Oragenics Inc 8-K, filed Feb 19, 2021
Oragenics Inc (OGEN)
About this 8-K
Oragenics Inc filed this 8-K on February 19, 2021, reporting on events of February 18, 2021.
Items reported
- Item 5.02: Director or officer change, or executive pay
UNITEDSTATES
SECURITIESAND EXCHANGE COMMISSION
Washington,D.C. 20549
FORM8-K
CURRENTREPORT
Pursuantto Section 13 or 15(d) of the
SecuritiesExchange Act of 1934.
Dateof Report: February 18, 2021
(Dateof earliest event reported)
Oragenics,Inc.
(Exactname of registrant as specified in its charter)
| FL | 001-32188 | 59-3410522 |
|---|---|---|
| (State or other jurisdiction<br><br> <br>of incorporation) | (Commission<br><br> <br>File Number) | (IRS Employer<br><br> <br>Identification Number) |
| 4902 Eisenhower Boulevard, Suite 125<br><br> <br>Tampa, FL | 33634 | |
| --- | --- | |
| (Address of principal executive offices) | (Zip Code) |
813-286-7900
(Registrant’stelephone number, including area code)
(FormerName 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<br> communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
|---|---|
| [ ] | Soliciting<br> material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| [ ] | Pre-commencement<br> communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| [ ] | Pre-commencement<br> communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
|---|---|---|
| Common<br> Stock | OGEN | NYSE<br> American |
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. [ ]
Item5.02. DEPARTURE OF DIRECTORS OR CERTAIN OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF CERTAIN OFFICERS; COMPENSATORY ARRANGEMENTSOF CERTAIN OFFICERS.
| (e) | Compensatory Arrangements of Certain Officers. |
|---|
ExecutiveOfficer Equity Awards. On February 18, 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 Executive Officer, Dr. Alan Joslyn, our Chief Financial 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 400,000, 250,000 and 220,000 shares of Company common stock, respectively, at an exercise price of $1.20 per share, the closing price of the Company’s common stock on the grant date, February 18, 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 19^th^ day of February, 2021.
| ORAGENICS, INC. | |
|---|---|
| (Registrant) | |
| BY: | /s/ Michael Sullivan |
| Michael<br> Sullivan | |
| Chief<br> Financial Officer |