SEC Form 4 · accession 0001209191-15-027432
ORAGENICS INC · OGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Beverly Koski
10% Owner
Christine L Koski
Director · 10% Owner
KOSKI FAMILY LP
10% Owner
Robert C Koski
Director · 10% Owner
Thomas L Koski
10% Owner
Period of report
Mar 16, 2015
Accepted (ET)
Mar 18, 2015 · 4:05 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 StockF3,F8 | Mar 16, 2015 | A | 40,000 | $0.00 | A | 1,152,523 | D | |
| Common StockF4,F8 | Mar 16, 2015 | A | 40,000 | $0.00 | A | 767,878 | D | |
| Common StockF1,F2 | holding | — | — | — | 8,257,742 | D | ||
| Common StockF5 | holding | — | — | — | 519,666 | D | ||
| Common StockF6 | holding | — | — | — | 20,000 | I | By Koski Management, Inc. | |
| Common StockF7 | holding | — | — | — | 530,851 | I | By Trusts |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Employee Director Option (Right to Buy)F9 | $1.32 | Mar 16, 2015 | A | 80,000 | A | Mar 16, 2016 | Mar 16, 2025 | Common Stock | 80,000 | 80,000 | D |
| Non-Employee Director Option (Right to Buy)F9 | $1.32 | Mar 16, 2015 | A | 80,000 | A | Mar 16, 2016 | Mar 16, 2025 | Common Stock | 80,000 | 80,000 | D |
Explanation of responses
- F1Shares owned directly by Koski Family Limited Partnership ("KFLP"). Shares owned indirectly by the KFLP general partners: Koski Management, Inc. (solely owned by Beverly Koski), Christine L. Koski, Robert C. Koski and Thomas L. Koski, each of whom is a general partner of the partnership or the controlling person of a corporate general partner of the partnership.
- F2Each reporting person disclaims beneficial ownership of all indirectly owned securities in excess of such reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner for purposes of Section 16 or any other purpose.
- F3Shares owned directly by Christine L. Koski, a director of the Company.
- F4Shares owned directly by Robert C. Koski, a director of the Company.
- F5Shares owned directly by Thomas L. Koski.
- F6Shares owned indirectly by Beverly Koski (through Koski Management, Inc.).
- F7Shares owned by trusts of which Mr. Robert C. Koski is sole trustee. Such trusts are as follows: the Robert Clayton Koski Trust for the benefit of Anthony James Hunter (100,000 shares); the Robert Clayton Koski Trust for the benefit of Hunter Buchanan Koski (100,000 shares); the Robert Clayton Koski Trust for the benefit of Clayton Ward Bennett (100,000 shares); the Robert Clayton Koski Trust for the benefit of Robert Edward Koski (100,000 shares); and the Robert Clayton Koski Trust for the benefit of Elyse Margaux Koski (97,666 shares). Mr. Koski disclaims beneficial ownership of the shares held by the trusts except to the extent of any pecuniary interest.
- F8Represents an award of restricted stock in connection with service to the Company pursuant to the 2012 Equity Incentive Plan that vests equally over each of the four calendar quarters during 2015.
- F9Represents an award of options to purchase shares of the Company's common stock under the Company's 2012 Equity Incentive Plan, that vest equally over three years commencing on the first anniversary of the grant date. The option exercise price is the closing price on the date of the grant, March 16, 2015.