GNPX 2018 Proxy Statement

22 Except as otherwise noted below, the address for each person or entity listed in the table is c/o Genprex, Inc., Dell Medical School, Health Discovery Building, 1701 Trinity Street, Suite 3.322, Austin, Texas 78712. Shares Beneficially Owned Beneficial Owner Number Percentage 5% or Greater Stockholders Christy Mallinson Nance(1) 3,167,694 20.8% Jack A. Roth, MD, FACS(2) 2,393,853 15.9% Viet-An Hoan Ly and affiliated entities(3) 2,294,760 14.2% Texas Treasury Safekeeping Trust Company(4) 1,235,219 8.2% Sabby Volatility Master Fund, Ltd.(5) 755,070 4.99% Hudson Bay Master Fund, Ltd.(6) 1,542,140 9.99% Directors and Named Executive Officers J. Rodney Varner(7) 2,794,459 17.8% Julien Pham(8) 78,008 * Ryan Confer(9) 566,008 3.6% David E. Friedman(10) 307,111 2.0% Robert W. Pearson(11) 307,111 2.0% All current executive officers and directors as a group (5 persons)(7)(8)(9)(10)(11) 4,052,736 24.0% * 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 August 1, 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. and 5,000 shares of common stock that Dr. Roth has the right to acquire from us within 60 days of August 1, 2018, pursuant to a consulting agreement between Dr. Roth and us. 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 Inception Fund, LP has the right to acquire from us within 60 days of August 1, 2018 pursuant to the exercise of a warrant, (g) 497,130 shares of common stock that Tangletrade Fund LP has the right to acquire from us within 60 days of August 1, 2018 pursuant to the exercise of a warrant, (h) 25,000 shares of common stock that Inception Incubator Limited has the right to acquire from us within 60 days of August 1, 2018, and (h) 56,815 shares of common stock that Mr. Ly has the right to acquire from us within 60 days of August 1, 2018 pursuant to the exercise of stock options. Viet- An Hoan Ly holds voting and dispositive power over the shares held by Inception Fund LP, 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) Beneficial ownership includes shares of common stock and shares of common stock issuable upon exercise of a warrant that are subject to a 4.99% ownership blocker, pursuant to which shares of our common stock may not be issued to the extent such issuance would cause Sabby Volatility Warrant Master Fund, Ltd. to beneficially