Current Report Filing (8-k)
December 20 2021 - 6:04AM
Edgar (US Regulatory)
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2021-12-16
2021-12-16
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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of the
Securities
Exchange Act of 1934.
Date
of Report: December 16, 2021
(Date
of earliest event reported)
Oragenics,
Inc.
(Exact
name of registrant as specified in its charter)
FL
|
|
001-32188
|
|
59-3410522
|
(State
or other jurisdiction
of
incorporation)
|
|
(Commission
File Number)
|
|
(IRS
Employer
Identification
Number)
|
4902
Eisenhower Boulevard,
Suite
125
Tampa,
FL
|
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33634
|
(Address
of principal executive offices)
|
|
(Zip
Code)
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813-286-7900
(Registrant’s
telephone number, including area code)
(Former
Name or Former Address, if changed since last report)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under
any of the following provisions:
☐
|
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
|
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Trading
Symbol(s)
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Name
of each exchange on which registered
|
Common
Stock
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OGEN
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NYSE
American
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Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company ☐
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item
5.02. DEPARTURE OF DIRECTORS OR CERTAIN OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF CERTAIN OFFICERS; COMPENSATORY ARRANGEMENTS OF
CERTAIN OFFICERS.
(e)
Compensatory Arrangements of Certain Officers.
Executive
Officer Equity Awards. On December 16, 2021, the Compensation Committee and Board of Directors approved stock option awards to certain
of our executive officers under the Company’s 2012 Equity Incentive Plan, as amended, consisting of an annual grant (“Annual
Award”) to our Chief Financial Officer and Interim Principal Executive Officer, Mr. Michael Sullivan and our Senior Vice President
of Discovery Research, Dr. Martin Handfield. The Annual Award is subject to time-based vesting in equal annual installments over a three-year
period on the first, second and third anniversaries of the date of grant, to purchase 150,000 and 75,000 shares of Company common stock,
respectively, at an exercise price of $0.49 per share, the closing price of the Company’s common stock on the grant date, December
16, 2021. The stock option awards are subject to the standard terms and conditions of the Company’s form of stock option agreement
which includes, as applicable, earlier vesting upon a change in control of the Company.
SIGNATURES
In
accordance with the requirements of the Exchange Act, the registrant caused this report to be signed on its behalf by the undersigned,
thereunto duly authorized on this 17th day of December, 2021.
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ORAGENICS,
INC.
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|
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BY:
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/s/
Michael Sullivan
|
|
|
Michael
Sullivan
Interim
Principal Executive Officer
and
Chief Financial Officer
|
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