SEC Form 4 · accession 0000899243-18-025659
ORAGENICS INC · OGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael O'Keefe Sullivan
Officer — CFO, Secretary and Treasurer
Period of report
Sep 27, 2018
Accepted (ET)
Oct 1, 2018 · 4:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001174940
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $0.73 | Sep 27, 2018 | A | 250,000 | A | Sep 27, 2018 | Sep 27, 2028 | Common Stock | 250,000 | 250,000 | D |
Explanation of responses
- F1Represents an 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 immediately, the second third of the options vest on the first anniversary of the grant date and the final third vest t on the second anniversary of the grant date. The option exercise price is the closing price on the date of the grant, September 27, 2018.