X0306 4/A 2013-02-04 2013-05-01 0 0001069308 Opexa Therapeutics, Inc. OPXA 0001437911 Warma Neil K C/O OPEXA THERAPEUTICS, INC. 2635 TECHNOLOGY FOREST BLVD. THE WOODLANDS TX 77381 1 1 0 0 President & CEO Common Stock 8658 D Employee Stock Option (right to buy) 3.80 2013-02-04 4 A 0 95970 0 A 2022-01-06 Common Stock 95970 95970 D The attempted awards on 4-29-13 of (i) 28,571 shares of restricted common stock and (ii) an option to purchase 50,000 shares of common stock previously reported were ineffective and the awards were void ab initio. On January 6, 2012, the reporting person was granted an option to purchase 139,593 shares of common stock at the closing market price. The option is performance based and begins to vest quarterly over a three-year period in two tranches commencing upon Opexa achieving certain key milestones. The second tranche key milestone for vesting of 95,970 shares is Opexa entering into a collaboration, partnership or other strategic arrangement involving US rights for Tcelna. The performance criteria for the second key milestone was met on February 4, 2013 and vesting has commenced for the second tranche of 95,970 shares. All share numbers and the exercise price have been adjusted to reflect the one-for-four reverse stock split implemented December 14, 2012. /s/ Neil K. Warma 2013-06-14