Amended Statement of Ownership (sc 13g/a)

Date : 02/19/2020 @ 11:05AM
Source : Edgar (US Regulatory)
Stock : Genprex Inc (GNPX)
Quote : 2.135  -0.115 (-5.11%) @ 5:00AM
Genprex share price Chart
After Hours
Last Trade
Last $ 2.17 ▲ 0.04 (1.64%)

Amended Statement of Ownership (sc 13g/a)





Washington, D.C. 20549





Under the Securities Exchange Act of 1934

(Amendment No. 1)*



Genprex, Inc.

(Name of Issuer)


Common Stock, par value $0.001 per share

(Title of Class of Securities)



(CUSIP Number)


December 31, 2019

(Date of Event Which Requires Filing of this Statement)




Check the appropriate box to designate the rule pursuant to which this Schedule is filed:


☐ Rule 13d-1(b)


☐ Rule 13d-1(c)


☒ Rule 13d-1(d)



The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.


The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).







Names of reporting persons


Jack A. Roth


Check the appropriate box if a member of a group (see instructions)


(a) ☐        (b) ☒


SEC use only



Citizenship or place of organization



Number of


Sole voting power





owned by


Shared voting power







Sole dispositive power





Shared dispositive power




Aggregate amount beneficially owned by each reporting person




Check if the aggregate amount in Row (9) excludes certain shares (see instructions)



Percent of class represented by amount in Row (9)




Type of reporting person (see instructions)








 Item 1.




Name of Issuer
Genprex, Inc.





Address of Issuer’s Principal Executive Offices
1601 Trinity Street, Bldg. B, Suite3.322, Austin, Texas 78712




Item 2.




Name of Person Filing
Jack A. Roth





Address of the Principal Office or, if none, residence
6516 Brompton Road, Houston, Texas 77005










Title of Class of Securities
Common Stock, par value $0.001 per share





CUSIP Number




Item 3.  If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:




[ ]

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).





[ ]

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).





[ ]

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).





[ ]

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).





[ ]

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);





[ ]

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);





[ ]

A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);





[ ]

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);





[ ]

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);





[ ]

Group, in accordance with §240.13d-1(b)(1)(ii)(J).







Item 4.  Ownership.


Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.






Amount beneficially owned:  1,155,128






Percent of class:  6.0%






Number of shares as to which the person has:  







Sole power to vote or to direct the vote  1,155,128







Shared power to vote or to direct the vote  0







Sole power to dispose or to direct the disposition of  1,155,128







Shared power to dispose or to direct the disposition of  0




Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).


Item 5.  Ownership of Five Percent or Less of a Class.


If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following     [X].


Item 6.  Ownership of More than Five Percent on Behalf of Another Person.


Reporting person has the right to receive and the power to direct the receipt of dividends from, or the proceeds from the sale of, 644,041 shares by virtue of his spouse’s position as the trustee of a family trust and by virtue of his and his spouse’s positions as members of the general partner of JREG Investments, Ltd.


Item 7.  Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.




Item 8.  Identification and Classification of Members of the Group.




Item 9.  Notice of Dissolution of Group.




Item 10.  Certification.




After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.


February 18, 2020


/s/ Jack A. Roth



Historical Stock Chart

1 Year : From Apr 2019 to Apr 2020

Click Here for more Genprex Charts.

Intraday Stock Chart

Today : Saturday 4 April 2020

Click Here for more Genprex Charts.

Latest GNPX Messages

{{bbMessage.M_Alias}} {{bbMessage.MSG_Date}} {{bbMessage.HowLongAgo}} {{bbMessage.MSG_ID}} {{bbMessage.MSG_Subject}}

Loading Messages....

No posts yet, be the first! No {{symbol}} Message Board. Create One! See More Posts on {{symbol}} Message Board See More Message Board Posts
Your Recent History
Gulf Keyst..
FTSE 100
UK Sterlin..
Stocks you've viewed will appear in this box, letting you easily return to quotes you've seen previously.

Register now to create your own custom streaming stock watchlist.

NYSE, AMEX, and ASX quotes are delayed by at least 20 minutes.
All other quotes are delayed by at least 15 minutes unless otherwise stated.

By accessing the services available at ADVFN you are agreeing to be bound by ADVFN's Terms & Conditions

P: V:us D:20200404 09:49:49