Registrant’s telephone number, including area code:
(281) 272-9331
Check
the appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligations 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))
Indicate
by check mark whether the registrant is an emerging growth company
as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of
1934 (§240.12b-2 of this chapter).
Emerging
growth company ☐
If an
emerging growth company, indicate by check mark if the registrant
has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided
pursuant to Section 13(a) of the Exchange
Act. ☐
Item 8.01 Other Events.
On July18, 2017, Opexa Therapeutics, Inc. (the “Company”)
received written notice from the listing qualifications department
staff of the NASDAQ Stock Market (“NASDAQ”) that it has
been granted an extension until November 13, 2017 (the
“Extension Date”) to regain compliance with the minimum
stockholders’ equity continued listing requirement of
$2,500,000.
As
previously disclosed, on May 16, 2017, the Company received a staff
deficiency letter from NASDAQ notifying it that the
stockholders’ equity of $2,241,693 as reported in its
Quarterly Report on Form 10-Q for the period ended March 31, 2017
was below the minimum stockholders’ equity of $2,500,000
required for continued listing on the NASDAQ Capital Market as set
forth in NASDAQ listing rule 5550(b)(1). The Company was provided
45 calendar days, or until June 30, 2017, to submit a plan to
regain compliance with the minimum stockholders’ equity
standard, and the Company timely submitted such a plan.
In the
event the Company does not meet the compliance standard at the
Extension Date, the NASDAQ staff will provide written notification
that its securities will be delisted. At that time, the Company may
appeal the NASDAQ staff’s determination to a Hearings
Panel.
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 hereunto duly authorized.
