GNPX 2017 Annual Report

94 Except as otherwise noted below, the address for each person or entity listed in the table is c/o Genprex, Inc., 100 Congress Ave., Suite 2000, Austin, Texas 78701. Name and Address of Beneficial Owner Number of Shares Beneficially Owned Percentage of Shares Beneficially Owned 5% or Greater Stockholders Christy Mallinson Nance(1) 3,167,694 24.0% Jack A. Roth, MD, FACS(2) 2,388,851 18.3% Viet-An Hoan Ly and affiliated entities(3) 1,772,630 13.0% Texas Treasury Safekeeping Trust Company(4) 1,235,219 9.5% Directors and Named Executive Officers J. Rodney Varner(5) 2,804,459 20.5% Julien Pham(6) 64,441 * Ryan Confer(7) 438,789 3.3% David E. Friedman(8) 307,111 2.3% Robert W. Pearson(9) 307,111 2.3% All current executive officers and directors as a group (5 persons)(5)(6)(7)(8)(9) 3,921,911 26.6% * Represents beneficial ownership of less than 1%. (1) Includes 2,956,298 shares of common stock held by Domecq Sebastian, LLC and 161,396 shares of common stock that Domecq Sebastian, LLC has the right to acquire from us within 60 days of April 6, 2018 pursuant to the exercise of stock options. Domecq Sebastian, LLC is affiliated with David Nance, a former director and officer who is now deceased. Christy Mallinson Nance holds voting and dispositive power of the securities held by Domecq Sebastian, LLC. The address of Domecq Sebastian, LLC is 8203 Scenic Ridge Cove, Austin, Texas 78735. (2) Includes 1,338,999 shares of common stock held by JREG Investments, Ltd. Dr. Roth holds voting and dispositive power over the shares held by JREG Investments, Ltd. The address of JREG Investments, Ltd. and of Dr. Roth is 6516 Brompton Road, Houston, Texas 77005. (3) Includes (a) 583,008 shares of common stock held by Inception Fund LP, (b) 475,974 shares of common stock held by Tangletrade Fund LP, (c) 102,000 shares of common stock held by Inception Incubator Limited, (d) 3,154 shares of common stock held by Blackbox Data LLC, (e) 9,023 shares of common stock held by New Path Mining LLC, (f) 542,656 shares of common stock that Viet-An Hoan Ly has the right to acquire from us within 60 days of April 6, 2018 pursuant to the exercise of a warrant and (g) 56,815 shares of common stock that Mr. Ly has the right to acquire from us within 60 days of April 6, 2018 pursuant to the exercise of stock options. Viet-An Hoan Ly holds voting and dispositive power over the shares held by Inception Fund, Tangletrade Fund LP, Inception Incubator Limited, Blackbox Data LLC and New Path Mining LLC. The address of each of these entities and of Mr. Ly is 5400 Carillon Point Road, Building 5000, Kirkland, Washington 98033. (4) Paul Ballard, the Chief Executive Officer of the Texas Treasury Safekeeping Trust Company, holds voting and dispositive power of the securities held by the Texas Treasury Safekeeping Trust Company. The address of the Texas Treasury Safekeeping Trust Company is 208 East 10 th Street, Austin, Texas 78701. (5) Includes (a) 1,614,152 shares of common stock held by Laura Lane Biosciences, LLC and (b) 645,572 shares of common stock that Mr. Varner has the right to acquire from us within 60 days of April 6, 2018 pursuant to the exercise of stock options. Mr. Varner holds voting power over the shares held by Laura Lane Biosciences, LLC. (6) Consists of 64,441 shares of common stock that Dr. Pham has the right to acquire from us within 60 days of April 6, 2018 pursuant to the exercise of stock options. (7) Consists of 73,526 shares of common stock and 365,263 shares of common stock that Mr. Confer has the right to acquire from us within 60 days of April 6, 2018 pursuant to the exercise of stock options. (8) Consists of 307,111 shares of common stock that Mr. Friedman has the right to acquire from us within 60 days of April 6, 2018 pursuant to the exercise of stock options. (9) Consists of 307,111 shares of common stock that Mr. Pearson has the right to acquire from us within 60 days of April 6, 2018 pursuant to the exercise of stock options.