Statement of Changes in Beneficial Ownership (4)
January 26 2021 - 5:13PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Hernandez Joseph |
2. Issuer Name and Ticker or Trading Symbol
ORAGENICS INC
[
OGEN
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
|
(Last)
(First)
(Middle)
15 EAST PUTNAM AVENUE, SUITE 363 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/4/2021 |
(Street)
GREENWICH, CT 06830
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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
|
Common Stock, $.001 par value | 1/4/2021 | | S(1) | | 176003 (2) | D | $0.52 (3) | 4023997 | D | |
Common Stock, $.001 par value | 1/5/2021 | | S(1) | | 500000 (2) | D | $0.5804 (4) | 3523997 | D | |
Common Stock, $.001 par value | 1/6/2021 | | S(1) | | 1000000 (2) | D | $0.60 (5) | 2523997 | D | |
Common Stock, $.001 par value | 1/7/2021 | | S(1) | | 323997 (2) | D | $0.84 (6) | 2200000 | D | |
Common Stock, $.001 par value | 1/11/2021 | | S(1) | | 441929 (2) | D | $0.7710 (7) | 1758071 | D | |
Common Stock, $.001 par value | 1/12/2021 | | S(1) | | 629707 (2) | D | $0.7308 (8) | 1128364 | D | |
Common Stock, $.001 par value | 1/13/2021 | | S(1) | | 257510 (2) | D | $0.8000 (9) | 870854 | D | |
Common Stock, $.001 par value | 1/14/2021 | | S(1) | | 870854 (2) | D | $0.9835 (10) | 0 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
Explanation of Responses: |
(1) | The reporting person sold these shares of common stock on the open market. |
(2) | On May 1, 2020, the reporting person received 9,200,000 shares of Oragenics, Inc. through a Stock Purchase Agreement. |
(3) | On January 4, 2021, the reporting person sold 176,003 shares on the open market at $0.52 per share, the market price of the common stock on such date, for total proceeds of $91,521.56. |
(4) | On January 5, 2021, the reporting person sold 500,000 shares on the open market at $0.5804 per share, the market price of the common stock on such date, for total proceeds of $290,184.58. |
(5) | This reflects the weighted average sale price. On January 6, 2021, the reporting person sold a total of 1,000,000 shares for a total of $645,000 on the open market, with the range of prices for such transactions being $0.60 to $0.73 per share. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. |
(6) | On January 7, 2021, the reporting person sold 323,997 shares on the open market at $0.84 per share, the market price of the common stock on such date, for total proceeds of $272,157.48. |
(7) | On January 11, 2021, the reporting person sold 441,929 shares on the open market at $0.7710 per share, the market price of the common stock on such date, for total proceeds of $340,710.72. |
(8) | This reflects the weighted average sale price. On January 11, 2021, the reporting person sold a total of 629,707 shares for a total of $455,441.30 on the open market, with the range of prices for such transactions being $0.7201 to $0.7501 per share. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. |
(9) | On January 13, 2021, the reporting person sold 257,510 shares on the open market at $0.8000 per share, the market price of the common stock on such date, for total proceeds of $205,994.44. |
(10) | This reflects the weighted average sale price. On January 14, 2021, the reporting person sold a total of 870,854 shares for a total of $859,466.01 on the open market, with the range of prices for such transactions being $0.9602 to $0.1.0068 per share. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Hernandez Joseph 15 EAST PUTNAM AVENUE, SUITE 363 GREENWICH, CT 06830 |
| X |
|
|
Signatures
|
/s/ Joseph Hernandez | | 1/26/2021 |
**Signature of Reporting Person | Date |
Oragenics (AMEX:OGEN)
Historical Stock Chart
From Mar 2024 to Apr 2024
Oragenics (AMEX:OGEN)
Historical Stock Chart
From Apr 2023 to Apr 2024