-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GPKTiSxjrCnVlDA48+9fLZ5otlLpC2xTQtRcgcJ5d/oS2WPohsceiqlYPw61Gg3/ 4FfLc+e/6rb4Lo4wDbMQuQ== 0000905148-08-000877.txt : 20080212 0000905148-08-000877.hdr.sgml : 20080212 20080212170930 ACCESSION NUMBER: 0000905148-08-000877 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080212 DATE AS OF CHANGE: 20080212 SUBJECT COMPANY: 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: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81104 FILM NUMBER: 08599336 BUSINESS ADDRESS: STREET 1: 2635 N. CRESCENT RIDGE DRIVE CITY: THE WOODLANDS STATE: TX ZIP: 77381 BUSINESS PHONE: (281) 272-9331 MAIL ADDRESS: STREET 1: 2635 N. CRESCENT RIDGE DRIVE 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Magnetar Financial LLC CENTRAL INDEX KEY: 0001352851 IRS NUMBER: 043818748 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1603 ORRINGTON AVE. STREET 2: 13TH FLOOR CITY: EVANSTON STATE: IL ZIP: 60201 BUSINESS PHONE: (847)905-4400 MAIL ADDRESS: STREET 1: 1603 ORRINGTON AVE. STREET 2: 13TH FLOOR CITY: EVANSTON STATE: IL ZIP: 60201 SC 13G/A 1 efc8-0191_formsc13ga.txt UNITED STATES SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 - -------------------------------------------------------------------------------- SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* OPEXA THERAPEUTICS, INC. ------------------------ (Name of Issuer) Common Stock, $0.50 par value per share ----------------------------------------------------------- (Title of Class of Securities) 68372T103 ----------------------------------- (CUSIP Number) December 31, 2007 ------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Continued on following pages Page 1 of 11 Pages Exhibit Index: Page 10 SCHEDULE 13G CUSIP No.: 68372T103 Page 2 of 11 Pages - ------------------------------------------------------------------------------ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). MAGNETAR FINANCIAL LLC - ------------------------------------------------------------------------------ 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - ------------------------------------------------------------------------------ 3. SEC Use Only - ------------------------------------------------------------------------------ 4. Citizenship or Place of Organization Delaware - ------------------------------------------------------------------------------ Number of 5. Sole Voting Power 0 Shares ---------------------------------------------------------- Beneficially 6. Shared Voting Power 0 Owned by Each ---------------------------------------------------------- Reporting 7. Sole Dispositive Power 0 Person With ---------------------------------------------------------- 8. Shared Dispositive Power 0 - ------------------------------------------------------------------------------ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 0 - ------------------------------------------------------------------------------ 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------ 11. Percent of Class Represented by Amount in Row (9) 0% based on 6,696,784 shares outstanding as of November 29, 2007. - ------------------------------------------------------------------------------ 12. Type of Reporting Person: IA; OO SCHEDULE 13G CUSIP No.: 68372T103 Page 3 of 11 Pages - ------------------------------------------------------------------------------ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). MAGNETAR CAPITAL PARTNERS LP - ------------------------------------------------------------------------------ 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - ------------------------------------------------------------------------------ 3. SEC Use Only - ------------------------------------------------------------------------------ 4. Citizenship or Place of Organization Delaware - ------------------------------------------------------------------------------ Number of 5. Sole Voting Power 0 Shares ---------------------------------------------------------- Beneficially 6. Shared Voting Power 0 Owned by Each ---------------------------------------------------------- Reporting 7. Sole Dispositive Power 0 Person With ---------------------------------------------------------- 8. Shared Dispositive Power 0 - ------------------------------------------------------------------------------ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 0 - ------------------------------------------------------------------------------ 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------ 11. Percent of Class Represented by Amount in Row (9) 0% based on 6,696,784 shares outstanding as of November 29, 2007. - ------------------------------------------------------------------------------ 12. Type of Reporting Person: HC; OO SCHEDULE 13G CUSIP No.: 68372T103 Page 4 of 11 Pages - ------------------------------------------------------------------------------ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). SUPERNOVA MANAGEMENT LLC - ------------------------------------------------------------------------------ 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - ------------------------------------------------------------------------------ 3. SEC Use Only - ------------------------------------------------------------------------------ 4. Citizenship or Place of Organization Delaware - ------------------------------------------------------------------------------ Number of 5. Sole Voting Power 0 Shares ---------------------------------------------------------- Beneficially 6. Shared Voting Power 0 Owned by Each ---------------------------------------------------------- Reporting 7. Sole Dispositive Power 0 Person With ---------------------------------------------------------- 8. Shared Dispositive Power 0 - ------------------------------------------------------------------------------ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 0 - ------------------------------------------------------------------------------ 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------ 11. Percent of Class Represented by Amount in Row (9) 0% based on 6,696,784 shares outstanding as of November 29, 2007. - ------------------------------------------------------------------------------ 12. Type of Reporting Person: HC; OO SCHEDULE 13G CUSIP No.: 68372T103 Page 5 of 11 Pages - ------------------------------------------------------------------------------ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). ALEC N. LITOWITZ - ------------------------------------------------------------------------------ 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - ------------------------------------------------------------------------------ 3. SEC Use Only - ------------------------------------------------------------------------------ 4. Citizenship or Place of Organization United States of America - ------------------------------------------------------------------------------ Number of 5. Sole Voting Power 0 Shares ---------------------------------------------------------- Beneficially 6. Shared Voting Power 0 Owned by Each ---------------------------------------------------------- Reporting 7. Sole Dispositive Power 0 Person With ---------------------------------------------------------- 8. Shared Dispositive Power 0 - ------------------------------------------------------------------------------ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 0 - ------------------------------------------------------------------------------ 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------ 11. Percent of Class Represented by Amount in Row (9) 0% based on 6,696,784 shares outstanding as of November 29, 2007. - ------------------------------------------------------------------------------ 12. Type of Reporting Person: HC Page 6 of 11 Pages Item 1(a) Name of Issuer: Opexa Therapeutics, Inc. (the "Issuer) Item 1(b) Address of Issuer's Principal Executive Offices: 2635 North Crescent Ridge Drive, The Woodlands, TX 77381. Item 2(a) Name of Person Filing: This Statement is filed on behalf of each of the following persons (collectively, the "Reporting Persons"): i) Magnetar Financial LLC ("Magnetar Financial"); ii) Magnetar Capital Partners LP ("Magnetar Capital Partners"); iii) Supernova Management LLC ("Supernova Management"); and iv) Alec N. Litowitz ("Mr. Litowitz"). This Statement relates to Shares (as defined herein) and warrants ("Warrants") to acquire Shares held for the accounts of Magnetar Capital Master Fund, Ltd, a Cayman Islands exempted company ("Magnetar Capital Master Fund"). Magnetar Financial is a registered investment adviser under Section 203 of the Investment Advisers Act of 1940, as amended (the "Advisers' Act"). Magnetar Financial serves as investment adviser to Magnetar Capital Master Fund. In such capacity, Magnetar Financial exercises voting and investment power over the Shares held for the account of Magnetar Capital Master Fund. Magnetar Capital Partners serves as the sole member and parent holding company of Magnetar Financial. Supernova Management is the general partner of Magnetar Capital Partners. The manager of Supernova Management is Mr. Litowitz. Item 2(b) Address of Principal Business Office or, if None, Residence: The address of the principal business office of each of Magnetar Financial, Magnetar Capital Partners, Supernova Management, and Mr. Litowitz is 1603 Orrington Avenue, 13th Floor, Evanston, Illinois 60201. Item 2(c) Citizenship: i) Magnetar Financial is a Delaware limited liability company; ii) Magnetar Capital Partners is a Delaware limited partnership; iii) Supernova Management is a Delaware limited liability company; and iv) Mr. Litowitz is a citizen of the United States of America. Page 7 of 11 Pages Item 2(d) Title of Class of Securities: Common Stock, $0.50 par value per share (the "Shares") Item 2(e) Cusip Number, 68372T103 Item 3 If This Statement is Filed Pursuant to ss.ss.240.13d-1(b) or 240.13d-2(b) or (c), Check Whether the Person Filing is a: (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act. (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [ ] Investment company registered under Section 8 of the Investment Company Act. (e) [X] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act. Item 4. Ownership: Item 4(a) Amount Beneficially Owned: As of December 31, 2007 each of Magnetar Financial, Magnetar Capital Partners, Supernova Management and Mr. Litowitz may be deemed to be the beneficial owner of 0 Shares held for the account of the Magnetar Capital Master Fund. Item 4(b) Percent of Class: The number of Shares of which each of Magnetar Financial, Magnetar Capital Partners, Supernova Management and Mr. Litowitz may be deemed to be the beneficial owner constitutes 0% of the total number of Shares outstanding (based upon information provided by the Issuer in its recently filed regisration statement on Form 10-QSB/A, there were approximately 6,696,784 shares outstanding as of November 29, 2007). Page 8 of 11 Pages Item 4(c) Number of Shares of which such person has: Magnetar Financial: - ------------------- (i) Sole power to vote or direct the vote: 0 (ii) Shared power to vote or direct the vote: 0 (iii) Sole power to dispose or direct the 0 disposition of: (iv) Shared power to dispose or direct the 0 disposition of: Magnetar Capital Partners, Supernova Management, and Mr. Litowitz: - ------------------------------------------------------------------ (i) Sole power to vote or direct the vote: 0 (ii) Shared power to vote or direct the vote: 0 (iii) Sole power to dispose or direct the 0 disposition of: (iv) Shared power to dispose or direct the 0 disposition of: Item 5. Ownership of Five Percent or Less of a Class: If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following |x|. Item 6. Ownership of More than Five Percent on Behalf of Another Person: This Item 6 is not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: See disclosure in Item 2 hereof. Item 8. Identification and Classification of Members of the Group: This Item 8 is not applicable. Item 9. Notice of Dissolution of Group: This Item 9 is not applicable. Item 10. Certification: By signing below each of the Reporting Persons certifies that, to the best of their knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 9 of 11 Pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 12, 2008 MAGNETAR FINANCIAL LLC By: Magnetar Capital Partners LP, As Sole Member By: /s/ Alec N. Litowitz ----------------------------------- Name: Alec N. Litowitz Title: Manager of Supernova Management LLC, as General Partner of Magnetar Capital Partners LP Date: February 12, 2008 MAGNETAR CAPITAL PARTNERS LP By: /s/ Alec N. Litowitz ----------------------------------- Name: Alec N. Litowitz Title: Manager of Supernova Management LLC, as General Partner of Magnetar Capital Partners LP Date: February 12, 2008 SUPERNOVA MANAGEMENT LLC By: /s/ Alec N. Litowitz ----------------------------------- Name: Alec N. Litowitz Title: Manager Date: February 12, 2008 ALEC N. LITOWITZ /s/ Alec N. Litowitz ----------------------------------- Page 10 of 11 Pages EXHIBIT INDEX Ex. Page No. - --- -------- A. Joint Filing Agreement, dated February 12, 2008 by and among Magnetar Financial LLC, Magnetar Capital Partners LP, Supernova Management LLC, and Alec N. Litowitz ................ 11 Page 11 of 11 Pages EXHIBIT A JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G with respect to the Common Stock of Opexa Therapeutics, Inc. dated as of February 12, 2008 is, and any amendments thereto (including amendments on Schedule 13D) signed by each of the undersigned shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended. Date: February 12, 2008 MAGNETAR FINANCIAL LLC By: Magnetar Capital Partners LP, As Sole Member By: /s/ Alec N. Litowitz ----------------------------------- Name: Alec N. Litowitz Title: Manager of Supernova Management LLC, as General Partner of Magnetar Capital Partners LP Date: February 12, 2008 MAGNETAR CAPITAL PARTNERS LP By: /s/ Alec N. Litowitz ----------------------------------- Name: Alec N. Litowitz Title: Manager of Supernova Management LLC, as General Partner of Magnetar Capital Partners LP Date: February 12, 2008 SUPERNOVA MANAGEMENT LLC By: /s/ Alec N. Litowitz ----------------------------------- Name: Alec N. Litowitz Title: Manager Date: February 12, 2008 ALEC N. LITOWITZ /s/ Alec N. Litowitz ----------------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----