UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (date of earliest event reported): January 28, 2015
OPEXA THERAPEUTICS, INC.
(Exact name of registrant as specified in its charter)
| | | | |
| Texas | | 001-33004 | | 76-0333165 |
(State or other jurisdiction of incorporation) | | (Commission File Number) | | (IRS Employer Identification No.) |
| |
| 2635 Technology Forest Blvd., The Woodlands, Texas | | 77381 |
| (Address of principal executive offices) | | (Zip Code) |
Registrant’s telephone number, including area code: (281) 272-9331
N/A
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| ¨ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ¨ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ¨ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ¨ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
On January 28, 2015, Opexa Therapeutics, Inc. (the “Company”) issued a press release entitled “Opexa Therapeutics, Inc. Files Registration Statement for Rights Offering,” a copy of which is hereby filed as Exhibit 99.1 and is incorporated herein by reference.
The registration statement filed by the Company with respect to the rights offering has not yet become effective. The securities covered by the registration statement may not be sold, nor may offers to buy be accepted, prior to the time the registration statement becomes effective. This communication shall not constitute an offer to sell or the solicitation of an offer to buy these securities, nor shall there be any sale of these securities in any state or jurisdiction in which such offer, solicitation or sale would be unlawful prior to the registration or qualification under the securities laws of any state or jurisdiction. Any offering of the securities covered by the registration statement will only be by means of a prospectus.
| Item 9.01. | Financial Statements and Exhibits. |
(d) Exhibits
| | |
Exhibit No. | | Description |
| |
| 99.1 | | Press Release issued by Opexa Therapeutics, Inc. on January 28, 2015. |
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
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| Dated: January 28, 2015 | | | | OPEXA THERAPEUTICS, INC. |
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| | | | By: | | /s/ Neil K. Warma |
| | | | | | Neil K. Warma |
| | | | | | President and Chief Executive Officer |
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EXHIBIT INDEX
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Exhibit No. | | Description |
| |
| 99.1 | | Press Release issued by Opexa Therapeutics, Inc. on January 28, 2015. |
