Amended Statement of Ownership (sc 13g/a)
February 19 2021 - 1:09PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
SCHEDULE
13G/A
Under
the Securities Exchange Act of 1934
(Amendment
No. 2)*
Genprex,
Inc.
|
(Name
of Issuer)
|
Common
Stock, $0.001 par value
|
(Title
of Class of Securities)
|
372446104
|
(CUSIP
Number)
|
|
February 12, 2021
|
(Date
of Event Which Requires Filing of this Statement)
|
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
|
☐
|
Rule
13d-1(b)
|
|
☒
|
Rule
13d-1(c)
|
|
☐
|
Rule
13d-1(d)
|
*
The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to
the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided
in a prior cover page.
The
information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section
18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the Notes).
1
|
NAME
OF REPORTING PERSONS
Altium Capital Management, LP
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY) EIN: 82-2066653
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
☐
(b)
☒
|
3
|
SEC
USE ONLY
|
|
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware,
United States of America
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
|
5
|
SOLE
VOTING
0
|
|
6
|
SHARED
VOTING POWER
2,400,000 shares of Common Stock
|
|
7
|
SOLE
DISPOSITIVE POWER
0
|
|
8
|
SHARED
DISPOSITIVE POWER
2,400,000 shares of Common Stock
|
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,400,000 shares of Common Stock
|
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
|
☐
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.1%
|
|
12
|
TYPE
OF REPORTING PERSON
IA,
PN
|
|
|
|
|
|
|
|
(1)
|
Based on 47,276,764 shares of Common Stock outstanding as of February 8, 2021 as set forth in the Issuer’s Prospectus Supplement 424(b)(5) filed with the Securities and Exchange Commission on February 10, 2021.
|
1
|
NAME
OF REPORTING PERSONS
Altium Growth Fund, LP
I.R.S.
IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY) EIN: 82-2105101
|
|
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
☐
(b)
☒
|
3
|
SEC
USE ONLY
|
|
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware,
United States of America
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
|
5
|
SOLE
VOTING
0
|
|
6
|
SHARED
VOTING POWER
2,400,000 shares of Common Stock
|
|
7
|
SOLE
DISPOSITIVE POWER
0
|
|
8
|
SHARED
DISPOSITIVE POWER
2,400,000
Shares of Common Stock
|
|
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,400,000
Shares of Common Stock
|
|
10
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
|
☐
|
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.1%
|
|
12
|
TYPE
OF REPORTING PERSON
PN
|
|
|
|
|
|
|
|
(1)
|
Based on 47,276,764 shares of Common Stock outstanding as of February 8, 2021 as set forth in the Issuer’s Prospectus Supplement 424(b)(5) filed with the Securities and Exchange Commission on February 10, 2021.
|
1
|
NAME OF REPORTING PERSONS
Altium Growth GP, LLC
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
(ENTITIES ONLY) EIN: 82-2086430
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) ☐
(b) ☒
|
3
|
SEC USE ONLY
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware, United States of America
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH:
|
5
|
SOLE VOTING
0
|
|
6
|
SHARED VOTING POWER
2,400,000 Shares of Common Stock
|
|
7
|
SOLE DISPOSITIVE POWER
0
|
|
8
|
SHARED DISPOSITIVE POWER
2,400,000 Shares of Common Stock
|
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
2,400,000 Shares of Common Stock
|
|
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
|
☐
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.1%
|
|
12
|
TYPE OF REPORTING PERSON
OO
|
|
|
|
|
|
|
|
(1)
|
Based on 47,276,764 shares of Common Stock outstanding as of February 8, 2021 as set forth in the Issuer’s Prospectus Supplement 424(b)(5) filed with the Securities and Exchange Commission on February 10, 2021.
|
Item
1(a).
|
|
Name
of Issuer: Genprex
, Inc. (the “Issuer”)
|
|
|
|
Item
1(b).
|
|
Address
of Issuer’s Principal Executive Offices: 1601 Trinity Street, #3.312.09
Austin,
TX 78712
|
|
|
|
Item
2(a).
|
|
Name
of Person Filing:
This statement is jointly filed by and on behalf of each of Altium
Growth Fund, LP (the “Fund”), Altium Capital Management, LLC, and Altium Growth GP, LLC. The Fund is the record and
direct beneficial owner of the securities covered by this statement. Altium Capital Management, LP is the investment adviser of,
and may be deemed to beneficially own securities, owned by, the Fund. Altium Growth GP, LLC is the general partner of, and may
be deemed to beneficially own securities owned by, the Fund.
Each reporting person declares that neither the filing of this statement
nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act
or any other purpose, the beneficial owner of any securities covered by this statement.
Each of the reporting persons may be deemed to be a member of a
group with respect to the Issuer or securities of the Issuer for the purposes of Section 13(d) or 13(g) of the Act. Each of the
reporting persons declares that neither the filing of this statement nor anything herein shall be construed as an admission that
such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, (i) acting (or has agreed or is agreeing
to act together with any other person) as a partnership, limited partnership, syndicate, or other group for the purpose of acquiring,
holding, or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii)
a member of any group with respect to the Issuer or any securities of the Issuer.
|
|
|
|
Item
2(b).
|
|
Address
of Principal Business Office or, if None, Residence:
|
|
|
The
address of the principal business office of each of the reporting persons is
152 West 57th Street, FL 20, New York, NY 10019
|
|
|
|
Item
2(c).
|
|
Citizenship:
|
|
|
See
Item 4 on the cover page(s) hereto.
|
|
|
|
Item
2(d).
|
|
Title
of Class of Securities:
|
|
|
Common
Stock, $0.001 par value (“Common Stock”)
|
|
|
|
Item
2(e).
|
|
CUSIP
Number: 372446104
|
Item
3.
|
If
This Statement is Filed Pursuant to §§240.13d-1(b), or 240.13d-2(b) or (c), Check Whether the Person Filing is a:
|
|
|
|
(a)
|
☐
|
Broker
or dealer registered under Section 15 of the Act (15 U.S.C. 78o).
|
|
|
|
|
|
(b)
|
☐
|
Bank
as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c).
|
|
|
|
|
CUSIP
No.
|
372446104
|
|
|
|
|
|
|
|
|
(c)
|
☐
|
Insurance
company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c).
|
|
|
|
|
|
(d)
|
☐
|
Investment
company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
|
|
|
|
|
|
(e)
|
☐
|
An
investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
|
|
|
|
|
|
|
|
|
(f)
|
☐
|
An
employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
|
|
|
|
|
|
(g)
|
☐
|
A parent holding
company or control person in accordance with §240.13d-1(b)(ii)(G);
|
|
|
|
|
|
(h)
|
☐
|
A savings association
as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
(i)
|
☐
|
A church plan that
is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3);
|
|
|
|
|
|
(j)
|
☐
|
Group, in accordance
with §240.13d-1(b)(1)(ii)(J).
|
|
|
|
|
Item 4.
|
Ownership.
|
|
Provide the following information regarding the aggregate number
and percentage of the class of securities of the issuer identified in Item 1.
The information as of the date of the event which requires filing
of this statement required by Items 4(a) – (c) is set forth in Rows 5 – 11 of the cover page for each Reporting Person
listed above and is incorporated by reference for each such Reporting Person. The percentage set forth in Row 11 of the cover page
for each Reporting Person is based on 47,276,764 shares of Common Stock outstanding as of February 8, 2021 as set forth in the
Issuer’s Prospectus Supplement 424(b)(5) filed with the Securities and Exchange Commission on February 10, 2021.
|
Item
5.
|
Ownership
of Five Percent or Less of a Class.
|
|
|
|
If
this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial
owner of more than five percent of the class of securities, check the following ☐
|
|
|
Item 6.
|
Ownership of
More than Five Percent on Behalf of Another Person.
|
|
Not applicable
|
|
|
Item 7.
|
Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control
Person.
|
|
Not applicable
|
|
|
Item 8.
|
Identification
and Classification of Members of the Group.
|
|
Not applicable
|
|
|
Item 9.
|
Notice of Dissolution
of Group.
|
|
Not applicable
|
|
|
Item 10.
|
Certification.
|
By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are
not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were
not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than
activities solely in connection with a nomination under § 240.14a-11.
After
reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
|
|
|
|
|
Altium Capital Management, LP
|
|
|
|
|
|
|
By:
|
/s/ Jacob
Gottlieb
|
|
|
Name:
|
Jacob Gottlieb
|
|
|
Title:
|
CEO
|
|
|
|
|
|
|
Altium Growth Fund, LP
|
|
|
|
|
|
|
By: Altium Growth GP, LLC
|
|
|
Its: General Partner
|
|
|
|
|
|
|
Signature:
|
/s/
Jacob Gottlieb
|
|
|
Name:
|
Jacob Gottlieb
|
|
|
Title:
|
Managing Member of Altium Growth GP, LLC
|
|
|
|
|
|
|
Altium
Growth GP, LLC
|
|
|
|
|
|
By:
|
/s/ Jacob
Gottlieb
|
|
|
Name:
|
Jacob Gottlieb
|
|
|
Title:
|
Managing Member
|
|
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