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