Current Report Filing (8-k)
November 14 2016 - 7:32AM
Edgar (US Regulatory)
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): November 14,
2016
OPEXA THERAPEUTICS, INC.
(Exact
name of registrant as specified in its charter)
Texas
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001-33004
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76-0333165
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(State
or other jurisdiction ofincorporation)
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(Commission
File Number)
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(IRS
Employer Identification No.)
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2635 Technology Forest Blvd., The Woodlands, Texas
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77381
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(Address
of principal executive offices)
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(Zip
Code)
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Registrant’s
telephone number, including area code:
(281) 272-9331
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N/A
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(Former name or
former address, if changed since last report)
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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:
☐
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Written
communications pursuant to Rule 425 under the Securities Act (17
CFR 230.425)
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☐
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
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☐
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17
CFR 240.14d-2(b))
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☐
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17
CFR 240.13e-4(c))
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Item
2.02.
Results
of Operations and Financial Condition.
On
November 14, 2016, Opexa Therapeutics, Inc. (the
“Company”) filed its Quarterly Report on Form 10-Q for
the quarter ended September 30, 2016 and announced its results of
operations in a press release. A copy of the press release
announcing the results is furnished as Exhibit 99.1 to this Current
Report on Form 8-K and is incorporated herein by
reference.
Item
9.01.
Financial
Statements and Exhibits.
(d)
Exhibits.
Exhibit No
.
Description
99.1
Press release
issued by Opexa Therapeutics, Inc. on November 14, 2016 regarding
quarterly earnings.
The information in Item 2.02 of this Current Report on Form 8-K,
including Exhibit 99.1, shall not be deemed
“filed” for the purposes of Section 18 of the
Securities Exchange Act of 1934 or otherwise subject to the
liabilities under that Section, nor be deemed to be incorporated by
reference into the filings of the registrant under the Securities
Act of 1933.
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:
November 14, 2016
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OPEXA THERAPEUTICS,
INC.
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By:
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/s/
Neil K.
Warma
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Neil K.
Warma
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President, Chief
Executive Officer and
Acting Chief
Financial Officer
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EXHIBIT INDEX
Exhibit No
.
Description
99.1
Press release issued by Opexa Therapeutics, Inc. on November 14,
2016 regarding quarterly earnings.
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