NT 10-K 1 a5928870.htm OPEXA THERAPEUTICS, INC. NT-10K a5928870.htm
     
     
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
FORM 12b-25
 
NOTIFICATION OF LATE FILING
 
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SEC FILE NUMBER
001-33004
   
   
CUSIP NUMBER
68372T103
 
(Check One):    
 
x  Form 10-K    ¨  Form 20-F       ¨  Form 11-K    ¨  Form 10-Q
¨  Form 10-D     ¨  Form N-SAR   ¨  Form N-CSR
   
   
For Period Ended:                December 31, 2008                      
   
   
¨  Transition Report on Form 10-K
   
¨  Transition Report on Form 20-F
   
¨  Transition Report on Form 11-K
   
¨  Transition Report on Form 10-Q
   
¨  Transition Report on Form N-SAR
   
   
For the Transition Period Ended:                                          
 
    
Read Instruction (on back page) Before Preparing Form. Please Print or Type.
Nothing in this form shall be construed to imply that the Commission has verified any information contained herein.  

 
If the notification relates to a portion of the filing checked above, identify the Item(s) to which the notification relates:   
Not Applicable
 
PART I — REGISTRANT INFORMATION
 
     
     
 
Opexa Therapeutics, Inc.
 
 
Full Name of Registrant
 
     
 
Not Applicable
 
 
Former Name if Applicable
 
     
 
2635 N Crescent Ridge Drive
 
 
Address of Principal Executive Office (Street and Number)
 
     
 
The Woodlands, Texas, 77381
 
 
City, State and Zip Code
 
 

 
 

 
 

 
PART II — RULES 12b-25(b) AND (c)

If the subject report could not be filed without unreasonable effort or expense and the registrant seeks relief pursuant to Rule 12b-25(b), the following should be completed. (Check box if appropriate)
 
 
   
 
(a)
 
The reasons described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense;
 
           
 x
 
(b)
 
The subject annual report, semi-annual report, transition report on Form 10-K, Form 20-F, Form 11-K, Form N-SAR or Form N-CSR, or portion thereof, will be filed on or before the fifteenth calendar day following the prescribed due date; or the subject quarterly report or transition report on Form 10-Q, or portion thereof, will be filed on or before the fifth calendar day following the prescribed due date; and
 
           
   
(c)
 
The accountant’s statement or other exhibit required by Rule 12b-25(c) has been attached if applicable.
 
 

 
PART III — NARRATIVE

State below in reasonable detail the reasons why Forms 10-K, 20-F, 11-K, 10-Q, 10-D, N-SAR, N-CSR, or the transition report or portion thereof, could not be filed within the prescribed time period.

The registrant is in the process of preparing and reviewing the financial and other information to be disclosed in the Annual Report on Form 10-K for the fiscal year ended December 31, 2008, and management does not believe the Form 10-K can be completed on or before the prescribed due date without unreasonable effort or expense.
 


PART IV — OTHER INFORMATION
 
   
(1)
Name and telephone number of person to contact in regard to this notification.
 
 
 
Neil K. Warma
    
 281
  
272-9331
 
 
(Name)
    
(Area Code)
  
(Telephone Number)
 
 
   
(2)
Have all other periodic reports required under Section 13 or 15(d) of the Securities Exchange Act of 1934 or Section 30 of the Investment Company Act of 1940 during the preceding 12 months or for such shorter period that the registrant was required to file such report(s) been filed? If answer is no, identify report(s).     x   Yes     ¨   No
   
(3)
Is it anticipated that any significant change in results of operations from the corresponding period for the last fiscal year will be reflected by the earnings statements to be included in the subject report or portion thereof?  ¨   Yes  x   No

If so, attach an explanation of the anticipated change, both narratively and quantitatively, and, if appropriate, state the reasons why a reasonable estimate of the results cannot be made.
 
     
     
 
Opexa Therapeutics, Inc.
 
 
(Name of Registrant as Specified in Charter)
 

has caused this notification to be signed on its behalf by the undersigned hereunto duly authorized.
 
                 
                 
 
Date: 
  D
March 31, 2009
  
By: 
 
/s/ Neil K. Warma
 
   
  
 
  
 
  
President & Chief Executive Officer