0001354488-15-001663.txt : 20150409
0001354488-15-001663.hdr.sgml : 20150409
20150409172404
ACCESSION NUMBER: 0001354488-15-001663
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150408
FILED AS OF DATE: 20150409
DATE AS OF CHANGE: 20150409
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: 15762154
BUSINESS ADDRESS:
BUSINESS PHONE: (713) 652-6600
MAIL ADDRESS:
STREET 1: 1100 LOUISIANA, SUITE 5250
CITY: HOUSTON
STATE: TX
ZIP: 77002
4
1
issuerdirect_section16.xml
PRIMARY DOCUMENT
X0306
4
2015-04-08
0
0001069308
Opexa Therapeutics, Inc.
OPXA
0001359850
Seaman Scott B
C/O OPEXA THERAPEUTICS, INC.
2635 TECHNOLOGY FOREST BLVD.
THE WOODLANDS
TX
77381
1
Common Stock
2015-04-08
4
M
0
44087
A
85000
D
Common Stock
2015-04-08
4
M
0
518707
A
1037414
I
see footnote
Subscription Rights (Right to Buy)
0.55
2015-04-08
4
M
0
44087
0
D
2015-03-13
2015-04-08
see footnote
44087
0
D
Warrants (Right to Buy)
2015-04-08
4
M
0
44087
A
2015-04-08
2018-04-08
Common Stock
44087
44087
D
Subscription Rights (Right to Buy)
0.55
2015-04-08
4
M
0
518707
0
D
2015-03-13
2015-04-08
see footnote
518707
0
I
see footnote
Warrants (Right to Buy)
2015-04-08
4
M
0
518707
A
2015-04-08
2018-04-08
Common Stock
518707
518707
I
see footnote
The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Opexa Therapeutics, Inc. (the "Company") to all holders of the Company?s common stock and to holders of certain of the Company's outstanding warrants. The subscription rights entitled each recipient thereof to purchase units ("Units"), each Unit consisting of one share of the Company?s common stock and one warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $0.55.
Held by Alkek and 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.
Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of (i) $0.50 per share from the date of issuance through June 30, 2016 and (ii) $1.50 per share from July 1, 2016 through the expiration date of the warrants.
/s/ Neil Warma, attorney in fact
2015-04-09