0001157523-12-006420.txt : 20130125 0001157523-12-006420.hdr.sgml : 20130125 20121219160559 ACCESSION NUMBER: 0001157523-12-006420 CONFORMED SUBMISSION TYPE: CORRESP PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20121219 FILER: 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 FILING VALUES: FORM TYPE: CORRESP 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 CORRESP 1 filename1.htm a50513632.htm
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December 19, 2012
 
VIA EDGAR
 
U.S. Securities and Exchange Commission
Division of Corporation Finance
100 F Street, N.E.
Washington, D.C.  20549
 
Attention:
Jeffrey P. Riedler, Assistant Director
 
Division of Corporation Finance
 
 
Re:
Opexa Therapeutics, Inc.
   
Registration Statement on Form S-3
   
File No. 333-185003
 
Ladies and Gentlemen:
 
We refer to the letter of Jeffrey Riedler, Assistant Director, dated December 4, 2012 which sets forth a comment of the staff of the Securities and Exchange Commission (the “Staff”) regarding the registration statement on Form S-3 (the “Registration Statement”) of Opexa Therapeutics, Inc. (the “Company” or the “Registrant”) filed on November 16, 2012.  Please find our response to the Staff’s comment below.  For your convenience, we have copied the Staff’s comment immediately preceding our response thereto.
 
General
 
1.
Please be advised that it is premature to register for resale shares of your common stock underlying shares of Series A convertible preferred stock that are not currently outstanding.  We note that the Series A convertible preferred is issuable only upon the conversion of your outstanding 12% convertible promissory notes that were sold in the July 2012 private placement.  Accordingly, please amend your registration statement to remove from registration the resale of any shares of common stock that are issuable upon conversion of shares of your Series A convertible preferred stock that are not yet outstanding.
 
Response:
 
We have removed from registration the resale of any shares of common stock that are issuable upon conversion of shares of Series A convertible preferred stock that are not yet outstanding, as requested.
 
 
 

 
 
Securities and Exchange Commission
December 19, 2012
Page 2 of 2
 
We believe the foregoing provides a complete response to the Staff comment letter and we have concurrently submitted a request for acceleration of the effective date of the pending Registration Statement.  If you have any questions regarding this response, please do not hesitate to call the Company’s counsel, Patty DeGaetano at (858) 509-4033 or Mike Hird at (858) 509-4024, of Pillsbury Winthrop Shaw Pittman LLP.
 
 
Sincerely,
   
 
OPEXA THERAPEUTICS, INC.
   
 
/s/ Neil K. Warma
   
 
Neil K. Warma
 
President and Chief Executive Officer
 
 
cc:  Pillsbury Winthrop Shaw Pittman LLP
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