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