4//SEC Filing
Opexa Therapeutics, Inc. 4
Accession 0001354488-15-001663
CIK 0001069308operating
Filed
Apr 8, 8:00 PM ET
Accepted
Apr 9, 5:24 PM ET
Size
16.1 KB
Accession
0001354488-15-001663
Insider Transaction Report
Form 4
Seaman Scott B
Director
Transactions
- Exercise/Conversion
Warrants (Right to Buy)
2015-04-08+518,707→ 518,707 total(indirect: see footnote)From: 2015-04-08Exp: 2018-04-08→ Common Stock (518,707 underlying) - Exercise/Conversion
Warrants (Right to Buy)
2015-04-08+44,087→ 44,087 totalFrom: 2015-04-08Exp: 2018-04-08→ Common Stock (44,087 underlying) - Exercise/Conversion
Common Stock
2015-04-08+518,707→ 1,037,414 total(indirect: see footnote) - Exercise/Conversion
Subscription Rights (Right to Buy)
2015-04-08−518,707→ 0 total(indirect: see footnote)Exercise: $0.55From: 2015-03-13Exp: 2015-04-08→ see footnote (518,707 underlying) - Exercise/Conversion
Common Stock
2015-04-08+44,087→ 85,000 total - Exercise/Conversion
Subscription Rights (Right to Buy)
2015-04-08−44,087→ 0 totalExercise: $0.55From: 2015-03-13Exp: 2015-04-08→ see footnote (44,087 underlying)
Footnotes (3)
- [F1]The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Opexa Therapeutics, Inc. (the "Company") to all holders of the Company?s common stock and to holders of certain of the Company's outstanding warrants. The subscription rights entitled each recipient thereof to purchase units ("Units"), each Unit consisting of one share of the Company?s common stock and one warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $0.55.
- [F2]Held by Alkek and Williams Ventures, Ltd. ("Ventures"). Chaswil, Ltd. ("Chaswil") is the investment manager of Ventures and holds voting power and investment power with respect to the Issuer securities held by Ventures. Mr. Seaman is a registered principal of Chaswil and has shared voting power and/or investment power with respect to the Issuer securities held by Ventures. Mr. Seaman disclaims beneficial ownership of the shares held by Ventures except to the extent of any pecuniary interest therein.
- [F3]Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of (i) $0.50 per share from the date of issuance through June 30, 2016 and (ii) $1.50 per share from July 1, 2016 through the expiration date of the warrants.
Documents
Issuer
Opexa Therapeutics, Inc.
CIK 0001069308
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001069308
Filing Metadata
- Form type
- 4
- Filed
- Apr 8, 8:00 PM ET
- Accepted
- Apr 9, 5:24 PM ET
- Size
- 16.1 KB