0001140361-13-003039.txt : 20130124 0001140361-13-003039.hdr.sgml : 20130124 20130124181506 ACCESSION NUMBER: 0001140361-13-003039 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130124 DATE AS OF CHANGE: 20130124 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JORDEN DAVID EMERSON CENTRAL INDEX KEY: 0001313516 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 13546619 MAIL ADDRESS: STREET 1: 2635 TECHNOLOGY FOREST BLVD. CITY: THE WOODLANDS STATE: TX ZIP: 77381 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 4 1 doc1.xml FORM 4 X0306 4 2012-12-31 0 0001069308 Opexa Therapeutics, Inc. OPXA 0001313516 JORDEN DAVID EMERSON C/O OPEXA THERAPEUTICS, INC. 2635 TECHNOLOGY FOREST BLVD. THE WOODLANDS TX 77381 1 1 0 0 Acting Chief Financial Officer Common Stock 2012-12-31 4 A 0 4595 1.33 A 227094 D Convertible Promissory Note 1.30 2013-01-23 4 A 0 100000 A 2013-01-23 2014-01-23 Common Stock 77034 77034 D Common Stock Warrant (Right to Buy) 1.24 2013-01-23 4 A 0 37500 A 2013-01-23 2018-01-23 Common Stock 37500 37500 D On December 31, 2012, the reporting person was issued 4,595 shares of Common Stock as payment-in-kind for interest accrued as of December 31, 2012 on a 12% Convertible Secured Promissory Note held in the principal amount of $115,000. The shares issued in payment of accrued interest payable on the interest payment date were deemed to have a value equal to the volume weighted average price for the Common Stock for the five trading days ending three trading days prior to the payment date. Adjusted to reflect the issuer's 1-for-4 reverse stock split that was implemented December 14, 2012, resulting in the reporting person owning 222,499 shares of common stock prior to the transaction reported herein. The Note in the principal amount of $100,000 was issued with a Warrant exercisable for 37,500 shares of Common Stock. /s/ David E. Jorden 2013-01-24