0001354488-15-004802.txt : 20151103 0001354488-15-004802.hdr.sgml : 20151103 20151103171531 ACCESSION NUMBER: 0001354488-15-004802 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151026 FILED AS OF DATE: 20151103 DATE AS OF CHANGE: 20151103 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: Healey Don CENTRAL INDEX KEY: 0001643067 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 151194590 MAIL ADDRESS: STREET 1: 2635 TECHNOLOGY FOREST BOULEVARD CITY: THE WOODLANDS STATE: TX ZIP: 77381 3 1 primary_doc.xml PRIMARY DOCUMENT X0206 3 2015-10-26 0 0001069308 Opexa Therapeutics, Inc. OPXA 0001643067 Healey Don C/O OPEXA THERAPEUTICS, INC. 2635 TECHNOLOGY FOREST BLVD. THE WOODLANDS TX 77381 0 1 0 0 Chief Scientific Officer Common Stock 4045 D Employee Stock Option (right to buy) 72.04 2020-04-30 Common Stock 937 D Employee Stock Option (right to buy) 49.95 2021-01-04 Common Stock 937 D Employee Stock Option (right to buy) 30.4 2022-01-06 Common Stock 1308 D Employee Stock Option (right to buy) 30.4 2022-01-06 Common Stock 2617 D Employee Stock Option (right to buy) 30.4 2022-01-06 Common Stock 1199 D Employee Stock Option (right to buy) 14 2023-04-29 Common Stock 2500 D Employee Stock Option (right to buy) 14.56 2024-02-28 Common Stock 8078 D Employee Stock Option (right to buy) 6.56 2025-03-02 Common Stock 7500 D The option vests quarterly on the anniversary of the date of grant over a period of three years. The performance-based options began vesting quarterly over a three year-period upon achievement of certain key milestone events. On September 12, 2012, the first tranche of one-third of the performance option shares commenced three-year quarterly vesting upon achievement of the first key milestone, which was Opexa Therapeutics, Inc. (the "Company") initiating a clinical trial for its product candidate Tcelna in Secondary Progressive Multiple Sclerosis. On February 5, 2013, the second tranche of two-thirds of the performance option shares commenced three-year quarterly vesting upon achievement of the second key milestone, which was the Company entering into a collaboration, partnership or other strategic arrangement involving rights in the United States for Tcelna. 25% of the shares vest on the one-year anniversary of the grant date, and the remaining 75% vest quarterly over the remaining three years. Exhibit List: Exhibit 24 - Power of Attorney /s/ Don Healey 2015-11-03 EX-24 2 ex24.htm POWER OF ATTORNEY ex24.htm
Exhibit 24
 
POWER OF ATTORNEY

For Executing Section 16 Forms, Form 144 and Schedule 13D or 13G

Know all by these presents, that the undersigned hereby constitutes and appoints Neil K. Warma and Karthik Radhakrishnan, or either of them signing individually, the undersigned’s true and lawful attorney-in-fact to:

 
(1)
prepare, execute in the undersigned’s name and on the undersigned’s behalf, and submit to the Securities and Exchange Commission (the “SEC”) a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Section 16(a) of the Securities and Exchange Act of 1934 or any rule or regulation of the SEC; and

 
(2)
execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer and/or director of Opexa Therapeutics, Inc. (the “Company”) (a) Forms 3, 4 and 5 (including amendments thereto) in accordance with Section 16(a) of the Securities Exchange Act of 1934 and the rules thereunder, (b) Form 144, and (c) Schedule 13D or Schedule 13G; and

 
(3)
do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to complete and execute any such Forms 3, 4 and 5, Form 144, and Schedule 13D or Schedule 13G (including amendments thereto) and timely file such Forms or schedules with the SEC and any stock exchange, self-regulatory association or any other authority; and

 
(4)
take any other action of any type whatsoever in connection with the foregoing that, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required of the undersigned, it being understood that the documents executed by the attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as the attorney-in-fact may approve in the attorney-in-fact’s discretion.

The undersigned hereby grants to the attorney-in-fact full power and authority to do and perform all and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that the attorney-in-fact shall lawfully do or cause to be done by virtue of this Power of Attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorney-in-fact, in serving in such capacity at the request of the undersigned, is not assuming any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934.

The undersigned agrees that such attorney-in-fact may rely entirely on information furnished orally or in writing by the undersigned to the attorney-in-fact. The undersigned also agrees to indemnify and hold harmless such attorney-in-fact against any losses, claims, damages or liabilities (or actions in these respects) that arise out of or are based upon any untrue statements or omissions of necessary facts in the information provided by the undersigned to such attorney-in fact for purposes of executing, acknowledging, delivering or filing Form 4 or Form 144 (including amendments thereto) and agrees to reimburse the attorney-in-fact on demand for any legal or other expenses reasonably incurred in connection with investigating or defending against any such loss, claim, damage, liability or action.

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorney-in-fact.

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of the date written below.

Signature: /s/ Don Healey

Printed Name: Don Healey
 
Date: November 3, 2015