SEC Form 4 · accession 0001140361-16-071479
ORAGENICS INC · OGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jun 30, 2016
Accepted (ET)
Jul 5, 2016 · 8:57 am 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,F2 | Jun 30, 2016 | P | 2,261,419 | $0.5159 | A | 14,481,089 | I | by Intrexon |
| Common StockF3 | holding | — | — | — | 1,000,555 | I | by NRM VII Holdings |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On June 30, 2016 and pursuant to a Stock Purchase Agreement between the issuer and Intrexon Corporation ("Intrexon") the issuer issued 2,261,419 shares of its Common Stock to Intrexon in a private placement transaction.
- F2Randal J. Kirk, directly and through certain affiliates, has voting and dispositive power over a majority of the outstanding capital stock of Intrexon. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
- F3Randal J. Kirk controls NRM VII Holdings I, LLC ("NRM VII Holdings"). Shares held by this entity may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.