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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hernandez Joseph 15 EAST PUTNAM AVENUE, SUITE 363 GREENWICH, CT 06830 |
X |
/s/ Joseph Hernandez | 01/26/2021 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The reporting person sold these shares of common stock on the open market. |
(2) | On May 1, 2020, the reporting person received 9,200,000 shares of Oragenics, Inc. through a Stock Purchase Agreement. |
(3) | On January 4, 2021, the reporting person sold 176,003 shares on the open market at $0.52 per share, the market price of the common stock on such date, for total proceeds of $91,521.56. |
(4) | On January 5, 2021, the reporting person sold 500,000 shares on the open market at $0.5804 per share, the market price of the common stock on such date, for total proceeds of $290,184.58. |
(5) | This reflects the weighted average sale price. On January 6, 2021, the reporting person sold a total of 1,000,000 shares for a total of $645,000 on the open market, with the range of prices for such transactions being $0.60 to $0.73 per share. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. |
(6) | On January 7, 2021, the reporting person sold 323,997 shares on the open market at $0.84 per share, the market price of the common stock on such date, for total proceeds of $272,157.48. |
(7) | On January 11, 2021, the reporting person sold 441,929 shares on the open market at $0.7710 per share, the market price of the common stock on such date, for total proceeds of $340,710.72. |
(8) | This reflects the weighted average sale price. On January 11, 2021, the reporting person sold a total of 629,707 shares for a total of $455,441.30 on the open market, with the range of prices for such transactions being $0.7201 to $0.7501 per share. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. |
(9) | On January 13, 2021, the reporting person sold 257,510 shares on the open market at $0.8000 per share, the market price of the common stock on such date, for total proceeds of $205,994.44. |
(10) | This reflects the weighted average sale price. On January 14, 2021, the reporting person sold a total of 870,854 shares for a total of $859,466.01 on the open market, with the range of prices for such transactions being $0.9602 to $0.1.0068 per share. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price. |