# EDGAR Filing Document

**Accession Number:** 0001595248
**File Stem:** 0001437749-23-000662
**Filing Date:** 2023-1
**Character Count:** 11767
**Document Hash:** c450fc2be6fd2267479eb9ba87674d88
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-23-000662.hdr.sgml**: 20230106

**ACCESSION NUMBER**: 0001437749-23-000662

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 63

**CONFORMED PERIOD OF REPORT**: 20230106

**ITEM INFORMATION**: Regulation FD Disclosure

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230106

**DATE AS OF CHANGE**: 20230106

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Genprex, Inc.
- **CENTRAL INDEX KEY:** 0001595248
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 900772347
- **STATE OF INCORPORATION:** TX
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38244
- **FILM NUMBER:** 23515507

**BUSINESS ADDRESS:**
- **STREET 1:** 1601 TRINITY STREET, BLDG. B
- **STREET 2:** SUITE 3.322
- **CITY:** AUSTIN
- **STATE:** TX
- **ZIP:** 78712
- **BUSINESS PHONE:** 512-537-7997

**MAIL ADDRESS:**
- **STREET 1:** 1601 TRINITY STREET, BLDG. B
- **STREET 2:** SUITE 3.322
- **CITY:** AUSTIN
- **STATE:** TX
- **ZIP:** 78712

gnpx20230103b_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**

<u>**January 6, 2023**</u>

Date of report (Date of earliest event reported)

<u>**GENPREX, INC.**</u>

**(Exact name of registrant as specified in its charter)**

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| | | |
|:---|:---|:---|
| <u>**Delaware**</u> | <u>**001-38244**</u> | <u>**90-0772347**</u> |
| (State or other jurisdiction of<br> incorporation or organization) | (Commission File Number) | (I.R.S. Employer<br> Identification Number) |
| <u>**<u>**3300 Bee Cave Road, #650-227**</u>, <u>**Austin**</u>, <u><u>**TX**</u>**</u></u> |  | <u>**78746**</u> |
| (Address of principal executive offices) |  | (Zip Code) |

---

Registrant's telephone number, including area code: <u>**(<u>**512**</u>) <u>**537-7997**</u>**</u>

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:

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

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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. ☒

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**Item 7.01 Other Events.**

*Corporate Presentation*

The investor presentation about Genprex, Inc. (the "Company") that is furnished as Exhibit 99.1 to this Current Report on Form 8-K may be presented at meetings with investors, analysts, and others, in whole or in part and possibly with modifications, from time to time on or after January 6, 2023. A copy of the investor presentation slides, substantially in the form expected to be used in such presentations and meetings, will be available on the Company's website, <u>www.genprex.com</u>.

The information in this Current Report on Form 8-K under Item 7.01, including the information contained in Exhibit 99.1, is being furnished to the Securities and Exchange Commission, and shall not be deemed to be "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section, and shall not be deemed to be incorporated by reference into any filing under the Securities Act of 1933 or the Securities Exchange Act of 1934, except as shall be expressly set forth by a specific reference in such filing."

**Item 8.01 Other Events.**

*Update on Acclaim-2 Clinical Trial*

We currently are enrolling and treating patients in the dose escalation portion of our Phase *1/2* Acclaim-2 clinical trial. The Acclaim-2 trial uses a combination of REQORSA and Merck & Co.'s Keytruda® in patients with late-stage non small cell lung cancer ("NSCLC") whose disease has progressed after treatment with Keytruda. We expect the dose escalation portion of Phase 1 of the study to be completed by the end of 2023. We will then evaluate 12 more patients at the maximum tolerated dose ("MTD") or recommended Phase *2* dose ("*RP2D*") to expand the safety profile at that dose. The Food and Drug Administration ("FDA") has granted Fast Track Designation for the Acclaim-2 treatment combination of REQORSA and Keytruda in NSCLC patients who have progressed after Keytruda.

*News on Acclaim-3 Clinical Trial*

In Q4 2022 we filed with the FDA our protocol for our Phase 1/2 Acclaim-3 clinical trial using a combination of REQORSA and Genentech, Inc.'s Tecentriq® as maintenance therapy in patients with extensive stage small cell lung cancer ("ES-SCLC") who did not develop tumor progression after receiving Tecentriq and chemotherapy. We expect to dose the first patient in Acclaim-3 in Q3 2023. We anticipate enrolling patients at approximately 10 U.S. clinical sites and estimate that the Phase 1 escalation portion of the Acclaim-3 trial will enroll up to 12 patients, and the Phase 2 portion will enroll approximately 50 patients. Patients will be treated with REQORSA and Tecentriq until disease progression or unacceptable toxicity is experienced. The primary endpoint of the Phase 1 escalation portion is to determine the maximum tolerated dose or recommended Phase 2 dose and the Phase 2 is to determine the 18-week progression-free survival rate from the time of the start of maintenance therapy with REQORSA and Tecentriq in patients with ES-SCLC. Patients will also be followed for survival.

**Cautionary Language Concerning Forward-Looking Statements**

Statements contained in this Report that are not historical facts are "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995. These forward-looking statements are made on the basis of the current beliefs, expectations and assumptions of management, are not guarantees of performance and are subject to significant risks and uncertainty. These forward-looking statements should, therefore, be considered in light of various important factors, including those set forth in Genprex's reports that it files from time to time with the Securities and Exchange Commission and which you should review, including those statements under "Item 1A – Risk Factors" in Genprex's Annual Report on Form 10-K for the year ended December 31, 2021.

Because forward-looking statements are subject to risks and uncertainties, actual results may differ materially from those expressed or implied by such forward-looking statements. Such statements include, but are not limited to, statements regarding: the timing and success of Genprex's clinical trials and regulatory approvals, including the extent and impact of the COVID-19 pandemic; the effect of Genprex's product candidates, alone and in combination with other therapies, on cancer and diabetes; Genprex's future growth and financial status; Genprex's commercial and strategic partnerships, including those with its third party manufacturers and their ability to successfully perform and scale up the manufacture of its product candidates; and Genprex's intellectual property and licenses.

These forward-looking statements should not be relied upon as predictions of future events and Genprex cannot assure you that the events or circumstances discussed or reflected in these statements will be achieved or will occur. If such forward-looking statements prove to be inaccurate, the inaccuracy may be material. You should not regard these statements as a representation or warranty by Genprex or any other person that Genprex will achieve its objectives and plans in any specified timeframe, or at all. You are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date of this press release. Genprex disclaims any obligation to publicly update or release any revisions to these forward-looking statements, whether as a result of new information, future events or otherwise, after the date of this press release or to reflect the occurrence of unanticipated events, except as required by law.

**Item 9.01: Financial Statements and Exhibits.**

&nbsp;&nbsp;&nbsp;&nbsp;(d) Exhibits.

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| | |
|:---|:---|
| **Exhibit**<br> **Number** | **Description** |
| 99.1 | [Investor Presentation](ex_460678.htm) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). |

---

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**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.

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| | | |
|:---|:---|:---|
| | **GENPREX, INC.** | **GENPREX, INC.** |
| Date: January 6, 2023 | By: | */s/ Ryan Confer* |
|  |  | Ryan Confer |
|  |  | Chief Financial Officer<br> (Principal Financial Officer) |

---

## Exhibit 99.1

**Exhibit 99.1**

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