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ORAGENICS INC — Director's Dealing 2012
Oct 19, 2012
35380_dirs_2012-10-19_13dafd0d-a308-473e-8051-74fa98ddf221.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ORAGENICS INC (OGEN)
CIK: 0001174940
Period of Report: 2012-09-27
Reporting Person: KOSKI FAMILY LP (10% Owner)
Reporting Person: KOSKI CHRISTINE L (Director, 10% Owner)
Reporting Person: KOSKI BEVERLY (10% Owner)
Reporting Person: KOSKI ROBERT C (Director, 10% Owner)
Reporting Person: KOSKI THOMAS L (10% Owner)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-09-27 | Common Stock Warrants (Right to Buy) | $2 | J | 1510000 | Disposed | 2015-03-22 | Common Stock (1510000) | Direct |
| 2012-09-27 | Common Stock Warrants (Right to Buy) | $2 | J | 500000 | Acquired | 2015-03-22 | Common Stock (500000) | Direct |
| 2012-09-27 | Common Stock Warrants (Right to Buy) | $2 | J | 500000 | Acquired | 2015-03-22 | Common Stock (500000) | Direct |
| 2012-09-27 | Common Stock Warrants (Right to Buy) | $2 | J | 500000 | Acquired | 2015-03-22 | Common Stock (500000) | Direct |
| 2012-09-27 | Common Stock Warrants (Right to Buy) | $2 | J | 10000 | Acquired | 2015-03-22 | Common Stock (10000) | Indirect |
| 2012-09-27 | Common Stock Warrants (Right to Buy) | $2 | G | 500000 | Disposed | 2015-03-22 | Common Stock (500000) | Direct |
| 2012-09-27 | Common Stock Warrants (Right to Buy) | $2 | G | 500000 | Acquired | 2015-03-22 | Common Stock (500000) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 41400 | Direct |
| Common Stock | 481066 | Direct |
| Common Stock | 9767742 | Direct |
| Common Stock | 469666 | Direct |
| Common Stock | 497666 | Indirect |
| Common Stock | 10000 | Indirect |
Footnotes
F1: Shares owned directly by Robert C. Koski.
F2: Shares owned directly by Christine L. Koski.
F3: Shares owned directly by Koski Family Limited Partnership. Shares owned indirectly by Beverly Koski (through 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.
F4: Each 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.
F5: Shares owned directly by Thomas L. Koski.
F6: Shares 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) (collectively, the "Trusts"). Mr. Koski disclaims beneficial ownership of the shares held by the Trusts.
F7: Shares owned indirectly by Beverly Koski (through Koski Management, Inc).
F8: Represents a distribution of warrants owned by the Koski Family Limited Partnership to its general and limited partners Beverly Koski (through Koski Management, Inc.) (10,000 warrants distributed), Christine L. Koski (500,000 warrants distributed), Robert C. Koski (500,000 warrants distributed) and Thomas L. Koski (500,000 warrants distributed).
F9: Represents warrants owned directly by Koski Family Limited Partnership. Warrants owned indirectly by Beverly Koski (through 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.
F10: Represents warrants owned directly by Mr. Robert C. Koski following the distribution of the warrants by the Koski Family Limited Partnership to its partners. Immediately following the distribution, Mr. Koski gifted the warrants to each of the existing five Trusts for his children (with each trust receiving warrants to acquire 100,000 shares). Mr. Koski serves as sole trustee with sole voting and dispositive power with respect to the Trusts. As such, the warrants are deemed to be indirectly owned by Mr. Koski. The amount represented as owned indirectly, after taking into consideration the aforementioned gifts, represents the aggregate warrants owned by the Trusts.
F11: Warrants owned directly by Christine L. Koski.
F12: Warrants owned directly by Thomas L. Koski.
F13: Warrants owned indirectly by Beverly Koski (through Koski Management, Inc).