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OGEN Oragenics Inc

1.02
-0.015 (-1.45%)
After Hours
Last Updated: 21:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Oragenics Inc AMEX:OGEN AMEX Common Stock
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  -0.015 -1.45% 1.02 1.04 1.00 1.01 9,035 21:00:00

Statement of Changes in Beneficial Ownership (4)

19/02/2021 9:36pm

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 *

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)
CFO, Secretary and Treasurer
(Last)          (First)          (Middle)

4902 EISENHOWER BOULEVARD
3. Date of Earliest Transaction (MM/DD/YYYY)

2/18/2021
(Street)

TAMPA, FL 33634
(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

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 Security3. Trans. Date3A. Deemed Execution Date, if any4. 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 Date7. 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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Employee Stock Option (Right to Buy) (1)$1.20 2/18/2021  A   250000 (1)    (1)2/18/2031 Common Stock 250000 $0 250000 (1)D  

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, February 18, 2021.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Sullivan Michael O'Keefe
4902 EISENHOWER BOULEVARD
TAMPA, FL 33634


CFO, Secretary and Treasurer

Signatures
/s/ Mark A. Catchur, as Attorney-in-Fact for Michael O. Sullivan2/19/2021
**Signature of Reporting PersonDate

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