# EDGAR Filing Document

**Accession Number:** 0001260990
**File Stem:** 0000950170-23-000825
**Filing Date:** 2023-1
**Character Count:** 6803
**Document Hash:** dceed24dd911f6dc9faab74d995d6ab5
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950170-23-000825.hdr.sgml**: 20230117

**ACCESSION NUMBER**: 0000950170-23-000825

**CONFORMED SUBMISSION TYPE**: 8-K/A

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230106

**ITEM INFORMATION**: Results of Operations and Financial Condition

**FILED AS OF DATE**: 20230117

**DATE AS OF CHANGE**: 20230117

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Oncternal Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001260990
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 621715807
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-50549
- **FILM NUMBER:** 23532109

**BUSINESS ADDRESS:**
- **STREET 1:** 12230 EL CAMINO REAL
- **STREET 2:** SUITE 230
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92130
- **BUSINESS PHONE:** (858) 434-1113

**MAIL ADDRESS:**
- **STREET 1:** 12230 EL CAMINO REAL
- **STREET 2:** SUITE 230
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92130

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** GTX INC /DE/
- **DATE OF NAME CHANGE:** 20030822

?xml version="1.0" encoding="ASCII"? 8-K/A

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**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, DC 20549**

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**FORM** 8-K/A **(Amendment No. 1)**

**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 6, 2023

Oncternal Therapeutics, Inc.

(Exact Name of Registrant as Specified in Charter)

Delaware 000-50549 62-1715807 <br> (State or Other Jurisdictionof Incorporation) (Commission FileNumber) (IRS Employer Identification No.)

12230 El Camino Real<br>Suite 230San Diego**,** CA 92130<br>**(**858**)** 434-1113<br>

(Address and zip code; telephone number, including area code, of registrant's principal executive offices)

**N/A**

(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 (see General Instruction A.2. below):

☐ 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))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which registered** |
| Common Stock, par value $0.001 per share | ONCT | The Nasdaq Stock Market, LLC |

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Indicate by check mark whether the registrant is an emerging growth company 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 ☐

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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. ☐

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**Explanatory Note**

This Amendment No. 1 on Form 8-K/A is being filed to ensure the correct item number tag, Item 2.02, is reflected in the EDGAR system for the submission of the Current Report on Form 8-K filed on January 6, 2023. No substantive changes have been made to the disclosures previously provided.

**Item 2.02. Results of Operations and Financial Condition.** 

Oncternal Therapeutics, Inc. ("Oncternal") estimates that its cash and cash equivalents were $63.7 million and it had 57.5 million shares of common stock outstanding as of December 31, 2022. During the quarter ended December 31, 2022, Oncternal sold 1,947,034 shares of common stock under its at-the-market equity offering program. These amounts are preliminary and are subject to completion of financial closing procedures. As a result, these amounts may differ from the amounts that will be reflected in Oncternal's financial statements as of and for the quarter ended December 31, 2022.

The information in this Item 2.02 shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such a filing.

**Forward-Looking Statements**

Oncternal cautions readers that statements contained in this report regarding matters that are not historical facts are forward-looking statements. These statements are based on Oncternal's current beliefs and expectations. Such forward-looking statements include Oncternal's estimated cash and cash equivalents and capitalization as of December 31, 2022. Such forward-looking statements involve risks and uncertainties that could cause actual results to differ materially from predicted or expected results. Such risks and uncertainties include, but are not limited to, potential changes in estimated cash and cash equivalents and capitalization based on the completion of financial closing procedures and release of complete results for the quarter ended December 31, 2022, risks associated with the clinical development and process for obtaining regulatory approval of Oncternal's product candidates, such as potential delays in the commencement, enrollment and completion of clinical trials, and other risks described in Oncternal's filings with the Securities and Exchange Commission. Oncternal cautions readers not to place undue reliance on these forward-looking statements, which speak only as of the date hereof, and Oncternal undertakes no obligation to update such statements to reflect events that occur or circumstances that exist after the date hereof. All forward-looking statements are qualified in their entirety by this cautionary statement, which is made under the safe harbor provisions of the Private Securities Litigation Reform Act of 1995.

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**SIGNATURES**

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.

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| | | |
|:---|:---|:---|
|  | **Oncternal Therapeutics, Inc.** | **Oncternal Therapeutics, Inc.** |
| Date: January 17, 2023 | By: | /s/ Richard G. Vincent |
|  |  | Name: Richard G. Vincent |
|  |  | Title: Chief Financial Officer |

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