0001140361-13-046710.txt : 20131218
0001140361-13-046710.hdr.sgml : 20131218
20131218155837
ACCESSION NUMBER: 0001140361-13-046710
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131218
FILED AS OF DATE: 20131218
DATE AS OF CHANGE: 20131218
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Opexa Therapeutics, Inc.
CENTRAL INDEX KEY: 0001069308
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 760333165
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2635 TECHNOLOGY FOREST BLVD.
CITY: THE WOODLANDS
STATE: TX
ZIP: 77381
BUSINESS PHONE: (281) 272-9331
MAIL ADDRESS:
STREET 1: 2635 TECHNOLOGY FOREST BLVD.
CITY: THE WOODLANDS
STATE: TX
ZIP: 77381
FORMER COMPANY:
FORMER CONFORMED NAME: PharmaFrontiers Corp.
DATE OF NAME CHANGE: 20051011
FORMER COMPANY:
FORMER CONFORMED NAME: PHARMAFRONTIERS CORP
DATE OF NAME CHANGE: 20040816
FORMER COMPANY:
FORMER CONFORMED NAME: SPORTAN UNITED INDUSTRIES INC
DATE OF NAME CHANGE: 19990305
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Seaman Scott B
CENTRAL INDEX KEY: 0001359850
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33004
FILM NUMBER: 131285184
BUSINESS ADDRESS:
BUSINESS PHONE: (713) 652-6600
MAIL ADDRESS:
STREET 1: 1100 LOUISIANA, SUITE 5250
CITY: HOUSTON
STATE: TX
ZIP: 77002
4
1
doc1.xml
FORM 4
X0306
4
2013-12-18
0
0001069308
Opexa Therapeutics, Inc.
OPXA
0001359850
Seaman Scott B
C/O OPEXA THERAPEUTICS, INC.
2635 TECHNOLOGY FOREST BLVD.
THE WOODLANDS
TX
77381
1
0
0
0
Common Stock
2013-12-18
4
P
0
30000
1.70
A
40913
D
Common Stock
518708
I
See footnote.
Purchased in an underwritten public offering which is expected to close on December 23, 2013.
Held by Alkek & Williams Ventures, Ltd. ("Ventures"). Chaswil, Ltd. ("Chaswil") is the investment manager of Ventures and holds voting power and investment power with respect to the Issuer securities held by Ventures. Mr. Seaman is a registered principal of Chaswil and has shared voting power and/or investment power with respect to the Issuer securities held by Ventures. Mr. Seaman disclaims beneficial ownership of the shares held by Ventures except to the extent of any pecuniary interest therein.
/s/ John Ginzler by Power of Attorney
2013-12-18