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): January 29, 2021

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:

 Securities registered pursuant to Section 12(b) of the Securities Act:

 

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).         Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On January 29, 2021, the board of directors of TRACON Pharmaceuticals, Inc. (the “Company”) appointed Scott B. Brown, CPA, M.S. as Chief Financial Officer of the Company. Mr. Brown was also appointed as the Company’s principal financial officer, replacing Charles P. Theuer, M.D., Ph.D. in that role.

Mr. Brown, age 40, has served as the Company’s Chief Accounting Officer and Head of Finance since September 2019. Mr. Brown previously served as the Company’s Vice President, Finance from January 2019 to September 2019, the Company’s Sr. Director, Finance and Controller from January 2017 to January 2019 and the Company’s Director, Finance and Controller from August 2015 to January 2017. Mr. Brown joined the Company from Ardea Biosciences, Inc. (acquired by AstraZeneca plc), where he served as Associate Director, Finance from 2013 to 2015 and led finance and accounting for Ardea as a subsidiary of AstraZeneca. Prior to that, from 2011 to 2013, Mr. Brown was Finance Manager at SciClone Pharmaceuticals, Inc., and Finance Manager at Exelixis, Inc. from 2009 to 2011. Prior to joining Exelixis, Mr. Brown held accounting positions of increasing responsibility at AcelRx, Inc., Spinal Elements, Inc., Stewart Title, and as an audit associate for KPMG, LLP. Mr. Brown received a B.S. from the University of California, Santa Barbara, a M.S. in Accountancy from San Diego State University, and is a Certified Public Accountant licensed in the state of California.

 

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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.