Statement of Changes in Beneficial Ownership (4)
December 17 2021 - 05:14PM
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
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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 * Sullivan Michael
O'Keefe |
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)
Interim PEO, CFO |
(Last)
(First)
(Middle)
4902 EISENHOWER BOULEVARD |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/16/2021
|
(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)
|
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 Stock Option (Right to
Buy) (1) |
$0.49 |
12/16/2021 |
|
A |
|
150000 (1) |
|
(1) |
12/16/2031 |
Common Stock |
150000 |
$0 |
150000 (1) |
D |
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Explanation of
Responses: |
(1) |
Represents an annual award
of options to purchase shares of the Company's common stock under
the Company's 2012 Equity Incentive Plan, as amended that vest
evenly in three tranches. One third of the options vest on the
first anniversary of the grant date, the second third of the
options vest on the second anniversary of the grant date and the
final third vest on the third anniversary of the grant date. The
option exercise price is the closing price on the date of the
grant, December 16, 2021. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
Sullivan Michael O'Keefe
4902 EISENHOWER BOULEVARD
TAMPA, FL 33634 |
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|
Interim PEO, CFO |
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Signatures
|
/s/ Mark A. Catchur, as Attorney-in-Fact for
Michael O. Sullivan |
|
12/17/2021 |
**Signature of
Reporting Person |
Date |
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