Small Company Offering and Sale of Securities Without Registration (d)

Date : 11/22/2019 @ 8:59PM
Source : Edgar (US Regulatory)
Stock : Genprex Inc (GNPX)
Quote : 1.28  0.06 (4.92%) @ 4:59AM
Genprex share price Chart
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Last $ 1.25 ▼ -0.03 (-2.34%)

Small Company Offering and Sale of Securities Without Registration (d)

o NoneEntity Type
0001595248
None
 
x Corporation
o Limited Partnership
o Limited Liability Company
o General Partnership
o Business Trust
o Other
Name of Issuer
 Genprex, Inc.
Jurisdiction of Incorporation/Organization
TEXAS
 
Year of Incorporation/Organization
  x Over Five Years Ago
  o Within Last Five Years (Specify Year)  
  o Yet to Be Formed 



2. Principal Place of Business and Contact Information
Name of Issuer 
 Genprex, Inc. 
Street Address 1Street Address 2
 1601 Trinity Street, Bldg. B, Ste 3322 
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 Austin TEXAS 78712 512-370-4081 



3. Related Persons
Last NameFirst NameMiddle Name
VarnerJohnRodney
Street Address 1Street Address 2
1601 Trinity Street, Bldg. B, Ste 3322
CityState/Province/CountryZIP/Postal Code
AustinTEXAS78712
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  

Last NameFirst NameMiddle Name
ConferRyanM.
Street Address 1Street Address 2
1601 Trinity Street, Bldg. B, Ste 3322
CityState/Province/CountryZIP/Postal Code
AustinTEXAS78712
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
  

Last NameFirst NameMiddle Name
PhamJulien
Street Address 1Street Address 2
1601 Trinity Street, Bldg. B, Ste 3322
CityState/Province/CountryZIP/Postal Code
AustinTEXAS78712
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
  

Last NameFirst NameMiddle Name
FriedmanDavidE.
Street Address 1Street Address 2
1601 Trinity Street, Bldg. B, Ste 3322
CityState/Province/CountryZIP/Postal Code
AustinTEXAS78712
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  

 
Last NameFirst NameMiddle Name
PearsonRobertW.
Street Address 1Street Address 2
1601 Trinity Street, Bldg. B, Ste 3322
CityState/Province/CountryZIP/Postal Code
AustinTEXAS78712
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  

 


4. Industry Group
o Agriculture Health Care o Retailing
 Banking & Financial Services   x Biotechnology o Restaurants
  o Commercial Banking   o Health Insurance Technology
  o Insurance  o Hospitals & Physicians  o Computers
  o Investing  o Pharmaceuticals  o Telecommunications
  o Investment Banking  o Other Health Care  o Other Technology
  o Pooled Investment Fund

    Travel
  o Other Banking & Financial Services o Manufacturing  o Airlines & Airports
 Real Estate  o Lodging & Conventions
  o Commercial  o Tourism & Travel Services
  o Construction  o Other Travel
  o REITS & Finance o Other
  o Residential 
  o Other Real Estate 
o Business Services 
 Energy 
  o Coal Mining 
  o Electric Utilities 
  o Energy Conservation 
  o Environmental Services 
  o Oil & Gas 
  o Other Energy 


5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
o No Revenues o No Aggregate Net Asset Value
o $1 - $1,000,000 o $1 - $5,000,000
o $1,000,001 - $5,000,000 o $5,000,001 - $25,000,000
o $5,000,001 - $25,000,000 o $25,000,001 - $50,000,000
o $25,000,001 - $100,000,000 o $50,000,001 - $100,000,000
o Over $100,000,000 o Over $100,000,000
x Decline to Disclose o Decline to Disclose
o Not Applicable o Not Applicable


6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
o Rule 504(b)(1) (not (i), (ii) or (iii)) o Rule 505
o Rule 504 (b)(1)(i) x Rule 506(b)
o Rule 504 (b)(1)(ii) o Rule 506(c)
o Rule 504 (b)(1)(iii) o Securities Act Section 4(a)(5)
  o Investment Company Act Section 3(c)

7. Type of Filing
x New Notice Date of First Sale 2019-11-22 o First Sale Yet to Occur
o Amendment

8. Duration of Offering
Does the Issuer intend this offering to last more than one year? o Yes x No

9. Type(s) of Securities Offered (select all that apply)
o Pooled Investment Fund Interests o Equity
o Tenant-in-Common Securities o Debt
o Mineral Property Securities x Option, Warrant or Other Right to Acquire Another Security
x Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security o Other (describe)
  


10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? o Yes x No
 
Clarification of Response (if Necessary) 
  

11. Minimum Investment
Minimum investment accepted from any outside investor$ 0 USD

12. Sales Compensation
RecipientRecipient CRD Number o None
 Joseph Gunnar & Co., LLC 24795
(Associated) Broker or Dealer x None(Associated) Broker or Dealer CRD Number x None
    
Street Address 1Street Address 2
 30 Broad Street, 11th Floor  
City State/Province/CountryZIP/Postal Code
 New York NEW YORK 10004
State(s) of Solicitation o All States o Foreign/Non-US
 ILLINOIS
 NEW JERSEY
 NEW YORK
 

 



13. Offering and Sales Amounts
Total Offering Amount $ 1457274 USD o Indefinite
Total Amount Sold $ 0 USD 
Total Remaining to be Sold $ 1457274 USD o Indefinite
 
Clarification of Response (if Necessary)
 Represents an aggregate exercise price of warrants to purchase 3,167,986 shares of common stock which were issued in connection with an offering of 3,167,986 shares of common stock issued in a registered direct offering (the "RDO").


14. Investors
o Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
 
  Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: 2


15. Sales Commissions & Finders’ Fees Expenses
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions$ 88704 USD x Estimate
Finders' Fees$ 0 USD o Estimate
 
Clarification of Response (if Necessary)
 Represents 7% of the gross proceeds from the sale of securities in the RDO and concurrent private placement of warrants. Excludes reimbursement of legal expenses and warrants issued to the placement agent.


16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
 $ 0 USD o

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