0001354488-16-007543.txt : 20160518 0001354488-16-007543.hdr.sgml : 20160518 20160518160534 ACCESSION NUMBER: 0001354488-16-007543 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160516 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20160518 DATE AS OF CHANGE: 20160518 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: 161660531 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):  May 16, 2016
 
 
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. was held on May 16, 2016 (the “Annual Meeting”).  Four proposals were submitted to shareholders as described in the 2016 Proxy Statement and were approved by shareholders at the Annual Meeting.  The proposals and the results of the shareholder votes are as follows.

1.  Proposal to elect six directors for one-year terms:
 
   
For
    
Withheld
    
Broker
Non-Votes
  
                   
Timothy C. Barabe
     1,350,520       149,738       3,439,982  
Hans-Peter Hartung
     1,058,783       441,475       3,439,982  
Gail J. Maderis
     1,349,515       150,743       3,439,982  
Michael S. Richman
     1,349,704       150,554       3,439,982  
Scott B. Seaman
     1,350,668       149,590       3,439,982  
Neil K. Warma
     1,339,552       160,706       3,439,982  
 
2.  Proposal to approve the Amended and Restated 2010 Stock Incentive Plan:
 
For
    
Against
    
Abstain
    
Broker
Non-Votes
  
  1,237,868       241,814       20,576       3,439,982  
 
3.  Proposal to hold an advisory “say-on-pay” vote on the compensation of the Named Executive Officers:
 
For
    
Against
    
Abstain
    
Broker
Non-Votes
  
  1,239,707       229,349       31,202        3,439,982  
 
4.  Proposal to ratify the appointment of MaloneBailey, LLP as independent auditors for the fiscal year ending December 31, 2016:
      
For
    
Against
    
Abstain
    
Broker
Non-Votes
  
  4,865,393       59,246       15,601        0  
 
 
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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.


Dated: May 18, 2016 OPEXA THERAPEUTICS, INC.  
       
 
By:
/s/ Neil K. Warma  
    Neil K. Warma  
   
President, Chief Executive Officer and
Acting Chief Financial Officer
  
       

                                                               

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