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EX-99.1 - EXHIBIT 99.1 - Opexa Therapeutics, Inc.a50530993_ex991.htm





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 15, 2013



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))



Item 8.01.

Other Events.

On January 15, 2013, Opexa Therapeutics, Inc. (the “Company”) issued a press release announcing that it had received a letter from The NASDAQ Stock Market LLC (“NASDAQ”) notifying the Company that it had regained compliance with NASDAQ Marketplace Rule 5550(a)(2), as the closing bid price of the Company’s common stock had been at or above $1.00 per share for at least ten consecutive trading days as of December 31, 2012. The letter further stated that this matter, which had been previously communicated to the Company in NASDAQ’s noncompliance notice dated February 10, 2012, is now closed. A copy of the press release is attached hereto as Exhibit 99.1.

Item 9.01.

Financial Statements and Exhibits.

(d)  Exhibits

The following exhibit is filed as a part of this Form 8-K:

Exhibit No.

Description

 
99.1 Press Release issued by Opexa Therapeutics, Inc. on January 15, 2013.

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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.

Dated:

January 15, 2013

OPEXA THERAPEUTICS, INC.

 
 

 

 

By:

/s/ Neil K. Warma

Neil K. Warma

President & Chief Executive Officer

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EXHIBIT INDEX

Exhibit No.

Description

 

99.1

Press Release issued by Opexa Therapeutics, Inc. on January 15, 2013.