Statement of Changes in Beneficial Ownership (4)
08 Mars 2023 - 10:32PM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * Huffman
Janet |
2. Issuer Name and Ticker or Trading
Symbol ORAGENICS INC [ OGEN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
CFO, Secretary and Treasurer |
(Last)
(First)
(Middle)
4902 EISENHOWER BOULEVARD |
3. Date of Earliest Transaction (MM/DD/YYYY)
3/7/2023
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(Street)
TAMPA, FL 33634
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Employee Option (Right to
Buy) |
$4.00 |
3/7/2023 |
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A |
|
7000 (1) |
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3/7/2023 |
3/7/2033 |
Common Stock |
7000 |
$0 |
7000 (1) |
D |
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Explanation of
Responses: |
(1) |
Represents an award of
options to purchase shares of the Company's common stock under the
Company's 2021 Equity Incentive Plan in connection with the
engagement to serve as the Company's Chief Financial Officer. The
options vest as follows: 1,400 options vest on the grant date,
1,400 options vest on September 7, 2023, 1,400 options vest on
March 7, 2024, 1,400 options vest on September 7, 2024, and 1,400
options vest on March 7, 2025. The option exercise price is the
Company's closing price on the date of grant. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
Huffman Janet
4902 EISENHOWER BOULEVARD
TAMPA, FL 33634 |
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CFO, Secretary and Treasurer |
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Signatures
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/s/ Mark A. Catchur, as Attorney-in-Fact for
Janet Huffman |
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3/8/2023 |
**Signature of
Reporting Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
Oragenics (AMEX:OGEN)
Graphique Historique de l'Action
De Mai 2023 à Juin 2023
Oragenics (AMEX:OGEN)
Graphique Historique de l'Action
De Juin 2022 à Juin 2023