0001140361-13-037086.txt : 20130926
0001140361-13-037086.hdr.sgml : 20130926
20130926210052
ACCESSION NUMBER: 0001140361-13-037086
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130924
FILED AS OF DATE: 20130926
DATE AS OF CHANGE: 20130926
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
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: 131117838
MAIL ADDRESS:
STREET 1: 2635 TECHNOLOGY FOREST BLVD.
CITY: THE WOODLANDS
STATE: TX
ZIP: 77381
4
1
doc1.xml
FORM 4
X0306
4
2013-09-24
0
0001069308
Opexa Therapeutics, Inc.
OPXA
0001313516
JORDEN DAVID EMERSON
C/O OPEXA THERAPEUTICS, INC.
2635 TECHNOLOGY FOREST BLVD.
THE WOODLANDS
TX
77381
1
0
0
0
Common Stock
2013-09-24
4
C
0
61912
1.91
A
293456
D
Convertible Promissory Note
1.91
2013-09-24
4
C
0
115000
0
D
2012-07-25
2014-07-25
Common Stock
61912
0
D
On September 23, 2013, the Note was amended to provide that in addition to the existing conversion arrangements (i.e., convertible at the election of the Holder or the Issuer into Convertible Preferred Stock at a conversion price of $100), the Note also became convertible at the Issuer's election directly into Common Stock (rather than any intermediate conversion to Convertible Preferred Stock) at the most recent closing market price (subject to a market price range) of the Common Stock at the time of any election by the Issuer to convert the Note directly into Common Stock. On September 24, 2013, the Issuer converted the principal balance of the Note plus accrued interest into 61,912 shares of Common Stock at a conversion price of $1.91.
/s/ John Ginzler, by Power of Attorney
2013-09-26