# EDGAR Filing Document

**Accession Number:** 0001781983
**File Stem:** 0001104659-23-027442
**Filing Date:** 2023-3
**Character Count:** 9562
**Document Hash:** a7e9e09e621fc8223483c2bb779737f4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-027442.hdr.sgml**: 20230301

**ACCESSION NUMBER**: 0001104659-23-027442

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230301

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230301

**DATE AS OF CHANGE**: 20230301

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Aprea Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001781983
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39069
- **FILM NUMBER:** 23694964

**BUSINESS ADDRESS:**
- **STREET 1:** 3805 OLD EASTON ROAD
- **CITY:** DOYLESTOWN
- **STATE:** PA
- **ZIP:** 18902
- **BUSINESS PHONE:** 267-370-5219

**MAIL ADDRESS:**
- **STREET 1:** 3805 OLD EASTON ROAD
- **CITY:** DOYLESTOWN
- **STATE:** PA
- **ZIP:** 18902

?xml version="1.0" encoding="utf-8"?

**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**

**March 1, 2023**

Date of Report (Date of earliest event reported)

**Aprea Therapeutics, Inc.**

(Exact name of registrant as specified in its charter)

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| | | | |
|:---|:---|:---|:---|
| &nbsp;&nbsp;**Delaware** | &nbsp;&nbsp;**001-39069** | &nbsp;&nbsp;**001-39069** | &nbsp;&nbsp;**84-2246769** |
| &nbsp;&nbsp;(State or other jurisdiction<br> of incorporation) | &nbsp;&nbsp;(Commission<br> File Number) | &nbsp;&nbsp;(Commission<br> File Number) | &nbsp;&nbsp;(IRS Employer<br> Identification No.) |
| &nbsp;&nbsp;**3805 Old Easton Road**<br> **Doylestown** **, PA**<br> (Address of principal executive offices) | &nbsp;&nbsp;**3805 Old Easton Road**<br> **Doylestown** **, PA**<br> (Address of principal executive offices) | &nbsp;&nbsp;<br> **18902**<br> (Zip Code) | &nbsp;&nbsp;<br> **18902**<br> (Zip Code) |

---

&nbsp;&nbsp;Registrant's telephone number, including area code: **(617) 463-9385**<br>(Former name or former address, if changed since last report):<br>

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 Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on** <br> **which registered**  |
| Common stock, par value $0.001 per share | APRE | NASDAQ Global Select Market |

---

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 ⌧

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. ⌧

---

| | |
|:---|:---|
| **Item 8.01** | **Other Events.** |

---

As previously disclosed, on September 12, 2022, Aprea Therapeutics, Inc. (the "Company") received a deficiency letter from the Listing Qualifications Department of the Nasdaq Stock Market ("Nasdaq") notifying the Company that, for the preceding 30 consecutive business days, the closing bid price for the Company's common stock was below the minimum $1.00 per share requirement for continued inclusion on The Nasdaq Global Select Market pursuant to Nasdaq Listing Rule 5450(a)(1) (the "Bid Price Requirement").

On March 1, 2023, the Company received written notification from Nasdaq confirming that the Company's common stock had a closing price of $1.00 per share or greater for the last ten consecutive trading days from February 14, 2023 to February 28, 2023 and that as a result, the Company has regained compliance with the Bid Price Requirement and that the matter is now closed.

The Company issued a press release on March 1, 2023, announcing that it had regained compliance with the Bid Price Requirement. The full text of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.

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

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(d)&nbsp;&nbsp;&nbsp;&nbsp; <u>Exhibits</u>.

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| | |
|:---|:---|
| **Exhibit<br> Number** | **Description** |
| [99.1](tm238260d1_ex99-1.htm) | [Aprea Therapeutics, Inc. press release dated March 1, 2023.](tm238260d1_ex99-1.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, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

---

| | | |
|:---|:---|:---|
|  | **Aprea Therapeutics, Inc.** | **Aprea Therapeutics, Inc.** |
| Dated: March 1, 2023 | By: | /s/ Oren Gilad |
|  | Name: Oren Gilad | Name: Oren Gilad |
|  | Title: President and Chief Executive Officer | Title: President and Chief Executive Officer |

---

## Exhibit 99.1

Exhibit 99.1

**Aprea Therapeutics Regains Compliance with Nasdaq Minimum Bid Price Requirement** 

DOYLESTOWN, PA, March 1, 2023 (GLOBE NEWSWIRE) – Aprea Therapeutics, Inc. (Nasdaq: APRE) ("Aprea", or the "Company"), a biopharmaceutical company focused on developing novel synthetic lethality-based cancer therapeutics targeting DNA damage response (DDR) pathways, today announced that it received formal notice from The Nasdaq Stock Market ("Nasdaq") stating that the Company has regained compliance with Nasdaq's minimum bid price for continued listing on the Nasdaq Global Select Market as set forth in Nasdaq Listing Rule 5450(a)(1) ("Min Bid Price Rule").

"We are excited about regaining compliance and we believe our recent financing, which was supported by quality institutions, has strengthened our balance sheet and enabled the Company to continue developing its clinical asset, ATRN-119, and its pre-clinical asset ATRN-W1051" said Oren Gilad, Ph.D., President and Chief Executive Officer of Aprea Therapeutics.

**About Aprea Therapeutics, Inc.**

Aprea Therapeutics, Inc. is a biopharmaceutical company headquartered in Doylestown, Pennsylvania, focused on developing and commercializing novel synthetic lethality-based cancer therapeutics targeting a critical pathway and some of the most central targets in DDR and cancer progression. The Company's lead program is ATRN-119, a clinical-stage small molecule ATR inhibitor being developed for solid tumor indications. Our WEE1inhibitor is being advanced to IND submission. For more information, please visit the company website at <u>www.aprea.com</u>.

The Company may use, and intends to use, its investor relations website at <u>https://ir.aprea.com/</u> as a means of disclosing material nonpublic information and for complying with its disclosure obligations under Regulation FD.

**Forward Looking Statement**

Certain information contained in this press release includes "forward-looking statements", within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, related to our study analyses, clinical trials, regulatory submissions, and projected cash position. We may, in some cases use terms such as "future," "predicts," "believes," "potential," "continue," "anticipates," "estimates," "expects," "plans," "intends," "targeting," "confidence," "may," "could," "might," "likely," "will," "should" or other words that convey uncertainty of the future events or outcomes to identify these forward-looking statements. Our forward-looking statements are based on current beliefs and expectations of our management team that involve risks, potential changes in circumstances, assumptions, and uncertainties. Any or all of the forward-looking statements may turn out to be wrong or be affected by inaccurate assumptions we might make or by known or unknown risks and uncertainties. These forward-looking statements are subject to risks and uncertainties including risks related to the success and timing of our clinical trials or other studies, risks associated with the coronavirus pandemic and the other risks set forth in our filings with the U.S. Securities and Exchange Commission. For all these reasons, actual results and developments could be materially different from those expressed in or implied by our forward-looking statements. You are cautioned not to place undue reliance on these forward-looking statements, which are made only as of the date of this press release. We undertake no obligation to publicly update such forward-looking statements to reflect subsequent events or circumstances.

Source: Aprea Therapeutics, Inc.

**Investors and Media:**

<u>aprea@argotpartners.com</u>

212-600-1902