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ORAGENICS INC — Director's Dealing 2013
Oct 2, 2013
35380_dirs_2013-10-02_c661e799-99ed-4c83-b763-cd6d7b8abaaa.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: 2013-09-30
Reporting Person: KIRK RANDAL J (10% Owner)
Reporting Person: INTREXON CORP (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-09-30 | Common Stock | P | 2648510 | $3.00 | Acquired | 7040935 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 857555 | Indirect |
Footnotes
F1: Pursuant to a Stock Purchase and Issuance Agreement between the issuer and Intrexon Corporation ("Intrexon") dated September 30, 2013, the issuer: (i) issued 1,348,510 shares of its Common Stock to Intrexon in consideration for the execution and delivery of an Exclusive Channel Collaboration Agreement dated September 30, 2013 between the issuer and Intrexon and (ii) sold 1,300,000 shares of its Common Stock to Intrexon.
F2: Randal 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.
F3: Randal 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.