$heff's $tation of $tocks & $olid DD

[LloydDC]

TPIV- Could get interesting. Great runs here in the past; has been quiet with low volume in the stock for a while now but positive and interesting developments continue to occur. Business update and conference call next Wednesday 5/31 4:30 EST. Mkt cap at $29M, Cash at only $6M but appear to only be burning $2M qtr. Should have 1-3 data read outs before needing to raise cash: full phase 1 data read out soon, phase 2 interim data TNBC trial NCT02593227 October/ November and interim data on MSKCC, AstraZeneca, Tapimmune, Ovarian w/ TPIV200 & Durvalumab NCT02764333. Currently stand with about $17M in grants to Mayo from DOD for phase 2 trials for each of their vaccines; most recent announced on 3/14/17 for ductal carcinoma in situ. Phase 1 data believed to be published soon from recent interview with CEO.

http://www.onemednews.com/2017/03/28/tapimmune/

John Bonfiglio resigned 4/28/17 after working to get the company up listed to Nasdaq which occurred with a R/S on 11/14/16, the following Monday 5/1/17 Richard Kenney, MD, FACP, was hired in a consultant role as Medical Director for the company’s clinical trial pathways . Richard Kenney left IMDZ ($200M mkt cap immunotherapy co.) on 12/16/2016 and has impressive background. Would be surprising to me he left IMDZ for TPIV if the science wasn’t there. Tapimmune CEO Glynn Wilson has been very consistent in following through on what he says. Investor deck link below.

www.tapimmune.com/wp-content/uploads/2017/05/TapImmune-Investor-Deck-4.28.17gwed-FINAL-1.pdf

Ownership: Pages 65 & 66 for full info about 8.5M shares outstanding

https://www.sec.gov/Archives/edgar/data/1094038/000114420417014490/v460466_10k.htm

Directors and Officers:
Dr. Glynn Wilson, Chairman and Chief Executive Officer (2) 225,955 2.6 %
Mark Reddish, Director (3) 31,764
Sherry Grisewood, Director (4) 14,861
Dr. John Bonfiglio, Director (5) 92,026
David Laskow-Pooley, Director (6) 12,500
Frederick Wasserman, Director (7) 6,771
Joshua Silverman, Director (8) 1,563
Michael J. Loiacono, Chief Financial Officer (9) 15,568
All executive officers and directors as a group (8 persons) 401,008 4.7 %

5% Stockholders:
Eastern Capital Limited (10)
4,000,000 39.8 %
Iroquois Capital Management L.L.C. (11)
878,860 9.9 %
Brio Capital Master Fund (12)
1,155,515 12.6 %
Empery Asset Management LP (13)
939,999 10.9 %
Kimberly Page (14)
1,425,427 15.4 %

Warrant Info:
Series Outstanding Warrants Exercise Price Expiration
A 214,433 $ 1.20 01/13/2020
C 424,433 $ 6.00 01/13/2020
D 610,000 $ 9.00 07/16/2020 and 08/13/2020 and 08/19/2020 and 09/09/2020
E 616,100 $ 15.00 10/01/2020 and 11/12/2020 and 11/30/2020 and 12/09/2020
A-1 418,750 $ 1.20 03/09/2020
C-1 2,083 $ 6.00 01/13/2020
D-1 416,667 $ 9.00 08/19/2020 and 09/09/2020
E-1 418,750 $ 15.00 06/16/2020
F 583,333 $ 7.20 08/11/2021
F-1 416,667 $ 7.20 08/11/2021
PIPE Warrant 653,187 $ 6.00 08/11/2021
Broker Warrant 65,327 $ 4.80 08/11/2021

Trials:
Phase 1
NCT01606241 Primary completion date 6/2017
https://clinicaltrials.gov/ct2/results?term=nct01606241&Search=Search
NCT01632332 Possible read soon as well
https://clinicaltrials.gov/ct2/results?term=NCT01632332&Search=Search
NCT02111941 Primary completion date 4/2017
https://clinicaltrials.gov/ct2/results?term=NCT02111941&Search=Search
NCT00640861 Is testing HER-2/nu peptide vaccine from Mayo, Primary completion date 5/2017
https://clinicaltrials.gov/ct2/results?term=NCT00640861&Search=Search

Phase 2 Studies: TPIV 200
NCT02593227- Tapimmune, Triple Negative BC, 80 patients, primary completion date Oct 2017 ,passed safety review
https://clinicaltrials.gov/ct2/results?term=NCT02593227&Search=Search
NCT02764333- MSKCC, Astrazezeca, TPIV, Ovarian w/ TPIV200 & Durvalumab, interim readout Q4, 40 patients, 50% enrolled
https://clinicaltrials.gov/ct2/results?term=NCT02764333&Search=Search
NCT02978222- Tapimmune, ovarian, 80 patients recently increased to 120 patients
https://clinicaltrials.gov/ct2/results?term=NCT02978222&Search=Search
NCT03012100- Triple Negative BC 280 patient trial, Mayo, DOD, Academic and Community Cancer Research United, starting now
https://clinicaltrials.gov/ct2/results?term=NCT03012100&Search=Search

TPIV 100/110
New Phase 2 trial in DCIS funded by $3.7M grant from DOD to Mayo 40-45 patients to start 2017 and Tapimmune to start 2nd 1b/2a study in breast cancer in 2017.