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