SEC Form 4 · accession 0000899243-16-022125
ORAGENICS INC · OGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan Joslyn
Officer — CEO and President · Director
Period of report
Jun 6, 2016
Accepted (ET)
Jun 8, 2016 · 4:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001174940
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 6, 2016 | A | 30,000 | $0.00 | A | 30,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Director Option (Right to Buy)F2 | $0.55 | Jun 6, 2016 | A | 300,000 | A | Dec 6, 2016 | Jun 6, 2026 | Common Stock | 300,000 | 300,000 | D |
Explanation of responses
- F1Represents an award of restricted stock in connection with service to the Company as its Chief Executive Officer and director pursuant to the 2012 Equity Incentive Plan. One half of the shares vest in six months and the second half vest on the anniversary of the grant.
- F2Represents an award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan in connection with service to the Company as its Chief Executive Officer and director. The options vest equally every six months over three years commencing six months from the grant date. The option exercise price is the closing price on the date immediately prior to the date of the grant, June 6, 2016.