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Private company

Opexa Therapeutics

American pharmaceutical preparations company based in Houston1

In its 2023 annual report the company says: “We are a pharmaceutical company focused on the acquisition, development, and commercialization of therapies for serious rare and life-threatening diseases with significant unmet medical needs. We identify and develop treatments where science can be applied in new ways for use in diseases with high unmet need.”75

Last updated Oct 21, 2026.

Overview

  • IndustryPharmaceutical Preparations1
  • HeadquartersHouston1
  • Websitewww.opexatherapeutics.com
  • Legal formFor-Profit Corporation1
  • Listed onNasdaq1
  • Incorporated inDE4
  • Business addressOne Gateway Center (300 Washington St.), Suite 356, Newton, Ma 024584
  • Filer categoryNon-accelerated filer, Smaller reporting company4
  • LEI549300BRA7GF5PCH1L043
  • StatusActive3
  • LEI statusLapsed (not renewed)3
  • Registered addressC/O THE CORPORATION TRUST COMPANY, 19801 Wilmington, United States3
  • Registered withDivision of Corporations, Department of State, 54504633

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Financials

From the company’s reports to the SEC. Every number links to the filing it came from.

Key numbers, fiscal 2021

-1265.7%Operating margin5
-1220.2%Net margin5
-$189.9KFree cash flow5

Where the money goes

Where each dollar of revenue went, fiscal 2021

  • Research and development100¢$6.5M

Out of $1.3M in revenue.5 The company lost money this year.

Financial statements

Revenue65$1.3M in 2021
0$500.0K$1.0M$1.5M2020: $0$020202021: $1.3M$1.3M2021
Operating income7891065-$15.9M in 2021+138% since 2016
-$30.0M-$20.0M-$10.0M02016: -$6.7M-$6.7M20162017: -$13.9M-$13.9M2017+108%2018: -$21.7M-$21.7M2018+56%2019: -$29.9M-$29.9M2019+38%2020: -$22.8M-$22.8M2020−24%2021: -$15.9M-$15.9M2021−30%
Net income7891065-$15.4M in 2021+129% since 2016
-$30.0M-$20.0M-$10.0M02016: -$6.7M-$6.7M20162017: -$14.2M-$14.2M2017+112%2018: -$21.3M-$21.3M2018+50%2019: -$29.4M-$29.4M2019+38%2020: -$22.9M-$22.9M2020−22%2021: -$15.4M-$15.4M2021−33%
Fiscal year201620172018201920202021
Revenue$06$1.3M5
Research and development$5.3M7$8.7M8$12.5M9$13.9M10$11.8M6$6.5M5
Operating expenses$17.2M5
Operating income-$6.7M7-$13.9M8-$21.7M9-$29.9M10-$22.8M6-$15.9M5
Interest
Income tax$07$08$09$010$06$05
Net income-$6.7M7-$14.2M8-$21.3M9-$29.4M10-$22.9M6-$15.4M5
Earnings per share-$1.085
Earnings per share (diluted)-$1.085
Shares (weighted, basic)14.3M shares5
Shares (weighted, diluted)14.3M shares5

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Corporate structure

Opexa Therapeutics sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of Opexa Therapeutics

  • Opexa Therapeutics The Woodlands, Texas, United States

Built from parent and subsidiary links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

What it owns

What Opexa Therapeutics reports owning in its annual reports to the SEC: buildings, land and equipment, real estate and locations, investments, intangible assets and inventory, at the end of its latest fiscal year and a year before.

Property and equipment

ItemLatestA year beforeChange
Property and equipment, before depreciation$442.7K5 Dec 31, 2022$319.9K5 Dec 31, 2021+38.4%
Accumulated depreciation$228.1K5 Dec 31, 2022$205.8K5 Dec 31, 2021+10.9%
Property and equipment, net$214.6K5 Dec 31, 2022$114.1K5 Dec 31, 2021+88.0%
Operating-lease assets (leased space)$200.0K5 Dec 31, 2022$400.0K5 Dec 31, 2021−50.0%

Investments

ItemLatestA year beforeChange
Cash and cash equivalents$2.3M5 Dec 31, 2022$12.7M5 Dec 31, 2021−81.7%

Intangibles and goodwill

ItemLatestA year beforeChange
Goodwill$7.6M5 Dec 31, 2022$7.6M5 Dec 31, 20210%

Leadership

Who has led Opexa Therapeutics, and when. Pick a name to see everywhere that person has worked.

Chief executive

  1. David McWilliams2006–2008
  2. Neil K. Warma2008–2016
  3. Chris Schelling2017–2023

President

  1. Neil K. Warma2008–2016
  2. Chris Schelling2017–2023

Chief financial officer

  1. William Rouse2006
  2. David McWilliams2006
  3. Lynne Hohlfeld2006–2009
  4. David Emerson Jorden2012–2013
  5. Karthik Radhakrishnan2013–2015
  6. Neil K. Warma2016
  7. Harry S. Palmin2017–2023

Chief operating officer

  1. Tanya Hayden2022–2023
2010201520202025
Board members and other officers (30)

Named in SEC Form D filings

People the company listed in its private-offering notices.

  • Executive OfficerBernie S. Paul named Dec 5, 202253
  • DirectorJohn M Dunn named Dec 5, 202253
  • DirectorMichelle T. Griffin named Dec 5, 202253

Former names

  • Opexa Therapeutics, Inc.Jun 16, 2006 to Sep 20, 20174
  • PharmaFrontiers Corp.Oct 11, 2005 to Jun 2, 20064
  • PHARMAFRONTIERS CORPAug 16, 2004 to Oct 5, 20054
  • SPORTAN UNITED INDUSTRIES INCJul 2, 1999 to Jul 1, 20044

Timeline

  1. Nov 20, 20238-K Completed an acquisition or sale; Change to shareholders' rights; Change in control54
  2. Nov 8, 20238-K Shareholder vote; Other events55
  3. Nov 2, 20238-K Entered a material agreement; Listing notice or transfer; Other events56
  4. Aug 31, 20238-K Entered a material agreement; Ended a material agreement; New debt or obligation57
  5. Aug 14, 20238-K Results of operations58
  6. Jun 26, 20238-K Entered a material agreement; New debt or obligation; Regulation FD disclosure59
  7. Jun 7, 20238-K Listing notice or transfer60
  8. May 22, 20238-K Shareholder vote61
  9. May 15, 20238-K Results of operations62
  10. May 4, 20238-K Listing notice or transfer63
  11. May 1, 20238-K Other events64
  12. Apr 27, 20238-K Other events65
  13. Sep 21, 2017New chief executive Chris Schelling becomes CEO14
  14. Dec 26, 2013Founded Opexa Therapeutics is founded3
  15. Jun 19, 2008New chief executive Neil K. Warma becomes CEO15
  16. Jun 19, 2006New chief executive David McWilliams becomes CEO16

Calendar

When it reported results

  1. Aug 14, 2023Reported quarterly or annual results58
  2. May 15, 2023Reported quarterly or annual results62
  3. Mar 27, 2023Reported quarterly or annual results66
  4. Nov 14, 2022Reported quarterly or annual results67
  5. Nov 14, 2022Reported quarterly or annual results68
  6. Aug 15, 2022Reported quarterly or annual results69
  7. May 16, 2022Reported quarterly or annual results70
  8. Mar 2, 2022Reported quarterly or annual results71

Upcoming dates from Nasdaq's calendar; past results from the company's 8-K filings (Item 2.02). The full markets calendar

Filings

172 filings to the SEC since October 2021: 2 annual reports, 10 quarterly reports, 70 major events, 36 insider forms, 4 large holders, 1 private raises, 49 other. The latest 20:

  1. Nov 30, 202315-12G EDGAR
  2. Nov 24, 2023EFFECT EDGAR
  3. Nov 24, 2023EFFECT EDGAR
  4. Nov 20, 202325-NSE EDGAR
  5. Nov 20, 2023S-8 POS EDGAR
  6. Nov 20, 2023S-8 POS EDGAR
  7. Nov 20, 2023S-8 POS EDGAR
  8. Nov 20, 2023S-8 POS EDGAR
  9. Nov 20, 2023S-8 POS EDGAR
  10. Nov 20, 2023S-8 POS EDGAR
  11. Nov 20, 2023S-8 POS EDGAR
  12. Nov 20, 2023S-8 POS EDGAR
  13. Nov 20, 2023S-8 POS EDGAR
  14. Nov 20, 2023S-8 POS EDGAR
  15. Nov 20, 2023S-8 POS EDGAR
  16. Nov 20, 2023S-8 POS EDGAR
  17. Nov 20, 2023POS AM EDGAR
  18. Nov 20, 2023POS AM EDGAR
  19. Nov 20, 20238-K EDGAR
  20. Nov 20, 202310-Q EDGAR

The 172 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

4 open-market trades by officers, directors and large owners since October 2021: 4 buys and 0 sales. Grants, option exercises and gifts are left out.

DateWhoTradeSharesPriceValueFiling
Nov 29, 2022Schelling ChrisPRESIDENT AND CEOBuy819,672$1.22$1.0MForm 4
Nov 29, 2022ASELAGE STEVEDirectorBuy409,836$1.22$500.0KForm 4
Dec 10, 2021ASELAGE STEVEDirectorBuy7,984$2.04$16.3KForm 4
Dec 9, 2021ASELAGE STEVEDirectorBuy2,016$2.15$4.3KForm 4

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

Funding

Where the company's money came from, by calendar year: private offerings filed with the SEC, federal grants, loans, contracts and other assistance from USAspending.gov, and PPP loans from the SBA. Each bar links to the records below.

Money received by year$1.5M 2022–2022
Money received by yearMoney received by year, 2022–2022: $1.5M in all. Private raises (Form D) $1.5M.$0$500K$1M$1.5M2022 · Private raises (Form D): $1.5M2022
Figures by year
YearPrivate raises (Form D)Total
2022$1.5M$1.5M

Private raises

Private offerings the company reported to the SEC on Form D. The amount is what the latest filing says was sold so far, charted in the year of the first sale. Covers filings since Oct 1, 2021.

  1. Nov 29, 2022Raised $1.5 million in a private offering of equity53 Form D: 2 investors so far Form D

SEC filer profile

How Opexa Therapeutics is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

  • Name on EDGARAcer Therapeutics Inc.2
  • CIK0001069308
  • Employer ID (EIN)32-04269672
  • Filer statusNon-accelerated filer<br>smaller reporting company2
  • Incorporated inDelaware2
  • Fiscal year endsDecember 312
  • Industry code (SIC)2834 Pharmaceutical Preparations2
  • Business addressOne Gateway Center (300 Washington St.), Suite 356, Newton, MA 024582
  • Phone(844) 902-61002
  • Shares outstanding24,463,726 as of Nov 8, 202311
  • Public float$19.7M as of Jun 30, 20225
  • On EDGAR sinceMar 8, 19992
  • Filings1,254 in all: 8-K (340), 4 (287), 3 (57), 10-Q (48), CORRESP (38), 424B3 (32), EFFECT (30), UPLOAD (29)2
    All 70 form types

    10QSB (27), SC 13G/A (24), DEF 14A (20), POS AM (20), SC 13G (20), 10-K (16), 424B5 (16), NT 10-Q (14), SC 13D/A (14), S-8 (12), S-8 POS (12), S-3 (10), 424B2 (9), S-3/A (9), SC 13D (9), 10KSB (8), 10KSB/A (7), 10QSB/A (7), ARS (7), D (7), PRE 14A (7), S-1/A (7), SB-2/A (7), 4/A (6), CT ORDER (6), DEFA14A (6), REGDEX (6), 3/A (5), FWP (5), NT 10-K (5), S-1 (5), 425 (4), 5 (4), 8-K/A (4), PRER14A (4), 10-Q/A (3), 25-NSE (3), 8-A12B (3), CERTNAS (3), SB-2 (3), 10SB12G/A (2), 424B4 (2), 8-A12B/A (2), DEF 14C (2), PRE 14C (2), REGDEX/A (2), RW (2), 10-K/A (1), 10SB12G (1), 15-12G (1), 15-15D (1), 424A (1), DEFM14A (1), DEFR14C (1), DEFS14A (1), DEL AM (1), NTN 10K (1), POS EX (1), S-1MEF (1), S-4 (1), S-4/A (1), SC 14F1 (1)

  • Latest filingsAnnual report (10-K) Mar 27, 2023
    Quarterly report (10-Q) Nov 20, 2023
    Proxy statement (DEF 14A) Apr 14, 2023
    Latest 8-K (8-K) Nov 20, 2023

Sources

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