0001354488-15-004200.txt : 20150903 0001354488-15-004200.hdr.sgml : 20150903 20150903163022 ACCESSION NUMBER: 0001354488-15-004200 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150828 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20150903 DATE AS OF CHANGE: 20150903 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: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 151092332 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 8-K 1 opxa_8k.htm CURRENT REPORT opxa_8k.htm

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
FORM 8-K

 
CURRENT REPORT
 
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
 
Date of Report (date of earliest event reported):  August 28, 2015
 
OPEXA THERAPEUTICS, INC.
(Exact name of registrant as specified in its charter)
 
Texas
  
001-33004
  
76-0333165
(State or other jurisdiction of
incorporation)
  
(Commission File Number)
  
(IRS Employer Identification No.)
 
2635 Technology Forest Blvd., The Woodlands, Texas
  
77381
(Address of principal executive offices)
  
(Zip Code)
 
Registrant’s telephone number, including area code:  (281) 272-9331
N/A
(Former name or former address, if changed since last report)
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
o
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
o
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
o
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 
 
 
 
 

Item 5.07
Submission of Matters to a Vote of Security Holders

The Annual Meeting of Shareholders for Opexa Therapeutics, Inc. (“Opexa”) was held on August 28, 2015 (the “Annual Meeting”).  Four proposals were submitted to shareholders as described in the 2015 Proxy Statement and were approved by shareholders at the Annual Meeting.  The proposals and the results of the shareholder votes are as follows.

  1.    
Broker
 
For
Withheld
Non-Votes
Proposal to elect six directors
      
for one-year terms:
      
       
Timothy C. Barabe
12,503,559
957,541
25,588,136
Hans-Peter Hartung
10,401,629
3,059,471
25,588,136
Gail J. Maderis
12,324,939
1,136,161
25,588,136
Michael S. Richman
12,496,172
964,928
25,588,136
Scott B. Seaman
12,322,816
1,138,284
25,588,136
Neil K. Warma
12,258,953
1,202,147
25,588,136

2.
        
Broker
 
  
For
Against
Abstain
Non-Votes
Proposal to approve
        
an amendment to the Restated
        
Certificate of Formation to increase
        
the number of authorized shares
        
of common stock to 150 million
30,436,939
8,216,038
396,259
0
                           
3.
      
Broker
 
For
Against
  Abstain
Non-Votes
Proposal to approve
        
an amendment to the Restated
        
Certificate of Formation to effect
        
a reverse stock split of the
        
common stock, as determined
        
by the Board of Directors in its
        
discretion, of a ratio of not less
        
than 1-for-4 and not more than
        
1-for-8
34,060,036
4,624,809
364,391
0
                            
4.
        
Broker
 
  
For
Against
 Abstain
Non-Votes
Proposal to ratify the
        
appointment of MaloneBailey, LLP
        
as independent auditors for the fiscal
        
year ending December 31, 2015
37,409,987
1,025,212
614,037
0
  
 
2
 
 
SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
 
   OPEXA THERAPEUTICS, INC.  
       
Dated: September 3, 2015
By:
/s/ Karthik Radhakrishnan  
   
Karthik Radhakrishnan
  
    Chief Financial Officer  
       


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