# EDGAR Filing Document

**Accession Number:** 0001394319
**File Stem:** 0001564590-23-000659
**Filing Date:** 2023-1
**Character Count:** 5958
**Document Hash:** c2420facec6e230d61f2e2581cabe4be
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001564590-23-000659.hdr.sgml**: 20230124

**ACCESSION NUMBER**: 0001564590-23-000659

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230120

**ITEM INFORMATION**: Other Events

**FILED AS OF DATE**: 20230124

**DATE AS OF CHANGE**: 20230123

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Tracon Pharmaceuticals, Inc.
- **CENTRAL INDEX KEY:** 0001394319
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 342037594
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36818
- **FILM NUMBER:** 23545526

**BUSINESS ADDRESS:**
- **STREET 1:** 4350 LA JOLLA VILLAGE DRIVE
- **STREET 2:** SUITE 800
- **CITY:** San Diego
- **STATE:** CA
- **ZIP:** 92122
- **BUSINESS PHONE:** 858-550-0780

**MAIL ADDRESS:**
- **STREET 1:** 4350 LA JOLLA VILLAGE DRIVE
- **STREET 2:** SUITE 800
- **CITY:** San Diego
- **STATE:** CA
- **ZIP:** 92122

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Tracon Pharmaceuticals Inc
- **DATE OF NAME CHANGE:** 20070324

?xml version="1.0" encoding="utf-8"? tcon-8k_20230120.DOCX.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
Date of Report (Date of earliest event reported): **January 20, 2023**

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| | | |
|:---|:---|:---|
| **TRACON Pharmaceuticals, Inc.** | **TRACON Pharmaceuticals, Inc.** | **TRACON Pharmaceuticals, Inc.** |
| (Exact name of registrant as specified in its charter) | (Exact name of registrant as specified in its charter) | (Exact name of registrant as specified in its charter) |
| **Delaware** | &nbsp;&nbsp;&nbsp;&nbsp; **001-36818** | &nbsp;&nbsp;&nbsp;&nbsp; **34-2037594** |
| &nbsp;&nbsp;&nbsp; (State or other jurisdiction | (Commission File Number) | (IRS Employer Identification No.) |
| &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; of incorporation) |  |  |
| **4350 La Jolla Village Drive, Suite 800**<br> **San Diego, California** | **4350 La Jolla Village Drive, Suite 800**<br> **San Diego, California** | &nbsp;&nbsp;&nbsp;&nbsp; <br>**92122** |
| (Address of principal executive offices) | (Address of principal executive offices) | (Zip Code) |
| **Registrant's telephone number, including area code: (858) 550-0780**<br> ____________________________________________________________________________ | **Registrant's telephone number, including area code: (858) 550-0780**<br> ____________________________________________________________________________ | **Registrant's telephone number, including area code: (858) 550-0780**<br> ____________________________________________________________________________ |

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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:

☐ 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 Securities 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 | TCON | 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). &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;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 8.01** | **Other Events.**  |

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As previously reported, on December 30, 2022, TRACON Pharmaceuticals, Inc. (the "Company") received a letter (the "Notice") from the Listing Qualifications staff (the "Staff") of the Nasdaq Stock Market LLC ("Nasdaq") notifying the Company that for the 30 consecutive business days prior to the date of the Notice, the market value of the Company's common stock was less than $35.0 million, which did not meet the requirement for continued listing on the Nasdaq Capital Market, as required by Nasdaq Listing Rule 5550(b)(2) (the "Market Value Rule"). The Notice provided the Company with 180 calendar days, or until June 28, 2023, to regain compliance with the Market Value Rule.

On January 20, 2023, the Company received a letter from Nasdaq notifying the Company that the Staff had determined that the market value of the Company's common stock was $35.0 million or greater for the 10 consecutive business days prior to and including January 19, 2023. Accordingly, the Company has regained compliance with the Market Value Rule and the matters arising from the Notice are now closed.

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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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| | | |
|:---|:---|:---|
| Date: January 23, 2023 | **TRACON Pharmaceuticals, Inc.** | **TRACON Pharmaceuticals, Inc.** |
|  | By: | /s/ Charles P. Theuer, M.D., Ph.D. |
|  | Name: | Charles P. Theuer, M.D., Ph.D. |
|  |  | *President and Chief Executive Officer*<br>|

---