Filing Details
- Accession Number:
- 0001140361-13-046710
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-18 15:58:37
- Reporting Period:
- 2013-12-18
- Filing Date:
- 2013-12-18
- Accepted Time:
- 2013-12-18 15:58:37
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1069308 | Opexa Therapeutics Inc. | OPXA | Pharmaceutical Preparations (2834) | 760333165 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1359850 | B Scott Seaman | C/O Opexa Therapeutics, Inc. 2635 Technology Forest Blvd. The Woodlands TX 77381 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-12-18 | 30,000 | $1.70 | 40,913 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 518,708 | Indirect | See footnote. |
Footnotes
- Purchased in an underwritten public offering which is expected to close on December 23, 2013.
- Held by Alkek & 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.
Billionaire Hedge Funds
