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ORAGENICS INC — Director's Dealing 2016
Jul 5, 2016
35380_dirs_2016-07-05_4a1d5b75-ba42-4c90-97d4-91e765f84fa4.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: 2016-06-30
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 |
|---|---|---|---|---|---|---|---|
| 2016-06-30 | Common Stock | P | 2261419 | $0.5159 | Acquired | 14481089 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1000555 | Indirect |
Footnotes
F1: On June 30, 2016 and pursuant to a Stock Purchase Agreement between the issuer and Intrexon Corporation ("Intrexon") the issuer issued 2,261,419 shares of its Common Stock to Intrexon in a private placement transaction.
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.