FORM 10-QSB/A
Amendment No. 1
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
| x | QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
For the quarterly period ended June 30, 2006.
OR
| ¨ | TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE EXCHANGE ACT |
For the transition period from to
Commission File Number: 000-50614
ORAGENICS, INC.
(Exact name of small business issuer as specified in its charter)
| FLORIDA | 59-3410522 | |
| (State or other jurisdiction of incorporation or organization) |
(IRS Employer Identification No.) |
13700 Progress Boulevard
Alachua, Florida 32653
(Address of principal executive offices)
(386) 418-4018
(Issuer’s telephone number)
Check whether the issuer (1) filed all reports required to be filed by Section 13 or 15(d) of the Exchange Act during the past 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No ¨
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ¨ No x
State the number of shares outstanding of each of the issuer’s classes of common equity, as of the latest practicable date:
As of August 4, 2006, there were 20,826,492 shares of Common Stock, $.001 par value, outstanding.
Transitional Small Business Disclosure Format (check one): Yes ¨ No x
EXPLANATORY NOTE
The Form 10-QSB Quarterly Report for the Quarter ended June 30, 2006 filed on August 11, 2006 (the “Original Filing”) is being amended solely for the purpose of correcting an erroneous exhibit filing. Specifically, exhibit 10.1 in the Original Filing contained the Company’s original 2002 Stock Incentive Plan rather than the Amended and Restated 2002 Stock Incentive Plan as was referenced in the Exhibit Index. Accordingly, the filing is amended to reflect the inclusion of the correct Exhibit 10.1. Except as described, no other changes have been made to the Original Filing. This Amendment continues to speak as of the date of the Original Filing, and we have not updated the disclosures contained herein to reflect any events that occurred at a date subsequent to the filing of the Original Filing.
ITEM 6. EXHIBITS
| Exhibit Number |
Exhibit Description |
Form |
File No |
Exhibit |
Filing Date |
Filed Herewith | ||||||
| 10.1 | Amended and Restate 2002 Stock Option and Incentive Plan | X | ||||||||||
| 31.1 | Certification of Chief Executive Officer pursuant to Rule 13a-14 and Rule 15d-14(a), promulgated under the Securities and Exchange Act of 1934, as amended. | X | ||||||||||
| 31.2 | Certification of Interim Financial Officer pursuant to Rule 13a-14 and Rule 15d-14(a), promulgated under the Securities and Exchange Act of 1934, as amended. | X | ||||||||||
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 September 29, 2006.
| ORAGENICS, INC. | ||
| BY: | /s/ Robert T. Zahradnik | |
| Robert T. Zahradnik, President, Treasurer, Secretary, Interim Chief Financial Officer and Chief Executive Officer | ||