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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, DC 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><FONT
STYLE="white-space:nowrap">FORM&nbsp;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;25, 2019 </B></P>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B>Trovagene,&nbsp;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">001-35558</FONT></B></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">27-2004382</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 or organization)</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>
<TD VALIGN="bottom">&nbsp;</TD>
<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>
</TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>11055 Flintkote Avenue </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>San Diego, CA 92121 </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Address of principal executive offices) </B></P>
<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: (858) <FONT STYLE="white-space:nowrap">952-7570</FONT> </B></P>
<P STYLE="margin-top:12pt; 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">Check the appropriate box below if the <FONT STYLE="white-space:nowrap">Form&nbsp;8-K</FONT> filing is intended to simultaneously satisfy the filing
obligation of the registrant under any of the following provisions: </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 communication pursuant to Rule&nbsp;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 <FONT STYLE="white-space:nowrap">Rule&nbsp;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 <FONT
STYLE="white-space:nowrap">Rule&nbsp;14d-2(b)&nbsp;under</FONT> 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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<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 <FONT
STYLE="white-space:nowrap">Rule&nbsp;13e-4(c)&nbsp;under</FONT> the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.13e-4(c))</FONT> </P></TD></TR></TABLE>
<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 as defined in Rule&nbsp;405 of the Securities Act of 1933
(&#167;230.405 of this chapter) or <FONT STYLE="white-space:nowrap">Rule&nbsp;12b-2</FONT> of the Securities Exchange Act of 1934 <FONT STYLE="white-space:nowrap">(&#167;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;&#9744; </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)&nbsp;of the Exchange
Act.&nbsp;&nbsp;&#9744; </P> <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;1.01 Entry into a Material Definitive Agreement. </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:8%; font-size:10pt; font-family:Times New Roman">On January&nbsp;25, 2019, Trovagene, Inc. (the &#147;Company&#148;) entered into a Stock and Warrant Subscription Agreement (the
&#147;SPA&#148;) with POC Capital, LLC (&#147;POC&#148;) pursuant to which the Company issued to POC at an aggregate issue price of $1,675,000 (i) 1,100,000 shares of its common stock (the &#147;Common Stock&#148;), (ii) 200,000 shares of its Series
C Preferred Stock (as defined below) and (iii)&nbsp;a warrant (the &#147;Warrant&#148;) exercisable for 900,000 shares of its Common Stock, in exchange for POC funding clinical development of Onvansertib, the Company&#146;s <FONT
STYLE="white-space:nowrap"><FONT STYLE="white-space:nowrap">first-in-class,</FONT></FONT> 3<SUP STYLE="font-size:85%; vertical-align:top">rd</SUP> generation oral and highly selective PLK1 inhibitor in a Phase 1b/2 clinical trial in patients with
metastatic colorectal cancer pursuant to a Master Services Agreement dated as of January&nbsp;25, 2019 by and among the Company, Integrium, LLC and POC. The Warrant is exercisable at any time until January&nbsp;25, 2024 at an exercise price of
$0.627 per share. The Common Stock, Series C Preferred Stock and Warrant was offered and sold pursuant to an exemption from the registration requirements of the Securities Act of 1933, as amended, pursuant to Section&nbsp;4(a)(2). </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:8%; font-size:10pt; font-family:Times New Roman">The foregoing description of each of the SPA and Warrant is not complete and is qualified in its entirety by reference to the full text of the
SPA and Warrant, a copy of which is filed as Exhibit 10.1 and 4.1, respectively, to this Current Report on <FONT STYLE="white-space:nowrap">Form&nbsp;8-K&nbsp;and</FONT> is incorporated herein by reference </P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;3.02 Unregistered Sale of Equity Securities. </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:8%; font-size:10pt; font-family:Times New Roman">The information contained in Item 1.01 of this Current Report on <FONT STYLE="white-space:nowrap">Form&nbsp;8-K&nbsp;in</FONT> relation to the
Common Stock, Series C Preferred Stock and Warrants is incorporated herein by reference. </P> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;5.03 Amendments to Articles of Incorporation or
Bylaws; Change in Fiscal Year. </B></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:8%; font-size:10pt; font-family:Times New Roman">On January&nbsp;28, 2019, the Company filed a Certificate of Designations, Rights and Limitations (the
&#147;Series C COD&#148;) of Series C Convertible Preferred Stock (the &#147;Series C Preferred Stock&#148;) with the Secretary of the State of Delaware pursuant to which the Company designated 200,000 shares of preferred stock as Series C Preferred
Stock in connection with the issuance of shares of Series C Preferred Stock to POC. Each share of Series C Preferred Stock is convertible into 10 shares of the Company&#146;s common stock. Holders of Series C Preferred Stock are prohibited from
converting such shares into shares of the Company&#146;s common stock if, as a result of such conversion, the holder, together with its affiliates, would beneficially own more than 4.99% of the total number of shares of the Company&#146;s common
stock then issued and outstanding (the &#147;Beneficial Ownership Limitation&#148;). Upon the liquidation, <FONT STYLE="white-space:nowrap">dissolution&nbsp;or&nbsp;winding-up&nbsp;of</FONT> the Company,&nbsp;holders of Series C Preferred Stock will
be entitled to receive the same amount that a holder of the Company&#146;s common stock would receive if the Series C Preferred Stock were fully converted into shares of the Company&#146;s common stock disregarding the Beneficial Ownership
Limitation. Holders of shares of Series C Preferred Stock will be able to vote such shares <FONT STYLE="white-space:nowrap">on&nbsp;an&nbsp;as-converted&nbsp;basis;</FONT> provided, however, in no event will a holder be entitled to vote a number of
shares in excess of the Beneficial Ownership Limitation.</P> <P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:8%; font-size:10pt; font-family:Times New Roman">The foregoing description of the Series C Preferred Stock is not complete and is
qualified in its entirety by reference to the full text of the Series C COD, a copy of which is filed as Exhibit 3.1 to this Current Report on <FONT STYLE="white-space:nowrap">Form&nbsp;8-K&nbsp;and</FONT> is incorporated herein by reference </P>
<P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Item&nbsp;8.01 Other Events. </B></P> <P STYLE="margin-top:6pt; margin-bottom:0pt; text-indent:8%; font-size:10pt; font-family:Times New Roman">On
January&nbsp;28, 2019, the Company issued a press release announcing its agreement with POC to fund clinical development of Onvansertib, its <FONT STYLE="white-space:nowrap"><FONT STYLE="white-space:nowrap">first-in-class,</FONT></FONT> 3<SUP
STYLE="font-size:85%; vertical-align:top">rd</SUP>&nbsp;generation oral and highly selective Polo-like Kinase 1 (PLK1) inhibitor in a Phase&nbsp;1b/2 clinical trial in patients with metastatic Colorectal Cancer (mCRC). A copy of the press release is
furnished as Exhibit&nbsp;99.1 to <FONT STYLE="white-space:nowrap">this&nbsp;Form&nbsp;8-K.</FONT> </P> <P STYLE="margin-top:18pt; 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; 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="top" NOWRAP>3.1</TD>
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<TD VALIGN="top"><A HREF="d692543dex31.htm">Certificate of Designation of Preferences, Rights and Limitations of Series C Convertible Preferred Stock. </A></TD></TR>
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<TD VALIGN="top" NOWRAP>4.1</TD>
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<TD VALIGN="top"><A HREF="d692543dex41.htm">Form of Warrant. </A></TD></TR>
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<TD VALIGN="top" NOWRAP>10.1</TD>
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<TD VALIGN="top"><A HREF="d692543dex101.htm">Stock and Warrant Subscription Agreement entered into as of January&nbsp;25, 2019 by and between Trovagene, Inc. and POC Capital, LLC. </A></TD></TR>
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<TD VALIGN="top" NOWRAP>99.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"><A HREF="d692543dex991.htm">Press Release of Trovagene, Inc. dated January&nbsp;29, 2019. </A></TD></TR>
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<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="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Dated: January&nbsp;29, 2019 </P>
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<TD VALIGN="top" COLSPAN="3">TROVAGENE,&nbsp;INC.</TD></TR>
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<TD VALIGN="top">By:</TD>
<TD VALIGN="bottom">&nbsp;</TD>
<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 Adams</P></TD></TR>
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<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Thomas Adams</TD></TR>
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<TD VALIGN="top"></TD>
<TD VALIGN="bottom">&nbsp;</TD>
<TD VALIGN="top">Chief Executive Officer</TD></TR>
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{"company-data": {"conformed-name": "Trovagene, Inc.", "cik": "0001213037", "assigned-sic": "2836", "irs-number": "043721895", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-35558", "film-number": "19549596"}, "business-address": {"street1": "11055 FLINTKOTE AVENUE", "city": "SAN DIEGO", "state": "CA", "zip": "92121", "phone": "858-217-5420"}, "mail-address": {"street1": "11055 FLINTKOTE AVENUE", "city": "SAN DIEGO", "state": "CA", "zip": "92121"}, "former-company": [{"former-conformed-name": "TrovaGene Inc.", "date-changed": "20110830"}, {"former-conformed-name": "XENOMICS INC", "date-changed": "20040719"}, {"former-conformed-name": "USED KAR PARTS INC", "date-changed": "20030106"}]}
Form 8-K
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): January 25, 2019
Trovagene, Inc.
(Exact name of registrant as specified in its charter)
Delaware
001-35558
27-2004382
(State or other jurisdiction
of incorporation or organization)
(Commission
File Number)
IRS Employer
Identification No.)
11055 Flintkote Avenue
San Diego, CA 92121
(Address of principal executive offices)
Registrant's telephone number, including area code: (858)
952-7570
(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 communication 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))
Indicate by check mark whether the registrant is an emerging growth company as defined in 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 1.01 Entry into a Material Definitive Agreement.
On January 25, 2019, Trovagene, Inc. (the "Company") entered into a Stock and Warrant Subscription Agreement (the
"SPA") with POC Capital, LLC ("POC") pursuant to which the Company issued to POC at an aggregate issue price of $1,675,000 (i) 1,100,000 shares of its common stock (the "Common Stock"), (ii) 200,000 shares of its Series
C Preferred Stock (as defined below) and (iii) a warrant (the "Warrant") exercisable for 900,000 shares of its Common Stock, in exchange for POC funding clinical development of Onvansertib, the Company's
first-in-class,
3
rd
generation oral and highly selective PLK1 inhibitor in a Phase 1b/2 clinical trial in patients with
metastatic colorectal cancer pursuant to a Master Services Agreement dated as of January 25, 2019 by and among the Company, Integrium, LLC and POC. The Warrant is exercisable at any time until January 25, 2024 at an exercise price of
$0.627 per share. The Common Stock, Series C Preferred Stock and Warrant was offered and sold pursuant to an exemption from the registration requirements of the Securities Act of 1933, as amended, pursuant to Section 4(a)(2).
The foregoing description of each of the SPA and Warrant is not complete and is qualified in its entirety by reference to the full text of the
SPA and Warrant, a copy of which is filed as Exhibit 10.1 and 4.1, respectively, to this Current Report on
Form 8-K and
is incorporated herein by reference
Item 3.02 Unregistered Sale of Equity Securities.
The information contained in Item 1.01 of this Current Report on
Form 8-K in
relation to the
Common Stock, Series C Preferred Stock and Warrants is incorporated herein by reference.
Item 5.03 Amendments to Articles of Incorporation or
Bylaws; Change in Fiscal Year.
On January 28, 2019, the Company filed a Certificate of Designations, Rights and Limitations (the
"Series C COD") of Series C Convertible Preferred Stock (the "Series C Preferred Stock") with the Secretary of the State of Delaware pursuant to which the Company designated 200,000 shares of preferred stock as Series C Preferred
Stock in connection with the issuance of shares of Series C Preferred Stock to POC. Each share of Series C Preferred Stock is convertible into 10 shares of the Company's common stock. Holders of Series C Preferred Stock are prohibited from
converting such shares into shares of the Company's common stock if, as a result of such conversion, the holder, together with its affiliates, would beneficially own more than 4.99% of the total number of shares of the Company's common
stock then issued and outstanding (the "Beneficial Ownership Limitation"). Upon the liquidation,
dissolution or winding-up of
the Company, holders of Series C Preferred Stock will
be entitled to receive the same amount that a holder of the Company's common stock would receive if the Series C Preferred Stock were fully converted into shares of the Company's common stock disregarding the Beneficial Ownership
Limitation. Holders of shares of Series C Preferred Stock will be able to vote such shares
on an as-converted basis;
provided, however, in no event will a holder be entitled to vote a number of
shares in excess of the Beneficial Ownership Limitation.
The foregoing description of the Series C Preferred Stock is not complete and is
qualified in its entirety by reference to the full text of the Series C COD, a copy of which is filed as Exhibit 3.1 to this Current Report on
Form 8-K and
is incorporated herein by reference
Item 8.01 Other Events.
On
January 28, 2019, the Company issued a press release announcing its agreement with POC to fund clinical development of Onvansertib, its
first-in-class,
3
rd
generation oral and highly selective Polo-like Kinase 1 (PLK1) inhibitor in a Phase 1b/2 clinical trial in patients with metastatic Colorectal Cancer (mCRC). A copy of the press release is
furnished as Exhibit 99.1 to
this Form 8-K.
Item 9.01. Financial Statements and Exhibits
(d) Exhibits.
3.1
Certificate of Designation of Preferences, Rights and Limitations of Series C Convertible Preferred Stock.
4.1
Form of Warrant.
10.1
Stock and Warrant Subscription Agreement entered into as of January 25, 2019 by and between Trovagene, Inc. and POC Capital, LLC.
99.1
Press Release of Trovagene, Inc. dated January 29, 2019.
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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.
Dated: January 29, 2019
TROVAGENE, INC.
By:
/s/ Thomas Adams
Thomas Adams
Chief Executive Officer
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