Immunome Inc. 10-K

Item 5. Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities Market Information Our common stock has been publicly traded on the Nasdaq Global Market under the symbol “IMNM” since October 2, 2020. Holders As of March 22, 2022, the Company had approximately 68 record holders of its common stock. A substantially greater number of holders are beneficial owners whose shares are held of record by banks, brokers and other nominees. Dividends The Company has not declared or paid any dividends since its inception, nor does it expect to pay dividends in the foreseeable future. 73 Table of Contents Securities Authorized for Issuance Under Equity Compensation Plans The information under the heading “Securities Authorized for Issuance Under Equity Compensation Plans” will be filed in the Company’s definitive proxy statement for the 2022 annual meeting of stockholders and is incorporated herein by reference. Recent Sales of Unregistered Securities Set forth below is information regarding securities issued by us in 2021 that were not registered under the Securities Act. Also included is the consideration received by us for such securities and information relating to the section of the Securities Act, or rule of the Securities and Exchange Commission, under which exemption from registration was claimed. On April 26, 2021, we issued (a) an aggregate of 1,000,000 shares of our common stock and (b) warrants to purchase an aggregate of 500,000 shares of our common stock, at a combined purchase price of $27.00 per unit (the “Offering”). Each unit consists of one share of common stock and a warrant to purchase one half of a share of common stock. The warrants have an exercise price of $45.00 per share (subject to adjustment) and are exercisable for a period of three years following the closing of the Offering. The total gross proceeds of the Offering were $27.0 million. In connection with the Offering, pursuant to an Engagement Letter, dated April 9, 2021, between us and Ladenburg Thalmann & Co. Inc. (“Ladenburg”), we paid Ladenburg $0.4 million. The securities under the Purchase Agreement were offered and sold and will be offered and sold in reliance on an exemption from the registration requirements of the Securities Act of 1933, as amended (the “Securities Act”), pursuant to Section 4(2) of the Securities Act and/or Regulation D promulgated thereunder, and in reliance on similar exemptions under applicable state law. Issuer Purchases of Equity Securities None. Item 6. Selected Financial Data Not required. ​ 74 Table of Contents