Rill Donna R 4

4 · Opexa Therapeutics, Inc. · Filed May 1, 2013

Form 4

Period: 2013-02-04

Senior V.P. of Operations

Transactions

Award
Common Stock
2013-04-29+20,000→ 20,402 total
Award
Employee Stock Option (right to buy)
2013-02-04+20,939→ 20,939 total
Exercise: $3.80Exp: 2022-01-06→ Common Stock (20,939 underlying)
Award
Employee Stock Option (right to buy)
2013-04-29+20,000→ 20,000 total
Exercise: $1.75Exp: 2023-04-29→ Common Stock (20,000 underlying)

Footnotes (4)

[F1]Adjusted to reflect the issuer's 1-for-4 reverse stock split that was implemented December 14, 2012, resulting in the reporting person owning 402 shares of common stock prior to the transaction reported herein
[F2]On January 6, 2012, the reporting person was granted an option to purchase 31,408 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 20,939 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 20,939 shares.
[F3]All share numbers and the exercise price have been adjusted to reflect the one-for-four reverse stock split implemented December 14, 2012.
[F4]Quarterly vesting on the anniversary date of the grant over three years.

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