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<p style="font-family: &quot;Times New Roman&quot;; font-size: 16pt; margin: 0pt 7.2pt; text-align: center;"><b>UNITED STATES</b></p>

<p style="font-family: &quot;Times New Roman&quot;; font-size: 16pt; margin: 0pt 7.2pt; text-align: center;"><b>SECURITIES AND EXCHANGE COMMISSION</b></p>

<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt; text-align: center;"><b>Washington, D.C. 20549</b>&nbsp;</p>

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<p style="text-align: center; font-family: &quot;Times New Roman&quot;; font-size: 16pt;"><b>FORM 8-K</b></p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:center;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:center;"><b>CURRENT REPORT</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:center;"><b>PURSUANT TO SECTION 13 OR 15(d)</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:center;"><b>OF THE SECURITIES EXCHANGE ACT OF 1934</b></p>

<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt; text-align: center;">&nbsp;</p>

<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt; text-align: center;"><u><b>December 30, 2019</b></u></p>

<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt; text-align: center;">Date of report (Date of earliest event reported)</p>

<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt; text-align: center;">&nbsp;</p>

<p style="font-family: &quot;Times New Roman&quot;; font-size: 18pt; margin: 0pt 7.2pt; text-align: center;"><u><b>GENPREX, INC.</b></u></p>

<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt; text-align: center;"><b>(Exact name of registrant as specified in its charter)</b></p>

<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt; text-align: center;"><b>&nbsp;</b></p>

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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;"><u><b>Delaware</b></u></p>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;"><u><b>001-38244</b></u></p>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;"><u><b>90 - 0772347</b></u></p>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;">(State or other jurisdiction of</p>

			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;">incorporation or organization)</p>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;">(Commission File Number)</p>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;">(I.R.S. Employer</p>

			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;">Identification Number)</p>
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			<td style="vertical-align: middle; width: 28.5%; text-align: center;">&nbsp;</td>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;"><u><b>1601&nbsp;Trinity Street, Suite 3.322, Austin, TX</b></u></p>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;"><u><b>78712</b></u></p>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;">(Address of principal executive offices)</p>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;">(Zip Code)</p>
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<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt; text-align: center;">&nbsp;</p>

<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt; text-align: center;">Registrant&#8217;s telephone number, including area code: <u><b>(512) 537-7997</b></u></p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligations of the registrant under any of the following provisions:</p>

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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744;</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">&nbsp;</p>

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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744;</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">&nbsp;</p>

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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744;</p>
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			<td style="vertical-align:middle;width:98%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">&nbsp;</p>

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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744;</p>
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			<td style="vertical-align:middle;width:98%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">Securities registered pursuant to Section&nbsp;12(b) of the Act:</p>

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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;"><b>Title of each class</b></p>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;"><b>Trading</b></p>

			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;"><b>Symbol(s)</b></p>
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			<td style="vertical-align: bottom; width: 46.2%; border-bottom: thin solid rgb(0, 0, 0);">
			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;"><b>Name of each exchange on which registered</b></p>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;">Common Stock, par value $0.001 per share</p>
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			<td style="vertical-align: middle; width: 0.1%; text-align: center;">&nbsp;</td>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;">GNPX</p>
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			<td style="vertical-align: middle; width: 0.1%; text-align: center;">&nbsp;</td>
			<td style="vertical-align:middle;width:46.2%;">
			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: center;">The Nasdaq Capital Market</p>
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<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt; text-align: center;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">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 (&#167; 230.405 of this chapter) or Rule 12b&#8211;2 of the Securities Exchange Act of 1934 (&#167; 240.12b&#8211;2 of this chapter).</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">Emerging growth company&nbsp;&#9746;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">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.&nbsp;&#9746;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">&nbsp;</p>

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<p style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; margin: 0pt; text-align: left">&nbsp;</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;"><b>Item 3.02 Unregistered Sales of Equity Securities.</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;"><b>Item 8.01 Other Events.</b></p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;"><i>Annual Grant of Options to Outside Directors</i></p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">In accordance with the Outside Director Compensation Policy (the &#8220;Policy&#8221;) of Genprex, Inc. (the &#8220;Company&#8221;), each of David E. Friedman and Robert W. Pearson, the Company&#8217;s two outside directors, was to be granted an option to purchase common stock of the Company on June 10, 2019, the date of the Company&#8217;s 2019 annual meeting of stockholders. In accordance with the Policy, each such option was to have a Value (as defined in the Policy) of $80,000, calculated as of June 10, 2019.&nbsp; These options were not granted on June 10, 2019, but were granted on December 30, 2019. Each such option had a Value of $80,000, calculated as of June 10, 2019.&nbsp; Accordingly, on December 30, 2019, each of Mr. Friedman and Mr. Pearson was granted an option to purchase 68,376 shares of the Company&#8217;s common stock with an exercise price equal to $1.45 per share, which was the closing price of the Company&#8217;s common stock on June 10, 2019. One hundred percent (100%) of the shares subject to each such option shall vest upon the earlier of (a) the one (1) year anniversary of June 10, 2019&nbsp;and (b) the day prior to the Company's next annual meeting of the Company's stockholders occurring after the grant date, in each case, provided that such outside director continues to serve as a Service Provider (as defined in the Company&#8217;s 2018 Equity Incentive Plan) to the Company through the applicable vesting date.</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;"><i>Grant of Options to Outside Directors in Lieu of Cash Compensation</i></p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">In accordance with the Policy, each of the Company&#8217;s outside directors is entitled to certain cash compensation, which is payable quarterly in arrears. Under the Policy, David E. Friedman was entitled to a cash payment in the aggregate amount of $18,750, to be paid on December 30, 2019, in consideration of Mr. Friedman&#8217;s service in the quarter ending December 31, 2019, as an outside director, as Chair of the Audit Committee of the Company&#8217;s board of directors (the &#8220;Board&#8221;), as a member of the Compensation Committee of the Board and as Chair of the Nominating and Corporate Governance Committee of the Board. Under the Policy, Robert W. Pearson was entitled to a cash payment in the aggregate amount of $16,250, to be paid on December 30, 2019, in consideration of Mr. Pearson&#8217;s service in the quarter ending December 31, 2019, as an outside director, as a member of the Audit Committee of the Board, as Chair of the Compensation Committee of the Board and as a member of the Nominating and Corporate Governance Committee of the Board. In order to assist the Company to conserve cash, each of Mr. Friedman and Mr. Pearson agreed to be granted an option to purchase common stock of the Company in lieu of such cash compensation, each with a Value equal to the respective amount of cash compensation to which such director was entitled. Accordingly, on December 30, 2019, Mr. Friedman was granted an option to purchase 78,125 shares of the Company&#8217;s common stock with an exercise price equal to $0.2979 per share, which was the closing price of the Company&#8217;s common stock on December 30, 2019, and Mr. Pearson was granted an option to purchase 67,708 shares of the Company&#8217;s common stock with an exercise price equal to $0.2979 per share, which was the closing price of the Company&#8217;s common stock on December 30, 2019. One hundred percent (100%) of the shares subject to each such option vested upon the date of grant. Neither Mr. Friedman nor Mr. Pearson received, or will receive, any cash compensation from the Company for the quarter ended December 31, 2019 in consideration of the services described above.</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:justify;">Each of the options described above was offered to Mr. Friedman and Mr. Pearson pursuant to an exemption from the registration requirement of the Securities Act provided in Section 4(a)(2) of the Securities Act and/or Regulation D thereunder.</p>

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<p style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; margin: 0pt; text-align: left">&nbsp;</p>

<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt; text-align: center;"><b>SIGNATURES</b></p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt 7.2pt;text-align:left;">Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.</p>

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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;"><b>GENPREX, INC.</b></p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Date: January 6, 2020</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">By:</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">/s/ Ryan Confer</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Ryan Confer</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Chief Financial Officer</p>

			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">(Principal Financial Officer)</p>
			</td>
			<td style="vertical-align: middle; width: 1px;">&nbsp;</td>
		</tr>

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gnpx20190911_8k.htm
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
December 30, 2019
Date of report (Date of earliest event reported)
GENPREX, INC.
(Exact name of registrant as specified in its charter)
Delaware
001-38244
90 - 0772347
(State or other jurisdiction of
incorporation or organization)
(Commission File Number)
(I.R.S. Employer
Identification Number)
1601 Trinity Street, Suite 3.322, Austin, TX
78712
(Address of principal executive offices)
(Zip Code)
Registrant's telephone number, including area code:
(512) 537-7997
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligations 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 each exchange on which registered
Common Stock, par value $0.001 per share
GNPX
The Nasdaq Capital Market
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 3.02 Unregistered Sales of Equity Securities.
Item 8.01 Other Events.
Annual Grant of Options to Outside Directors
In accordance with the Outside Director Compensation Policy (the "Policy") of Genprex, Inc. (the "Company"), each of David E. Friedman and Robert W. Pearson, the Company's two outside directors, was to be granted an option to purchase common stock of the Company on June 10, 2019, the date of the Company's 2019 annual meeting of stockholders. In accordance with the Policy, each such option was to have a Value (as defined in the Policy) of $80,000, calculated as of June 10, 2019.  These options were not granted on June 10, 2019, but were granted on December 30, 2019. Each such option had a Value of $80,000, calculated as of June 10, 2019.  Accordingly, on December 30, 2019, each of Mr. Friedman and Mr. Pearson was granted an option to purchase 68,376 shares of the Company's common stock with an exercise price equal to $1.45 per share, which was the closing price of the Company's common stock on June 10, 2019. One hundred percent (100%) of the shares subject to each such option shall vest upon the earlier of (a) the one (1) year anniversary of June 10, 2019 and (b) the day prior to the Company's next annual meeting of the Company's stockholders occurring after the grant date, in each case, provided that such outside director continues to serve as a Service Provider (as defined in the Company's 2018 Equity Incentive Plan) to the Company through the applicable vesting date.
Grant of Options to Outside Directors in Lieu of Cash Compensation
In accordance with the Policy, each of the Company's outside directors is entitled to certain cash compensation, which is payable quarterly in arrears. Under the Policy, David E. Friedman was entitled to a cash payment in the aggregate amount of $18,750, to be paid on December 30, 2019, in consideration of Mr. Friedman's service in the quarter ending December 31, 2019, as an outside director, as Chair of the Audit Committee of the Company's board of directors (the "Board"), as a member of the Compensation Committee of the Board and as Chair of the Nominating and Corporate Governance Committee of the Board. Under the Policy, Robert W. Pearson was entitled to a cash payment in the aggregate amount of $16,250, to be paid on December 30, 2019, in consideration of Mr. Pearson's service in the quarter ending December 31, 2019, as an outside director, as a member of the Audit Committee of the Board, as Chair of the Compensation Committee of the Board and as a member of the Nominating and Corporate Governance Committee of the Board. In order to assist the Company to conserve cash, each of Mr. Friedman and Mr. Pearson agreed to be granted an option to purchase common stock of the Company in lieu of such cash compensation, each with a Value equal to the respective amount of cash compensation to which such director was entitled. Accordingly, on December 30, 2019, Mr. Friedman was granted an option to purchase 78,125 shares of the Company's common stock with an exercise price equal to $0.2979 per share, which was the closing price of the Company's common stock on December 30, 2019, and Mr. Pearson was granted an option to purchase 67,708 shares of the Company's common stock with an exercise price equal to $0.2979 per share, which was the closing price of the Company's common stock on December 30, 2019. One hundred percent (100%) of the shares subject to each such option vested upon the date of grant. Neither Mr. Friedman nor Mr. Pearson received, or will receive, any cash compensation from the Company for the quarter ended December 31, 2019 in consideration of the services described above.
Each of the options described above was offered to Mr. Friedman and Mr. Pearson pursuant to an exemption from the registration requirement of the Securities Act provided in Section 4(a)(2) of the Securities Act and/or Regulation D thereunder.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
GENPREX, INC.
Date: January 6, 2020
By:
/s/ Ryan Confer
Ryan Confer
Chief Financial Officer
(Principal Financial Officer)