Attached files
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| EX-99.1 - EX-99.1 - Tracon Pharmaceuticals, Inc. | a15-25043_1ex99d1.htm |
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
Date of Report (Date of earliest event reported): December 14, 2015
TRACON Pharmaceuticals, Inc.
(Exact name of registrant as specified in its charter)
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Delaware |
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001-36818 |
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34-2037594 |
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(State or other jurisdiction |
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(Commission File Number) |
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(IRS Employer Identification No.) |
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of incorporation) |
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8910 University Center Lane, Suite 700 |
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92122 |
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(Address of principal executive offices) |
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(Zip Code) |
Registrant’s telephone number, including area code: (858) 550-0780
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:
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
(e) On December 14, 2015, the Compensation Committee of our Board of Directors approved an amendment to our 2015 Equity Incentive Plan, or 2015 EIP, to reserve an additional 500,000 shares of our common stock to be used exclusively for grants of awards to individuals who were not previously our employees or directors (or following a bona fide period of non-employment with us), as an inducement material to the individual’s entry into employment with us within the meaning of Rule 5635(c)(4) of the NASDAQ Listing Rules, or Rule 5635(c)(4). The 2015 EIP was amended by our Compensation Committee pursuant to delegated authority and without stockholder approval in accordance with Rule 5635(c)(4).
A complete copy of the 2015 EIP, as amended, and forms of award agreements thereunder, is filed herewith as Exhibit 99.1. The above summary of the amendment to the 2015 EIP does not purport to be complete and is qualified in its entirety by reference to such exhibit.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.
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Exhibit No. |
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Description |
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99.1 |
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2015 Equity Incentive Plan, as amended, and Forms of Stock Option Grant Notice, Stock Option Agreement, Notice of Exercise and Restricted Stock Unit Agreement thereunder. |
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.
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TRACON Pharmaceuticals, Inc. |
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By: |
/s/ Charles P. Theuer, M.D., Ph.D. |
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Date: December 16, 2015 |
Charles P. Theuer, M.D., Ph.D. |
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President and Chief Executive Officer |