# EDGAR Filing Document

**Accession Number:** 0001595248
**File Stem:** 0001437749-23-003784
**Filing Date:** 2023-2
**Character Count:** 19721
**Document Hash:** 3b32e867cc8ba3e938df6fa0875b23a8
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-23-003784.hdr.sgml**: 20230217

**ACCESSION NUMBER**: 0001437749-23-003784

**CONFORMED SUBMISSION TYPE**: S-8

**PUBLIC DOCUMENT COUNT**: 4

**FILED AS OF DATE**: 20230217

**DATE AS OF CHANGE**: 20230217

**EFFECTIVENESS DATE**: 20230217

**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:** S-8
- **SEC ACT:** 1933 Act
- **SEC FILE NUMBER:** 333-269865
- **FILM NUMBER:** 23643209

**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

**As filed with the Securities and Exchange Commission on February 17, 2023**

**Registration No. 333-**

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM S-8**

**REGISTRATION STATEMENT UNDER**

**THE SECURITIES ACT OF 1933**

**GENPREX, INC.**

(Exact name of registrant as specified in its charter)

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| | |
|:---|:---|
| **Delaware** | **90-0772347** |
| (State or other jurisdiction of<br> incorporation or organization) | (I.R.S. Employer<br> Identification Number) |

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| |
|:---|
| **3300 Bee Cave Road #650-227**<br> **Austin, Texas 78746** |
| (Address of Principal Executive Officers) (Zip Code) |

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|:---|
| **Genprex, Inc. 2018 Equity Incentive Plan** |
| (Full title of the plan) |

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|:---|
| **J. Rodney Varner**<br> **Chief Executive Officer**<br> **3300 Bee Cave Road #650-227**<br> **Austin, TX 78746** |
| (Name and address of agent for service) |

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|:---|
| **(877) 774-4679** |
| (Telephone number, including area code, of agent for service) |

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*Copies to:*

**Alan Wovsaniker**<br> **Lowenstein Sandler LLP**<br> **1251 Avenue of the Americas**<br> **New York, New York 10020**<br> **Tel: (212) 262-6700**<br>

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of "large accelerated filer," "accelerated filer," "smaller reporting company," and "emerging growth company" in Rule 12b-2 of the Exchange Act.

Large accelerated filer ☐ Accelerated filer ☐ <br> Non-accelerated filer ☒ Smaller reporting company ☒ <br> 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 to Section 7(a)(2)(B) of the Securities Act. ☒

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**EXPLANATORY NOTE**

This Registration Statement on Form S-8 is filed by Genprex, Inc. (the "Registrant") for the purpose of registering additional shares of the Registrant's common stock, par value $0.001 per share (the "Common Stock") under the Registrant's 2018 Equity Incentive Plan (the "Plan"). The number of shares of Common Stock available for grant and issuance under the Plan is subject to an automatic annual increase on the first day of each fiscal year beginning in 2019 by an amount equal to the lesser of (i) 5% of the outstanding shares of Common Stock on such date or (ii) an amount determined by the Board of Directors (the "Evergreen Provision"). On January 1, 2023, the number of shares of Common Stock available for grant and issuance under the Plan increased by 2,405,298 shares. This Registration Statement registers such additional shares of Common Stock, which were available for grant and issuance under the Plan pursuant to the Evergreen Provision as of January 1, 2023.

Pursuant to General Instruction E of Form S-8, the contents of the Registration Statements on Form S-8 of the Registrant filed with the Securities and Exchange Commission (the "Commission") on [April 2, 2020](http://www.sec.gov/Archives/edgar/data/0001595248/000143774920006794/gnpx20200323_s8.htm) (Registration No. 333-237543) and on [August 16, 2022](http://www.sec.gov/Archives/edgar/data/1595248/000143774922020631/gnpx20220809_s8.htm) (Registration No. 333-266896), including any amendments thereto or filings incorporated therein, are incorporated herein by this reference to the extent not replaced hereby.

**PART I**

**INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS**

The information called for in Part I of Form S-8 to be contained in the Section 10(a) prospectus is not being filed with or included in this Registration Statement (by incorporation by reference or otherwise) in accordance with the rules and regulations of the Commission. The documents containing the information specified in Part I of Form S-8 will be delivered to the participants in the Plan covered by this Registration Statement as specified by Rule 428(b)(1) under the Securities Act of 1933, as amended (the "Securities Act").

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**PART II** 

**INFORMATION REQUIRED IN THE REGISTRATION STATEMENT** 

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| | |
|:---|:---|
| **Item 3.** | **Incorporation of Documents by Reference.** |

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The following documents, which have been filed by the Registrant with the Commission pursuant to the Securities Act and the Securities Exchange Act of 1934, as amended (the "Exchange Act"), are incorporated herein by reference:

● The Company's Annual Report on Form 10-K for the fiscal year ended December 31, 2021, filed with the SEC on [March 30, 2022](http://www.sec.gov/ix?doc=/Archives/edgar/data/0001595248/000143774922007680/gnpx20211231_10k.htm) ;

● The Company's Quarterly Reports on Form 10-Q for the fiscal quarters ended March 31, 2022 and June 30, 2022, and September 30, 2022, filed with the SEC on [May 13, 2022](http://www.sec.gov/ix?doc=/Archives/edgar/data/0001595248/000143774922012372/gnpx20220331_10q.htm) and [August 12, 2022](http://www.sec.gov/ix?doc=/Archives/edgar/data/0001595248/000143774922020379/gnpx20220630_10q.htm) , and [November 14, 2022](http://www.sec.gov/ix?doc=/Archives/edgar/data/1595248/000143774922027048/gnpx20220930_10q.htm) , respectively;

● The Company's Current Reports on Form 8-K filed with the SEC on [January 3, 2022](http://www.sec.gov/ix?doc=/Archives/edgar/data/0001595248/000143774922000099/gnpx20211230_8k.htm) , [January 4, 2022](http://www.sec.gov/ix?doc=/Archives/edgar/data/0001595248/000143774922000223/gnpx20220103_8k.htm) , [February 8, 2022](http://www.sec.gov/ix?doc=/Archives/edgar/data/0001595248/000143774922002736/gnpx20220207_8k.htm) , [March 2, 2022](http://www.sec.gov/ix?doc=/Archives/edgar/data/0001595248/000143774922004972/gnpx20220301_8k.htm) , [March 31, 2022](http://www.sec.gov/ix?doc=/Archives/edgar/data/0001595248/000143774922007760/gnpx20220330_8k.htm) , [June 24, 2022](http://www.sec.gov/ix?doc=/Archives/edgar/data/0001595248/000143774922015911/gnpx20220623_8k.htm) , [August 22, 2022](http://www.sec.gov/ix?doc=/Archives/edgar/data/1595248/000143774922021064/gnpx20220818_8k.htm) , [November 18, 2022](http://www.sec.gov/ix?doc=/Archives/edgar/data/1595248/000143774922027745/gnpx20221118_8k.htm) , [November 28, 2022](http://www.sec.gov/ix?doc=/Archives/edgar/data/1595248/000143774922028072/gnpx20221024_8k.htm) , [December 19, 2022](http://www.sec.gov/ix?doc=/Archives/edgar/data/1595248/000143774922029284/gnpx20221216_8k.htm) , [January 5, 2023](http://www.sec.gov/ix?doc=/Archives/edgar/data/1595248/000143774923000499/gnpx20230103_8k.htm) , and [January 6, 2023](http://www.sec.gov/ix?doc=/Archives/edgar/data/1595248/000143774923000662/gnpx20230103b_8k.htm) , (except to the extent furnished but not filed);

● The Company's Definitive Proxy Statement on Schedule 14A filed with the SEC on [April 28, 2022](http://www.sec.gov/Archives/edgar/data/1595248/000143774922010097/gnpx20220426_def14a.htm) ; and

● The description of the Registrant's Common Stock contained in its Registration Statement on Form 8-A (Registration No. 001-38244) filed with the Commission on [October 13, 2017](http://www.sec.gov/Archives/edgar/data/0001595248/000119312517309662/d454099d8a12b.htm) pursuant to Section 12(b) of the Exchange Act, including any amendments or reports filed for the purpose of updating such description.

All documents filed by the Registrant pursuant to Section 13(a), 13(c), 14, or 15(d) of the Exchange Act subsequent to the filing of this Registration Statement and prior to the filing of a post-effective amendment, which indicates that all securities offered hereby have been sold or which deregisters all securities then remaining unsold, shall be deemed to be incorporated by reference into this Registration Statement and to be a part hereof from the date of filing such documents, except as to specific sections of such documents as set forth therein; provided, however, that documents or information deemed to have been furnished and not filed in accordance with Commission rules shall not be deemed incorporated by reference into this Registration Statement. Any statement contained in a document incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or superseded for purposes of this Registration Statement to the extent that a statement contained in any subsequently filed document, which also is deemed to be incorporated by reference herein, modifies or supersedes such statement.

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| | |
|:---|:---|
| **Item 8.** | **Exhibits** |

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| | |
|:---|:---|
| **Exhibit**<br> **Number** | **Description of Exhibit** |
| 4.1 | [Amended and Restated Certificate of Incorporation of the Registrant, incorporated by reference to Exhibit 3.1 of the Registrant's Current Report on Form 8-K filed on April 10, 2018.](http://www.sec.gov/Archives/edgar/data/1595248/000118518518000666/ex3-1.htm) |
| 4.2 | [Amended and Restated Bylaws of the Registrant, incorporated by reference to Exhibit 3.2 of the Registrant's Current Report on Form 8-K filed on April 10, 2018.](http://www.sec.gov/Archives/edgar/data/1595248/000118518518000666/ex3-2.htm) |
| 4.3 | [Form of Common Stock Certificate of the Registrant, incorporated by reference to Exhibit 4.1 of the Registrant's Registration Statement on Form S-1 (File No. 333-219386), as amended, originally filed on July 21, 2017.](http://www.sec.gov/Archives/edgar/data/1595248/000119312517286120/d415543dex41.htm) |
| 5.1\* | [Opinion of Lowenstein Sandler LLP](ex_475942.htm) |
| 23.1\* | [Consent of Daszkal Bolton LLP](ex_475943.htm) |
| 23.2\* | [Consent of Lowenstein Sandler LLP (filed as part of Exhibit 5.1)](ex_475942.htm) |
| 24.1\* | Power of Attorney (included on the signature page to this registration statement on Form S-8) |
| 99.1 | [Genprex, Inc. 2018 Equity Incentive Plan, including Form of Notice of Stock Option Grant, Form of Option Agreement and Form of Notice of Exercise thereunder, incorporated by reference to Exhibit 10.3 of the Registrant's Annual Report on Form 10-K filed on April 17, 2018.](http://www.sec.gov/Archives/edgar/data/1595248/000156459018008342/gnpx-ex103_159.htm) |
| 107 | [Filing Fee Table](ex_475944.htm) |

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\* Filed herewith.

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**SIGNATURES**

Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Austin, State of Texas, on this 17th day of February 2023.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; GENPREX, INC.<br>By: <u>/s/ J. Rodney Varner</u> <br> &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;J. Rodney Varner<br> *Chief Executive Officer*<br>

 

**POWER OF ATTORNEY**

KNOW ALL PERSONS BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints J. Rodney Varner and Ryan Confer, and each of them, as his true and lawful attorney-in-fact and agent with the full power of substitution, for him or her in any and all capacities, to sign any and all amendments to this Registration Statement, including any and all pre-effective and post-effective amendments and to file such amendments thereto, with exhibits thereto and other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, and each of them full power and authority to do and perform each and every act and thing requisite and necessary to be done in connection therewith, as fully for all intents and purposes as he or she might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, or his or her substitutes, may lawfully do or cause to be done by virtue hereof.

Pursuant to the requirements of the Securities Act of 1933, as amended, this registration statement has been signed by the following persons on behalf of the registrant in the capacities and on the dates indicated.

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| | | |
|:---|:---|:---|
| <u>Signature</u> | <u>Title</u> | <u>Date</u> |
| <br> <u>/s/ J. Rodney Varner</u><br> J. Rodney Varner | <br> Chief Executive Officer and Director<br> *(Principal Executive Officer)* | <br> February 17, 2023 |
| <u>/s/ Ryan M. Confer</u><br> Ryan M. Confer | Chief Financial Officer<br> *(Principal Financial and Accounting Officer)* | February 17, 2023 |
| <u>/s/ Brent M. Longnecker</u><br> Brent M. Longnecker | Member of the Board of Directors | February 17, 2023 |
| <u>/s/ Jose Antonio Moreno Toscano</u><br> Jose Antonio Moreno Toscano | Member of the Board of Directors | February 17, 2023 |
| <u>/s/ Will R. Wilson, Jr.</u><br> Will R. Wilson, Jr. | Member of the Board of Directors | February 17, 2023 |

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## Exhibit 5.1

**Exhibit 5.1**

February 17, 2023

Genprex, Inc.

3300 Bee Cave Road #650-227

Austin, Texas 78746

**Re: Registration Statement on Form S-8**

Ladies and Gentlemen:

We have acted as counsel for Genprex, Inc., a Delaware corporation (the "Company"), in connection with the Company's Registration Statement on Form S-8 (the "Registration Statement") under the Securities Act of 1933, as amended (the "Securities Act"). The Registration Statement relates to the registration of 2,405,298 shares (the "Shares") of the Company's common stock, par value $0.001 per share (the "Common Stock"), issuable pursuant to awards under the Genprex, Inc. 2018 Equity Incentive Plan (the "Plan").

In connection with rendering this opinion, we have examined: (i) the Plan; (ii) the Amended and Restated Certificate of Incorporation of the Company (the "Amended and Restated Certificate"); (iii) the Amended and Restated Bylaws of the Company; and (iv) such corporate records, agreements, documents and other instruments, and such certificates or comparable documents of public officials and of officers and representatives of the Company, and have made such inquiries of such officers and representatives, as we have deemed relevant and necessary as a basis for the opinion hereinafter set forth.

In such examination, we have assumed the genuineness of all signatures, the legal capacity of all natural persons, the authenticity of all documents submitted to us as originals, the conformity of original documents of all documents submitted to us as certified, conformed or photostatic copies and the authenticity of the originals of such latter documents. As to all questions of fact material to these opinions that have not been independently established, we have relied upon certificates or comparable documents of officers and representatives of the Company.

Based on the foregoing, and subject to the qualifications stated herein, we are of the opinion that the Shares being registered pursuant to the Registration Statement, when issued and delivered upon the grant or exercise of awards in accordance with the terms of the Plan, will be validly issued, fully paid and non-assessable.

The opinion expressed herein is limited to the corporate laws of the State of Delaware, and we express no opinion as to the effect on the matters covered by this letter of the laws of any other jurisdiction.

We hereby consent to the filing of a copy of this opinion letter as an exhibit to the Registration Statement. In giving such consent, we do not thereby admit that we are in the category of persons whose consent is required under Section 7 of the Act.

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| | |
|:---|:---|
| Very truly yours, | Very truly yours, |
| By: | */s/ Lowenstein Sandler LLP* |
|  | Lowenstein Sandler LLP |

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## Exhibit 23.1

**Exhibit 23.1**

**CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM**

Genprex, Inc.

Austin, Texas

We hereby consent to the incorporation by reference in this Registration Statement on Form S-8 of our report dated March 30, 2022, relating to our audit of the financial statements of Genprex, Inc. at and for the years ended December 31, 2021 and 2020, which appear in the Company's Annual Report on Form 10-K filed with the Securities and Exchange Commission on March 30, 2022.

/s/ Daszkal Bolton LLP

Boca Raton, Florida

February 17, 2023

## Ex-Filing

**Exhibit 107**

**CALCULATION OF FILING FEE TABLE**

**Form S-8** 

(Form Type)

**Genprex, Inc.**

(Exact Name of Registrant as Specified in its Charter)

**Table 1: Newly Registered Securities**

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| | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|
| **Security Type** | **Fee Calculation Rule** | **Amount to be**<br> **Registered<sup>(1)</sup>** | **Proposed**<br> **Maximum**<br> **Offering Price**<br> **Per Share<sup>(2)</sup>** | **Proposed**<br> **Aggregate Offering**<br> **Price<sup>(2)</sup>** | **Fee Rate** | **Amount of**<br> **Registration Fee<sup>(2)</sup>** |
| Equity<br> Common stock, $0.001 par value per share<sup>(3)</sup> | Rule 457(c) and Rule 457(h) | 2405298 | $1.5600 | $3752264.88 | 0.00011020 | $413.50 |
|  | **Total Offering Amounts** | **Total Offering Amounts** | **Total Offering Amounts** | $3752264.88 |  | $413.50 |
|  | **Total Fee Offsets<sup>(4)</sup>** | **Total Fee Offsets<sup>(4)</sup>** | **Total Fee Offsets<sup>(4)</sup>** |  |  |  |
|  | **Net Fee Due** | **Net Fee Due** | **Net Fee Due** |  |  | $413.50 |

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(1) Pursuant to Rule 416(a) under the Securities Act of 1933, as amended (the "Securities Act"), this Registration Statement shall also cover any additional shares of the Registrant's Common Stock that become issuable under the Registrant's 2018 Equity Incentive Plan (the "Plan") in respect of the securities identified in the above table by reason of any stock dividend, stock split, recapitalization, or other similar transaction effected without the Registrant's receipt of consideration that increases the number of the outstanding shares of the Registrant's Common Stock.

(2) Pursuant to Rules 457(c) and (h) under the Securities Act, the proposed maximum offering price per share and the proposed maximum aggregate offering price are estimated for the purpose of calculating the amount of the registration fee and are based on the average of the high and low sales price of the Registrant's common stock as reported on the NASDAQ Stock Market on February 13, 2023.

(3) Represents an automatic annual increase on January 1, 2023 to the number of shares of the Registrant's Common Stock reserved for issuance under the Plan, which annual increase is provided for in the Plan.

(4) The Registrant does not have any fee offsets.