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