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
15, 2012
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 5.07 Submission of Matters to a Vote of Security Holders
The Annual Meeting of Shareholders for Opexa Therapeutics, Inc. (“Opexa”) was held on November 15, 2012 (the “Annual Meeting”). Three proposals were submitted to shareholders as described in the 2012 Proxy Statement and were approved by shareholders at the Annual Meeting. The proposals and the results of the shareholder votes are as follows.
| Broker | |||
| 1. | For | Withheld | Non-Votes |
| Proposal to elect five directors | |||
| for one-year terms: | |||
| David E. Jorden | 8,038,220 | 444,434 | 8,685,717 |
| Gail J. Maderis | 7,822,155 | 660,499 | 8,685,717 |
| Michael S. Richman | 8,085,123 | 397,531 | 8,685,717 |
| Scott B. Seaman | 7,859,607 | 623,047 | 8,685,717 |
| Neil K. Warma | 7,797,742 | 684,912 | 8,685,717 |
| Broker | ||||
| 2. | For | Against | Abstain | Non-Votes |
| Proposal to approve an Amendment | ||||
| to the Restated Certificate of | ||||
| Formation to effect a reverse stock | ||||
| split of Opexa’s common | ||||
| stock, as determined by the Board | ||||
| of Directors in its discretion, at a | ||||
| ratio of not less than 1-for-2 and | ||||
| not more than 1-for-4 | 14,663,333 | 2,373,941 | 131,097 | 0 |
| Broker | ||||
| 3. | For | Against | Abstain | Non-Votes |
| Proposal to ratify the | ||||
| appointment of MaloneBailey, LLP | ||||
| as independent auditors for the fiscal year | ||||
| ending December 31, 2012 | 16,234,984 | 625,768 | 307,619 | 0 |
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 20, 2012 |
OPEXA THERAPEUTICS, INC. |
|
|
|
|
By: |
/s/ Neil K. Warma |
|
Neil K. Warma |
|||
|
President & Chief Executive Officer |
|||
3