SEC Form 4 · accession 0000899243-18-019955
ORAGENICS INC · OGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan W Dunton
Director
Period of report
Jul 17, 2018
Accepted (ET)
Jul 17, 2018 · 4:44 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 | Jul 17, 2018 | P$0 | 20,000 | — | A | 41,261 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrants (right to buy)F1 | $1.00 | Jul 17, 2018 | P | 20,000 | A | Jul 17, 2018 | Jul 17, 2025 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1Purchase of Class A Units consisting of one share of common stock and one warrant to purchase one share of common stock in an underwritten public offering at the price of $1.00 per Unit, which was the price paid by the public for such Units.