executive Officer and a member\nof the board of directors of Opexa Therapeutics, Inc., a multiple sclerosis cell therapy company, from 2004 until 2008. Mr. McWilliams\nalso previously served as the Chief Executive Officer, President and a member of the board of directors of Bacterial Barcodes, Inc.,\na bacteria and fungi diagnostic company, and the Chief Executive Officer and a member of the board of directors of Signase, Inc., a cancer\ntherapeutics company. Mr. McWilliams has also served in various other capacities including Chief Executive Officer, President and a member\nof the board of directors of both Encysive Pharmaceuticals, Inc. and Repros Therapeutics Inc.; Chief Executive Officer and President\nof Kallestad Diagnostics (Erbamont); President of Harleco Diagnostics Division (EM Industries); General Manager and Program Manager of\nAbbott Laboratories; and Management Consultant at McKinsey & Company. In addition to the foregoing, Mr. McWilliams currently serves\nas the Chairman of the board of directors of BioHouston, an advocate of the life sciences industry in Houston. Mr. McWilliams received\na Bachelor of Arts degree in chemistry from Washington and Jefferson College and a Master of Business Administration degree from the\nUniversity of Chicago. We believe Mr. McWilliams is qualified to serve as a member of our board of directors because of his executive\nexperience, management experience and experience working with biotech companies.\n\n \n\n**Eric\nRothe**. Eric Rothe is the founder of the Company and has over 12 years of industry and academic experience in gene-based therapies\nand vaccines, including six years of laboratory experience. Mr. Rothe previously served as President of the Company from October 2006\nto February 2010, Chief Executive Officer of the Company from October 2007 to February 2010 and Chairman of the Company’s board\nof directors from October 2006 to February 2009. In addition, Mr. Rothe has served as a member of the Company’s board of directors\nsince August 2006. Since August 2017, Mr. Rothe has served as the Global Product Line Leader at Baker Hughes, an energy technology company.\nPreviously, from September 2014 until its acquisition by GE Oil & Gas’ acquisition of Baker Hughes in July 2017, Mr. Rothe\nserved as Vice President of Mid-Continent and NE US Geomarket and Global Product Line Leader of GE Oil & Gas. From 2012 to 2014,\nMr. Rothe served as the International Sales and Operations Director at National Oilwell Varco, one of the world’s largest oil field\nequipment providers. Before joining the oil & gas sector, Mr. Rothe was Director of the Clinical Cancer Genetics program at U.T.\nM.D. Anderson Cancer Center, Project Manager at Introgen, a developer of cancer products in advanced clinical trials, and provided consulting\nservices for start-up/small biotechnology companies in Texas. Mr. Rothe received a Bachelor of Arts degree in molecular and cell biology\nfrom the University of California at Berkeley and a Master of Business Administration degree from Rice University. We believe Mr. Rothe\nis qualified to serve as a member of our board of directors because of his expertise in cancer immunology, GMP manufacturing, and clinical\nresearch, and his experience in various senior management positions in global commercial operations at large corporations.\n\n \n\n**Kenneth\nHallock**. Kenneth Hallock has over 40 years of experience in general management and new venture start-ups and is a major investor\nin our Company. Mr. Hallock has served as a member of our board of directors since September 2019. Mr. Hallock is currently a senior\nmanager and partner in a private start-up equipment manufacturing company and has been in this role for over 10 years. Previously, Mr.\nHallock worked in large industrial corporations such as NL Industries and Anderson Clayton, which were subsequently acquired. Mr. Hallock\nreceived a Bachelor of Engineering degree in chemical engineering from Princeton University and a Master of Business Administration degree\nfrom Harvard Business School. We believe Mr. Hallock is qualified to serve as a member of our board of directors because of his experience\nin various management positions for several Fortune 500 companies.\n\n \n\n**Family\nRelationships and Other Arrangements**\n\n \n\nThere\nare no family relationships among our directors and executive officers. There are no arrangements or understandings between or among\nour executive officers and directors pursuant to which any director or executive officer was or is to be selected as a director or executive\nofficer.\n\n \n\n60\n\n[Table of Contents](#toc_001)\n\n \n\n**Board\nLeadership Structure and Role in Risk Oversight**\n\n \n\nWe\nhave historically separated the roles of Chairman of the board (“Chairman”) and Chief Executive Officer. Although the separation\nof roles has been appropriate for us, in the view of the board, the advisability of the separation of these roles depends upon the specific\ncircumstances and dynamics of our leadership.\n\n \n\nThe\nboard, as a unified body and through committee participation, organizes the execution of its monitoring and oversight roles and does\nnot expect its Chairman to organize those functions.\n\n \n\nThe\nboard has three standing committees-Audit, Compensation and Corporate Governance/Nominating. The membership of each of the committees\nof the board is comprised of independent directors, with each of the committees having a chairman, each of whom is an independent director.\nOur non-management members of the board meet in executive session at each regular board meeting.\n\n \n\nRisk\nis inherent with every business, and how well a business manages risk can ultimately determine its success. Management is responsible\nfor the day-to-day management of the risks we face, while the board, as a whole and through its committees, has responsibility for the\noversight of risk management. In its risk oversight role, the board is responsible for satisfying itself that the risk management processes\ndesigned and implemented by management are adequate and functioning as designed.\n\n \n\nThe\nboard believes that establishing the right “tone at the top” and that full and open communication between executive management\nand the board are essential for effective risk management and oversight. Our CEO communicates frequently with members of the board to\ndiscuss strategy and challenges facing our company. Senior management usually attends our regular quarterly board meetings and is available\nto address any questions or concerns raised by the board on risk management-related and any other matters. Each quarter, the Board receives\npresentations from senior management on matters involving our key areas of operations.\n\n \n\n**Committees\nof Our Board of Directors**\n\n \n\nOur\nboard directs the management of our business and affairs, as provided by Delaware law, and conducts its business through meetings of\nthe board and its standing committees. We have a standing audit committee and compensation committee. Our entire board serves in place\nof a nominating and corporate governance committee. In addition, from time to time, special committees may be established under the direction\nof the board when necessary to address specific issues.\n\n \n\n**Audit\nCommittee**\n\n \n\nOur\naudit committee is responsible for, among other things:\n\n \n\n \n●\napproving\nand retaining the independent auditors to conduct the annual audit of our financial statements;\n\n \n \n \n\n \n●\nreviewing\nthe proposed scope and results of the audit;\n\n \n \n \n\n \n●\nreviewing\nand pre-approving audit and non-audit fees and services;\n\n \n \n \n\n \n●\nreviewing\naccounting and financial controls with the independent auditors and our financial and accounting staff;\n\n \n \n \n\n \n●\nreviewing\nand approving transactions between us and our directors, officers and affiliates;\n\n \n \n \n\n \n●\nestablishing\nprocedures for complaints received by us regarding accounting matters;\n\n \n \n \n\n \n●\noverseeing\ninternal audit functions, if any; and\n\n \n \n \n\n \n●\npreparing\nthe report of the audit committee that the rules of the SEC require to be included in our annual meeting proxy statement.\n\n \n\nOur\naudit committee consists of David McWilliams, Eric Rothe and Kenneth Hallock, with David McWilliams serving as chair. Our board of directors\nhas affirmatively determined that David McWilliams, Eric Rothe and Kenneth Hallock each meet the definition of “independent director”\nunder the Nasdaq rules, and that they meet the independence standards under Rule 10A-3. Each member of our audit committee meets the\nfinancial literacy requirements of the Nasdaq rules. In addition, our board of directors has determined that David McWilliams qualifies\nas an “audit committee financial expert,” as such term is defined in Item 407(d)(5) of Regulation S-K. Our board of directors\nadopted a written charter for the audit committee, which is available on our principal corporate website at *www.greenwichlifesciences.com*.\n\n \n\n61\n\n[Table of Contents](#toc_001)\n\n \n\n**Compensation\nCommittee**\n\n \n\nOur\ncompensation committee is responsible for, among other things:\n\n \n\n \n●\nreviewing\nand recommending the compensation arrangements for management, including the compensation for our president and chief executive officer;\n\n \n \n \n\n \n●\nestablishing\nand reviewing general compensation policies with the objective to attract and retain superior talent, to reward individual performance\nand to achieve our financial goals;\n\n \n \n \n\n \n●\nadministering\nour stock incentive plans; and\n\n \n \n \n\n \n●\npreparing\nthe report of the compensation committee that the rules of the SEC require to be included in our annual meeting proxy statement.\n\n \n\nOur\ncompensation committee consists of David McWilliams, Eric Rothe and Kenneth Hallock, with David McWilliams serving as chair. Our board\nhas determined that David McWilliams, Eric Rothe and Kenneth Hallock are independent directors under Nasdaq rules. Our board of directors\nadopted a written charter for the compensation committee, which is available on our principal corporate website at *www.greenwichlifesciences.com*.\n\n \n\n**Nominating\nand Governance Committee**\n\n \n\nAlthough\nour entire board of directors serves in place of a nominating and corporate governance committee, our independent directors on the board\nare responsible for, among other things:\n\n \n\n \n●\nnominating\nmembers of the board of directors;\n\n \n \n \n\n \n●\ndeveloping\na set of corporate governance principles applicable to our company; and\n\n \n \n \n\n \n●\noverseeing\nthe evaluation of our board of directors.\n\n \n\nOur\nentire board of directors serves in place of a nominating and corporate governance committee. Our board of directors adopted resolutions\naddressing, among other things, the nomination process.\n\n \n\n**Code\nof Business Conduct and Ethics**\n\n \n\nWe\nhave adopted a formal Code of Business Conduct and Ethics applicable to all board members, officers and employees. Our Code of Business\nConduct and Ethics can be found on our website (www.greenwichlifesciences.com). A copy of our Code of Business Conduct and Ethics may\nbe obtained without charge upon written request to Secretary, Greenwich LifeSciences, Inc., 3992 Bluebonnet Dr., Building 14, Stafford,\nTX 77477. If we make any substantive amendments to our Code of Business Conduct and Ethics or grant any waiver from a provision of the\nCode of Business Conduct and Ethics to any executive officer or director, we will promptly disclose the nature of the amendment or waiver\non our website (www.greenwichlifesciences.com) and/or in our public filings with the SEC.\n\n \n\n**Hedging\nand Pledging Policies**\n\n \n\nAs\npart of our Insider Trading Policy, all of our officers, all of our directors, certain of our employees and consultants and family members\nor others sharing a household with any of the foregoing are prohibited from engaging in short sales of our securities, any hedging or\nmonetization transactions involving our securities and in transactions involving puts, calls or other derivative securities based on\nour securities. Our Insider Trading Policy further prohibits such persons from purchasing our securities on margin, borrowing against\nany account in which our securities are held or pledging our securities as collateral for a loan unless pre-cleared by our Insider Trading\nCompliance Officer. As of May 26, 2026, none of our directors or executive officers had pledged any shares of our common stock.\n\n \n\n62\n\n[Table of Contents](#toc_001)"}