SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934.
Date of Report: June 5, 2020
(Date of earliest event reported)
(Exact name of registrant as specified in its charter)
(State or other jurisdiction
4902 Eisenhower Boulevard, Suite 125
|(Address of principal executive offices)||(Zip Code)|
(Registrant’s telephone number, including area code)
(Former Name or Former Address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
|[ ]||Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)|
|[ ]||Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)|
|[ ]||Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))|
|[ ]||Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))|
Securities registered pursuant to Section 12(b) of the Act:
|Title of each class||Trading Symbol(s)||Name of each exchange on which registered|
|Common Stock||OGEN||NYSE American|
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company [ ]
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [ ]
Item 1.01 ENTRY INTO A MATERIAL DEFINITIVE AGREEMENT
On June 5, 2208, the Board of Directors of Oragenics, Inc. (the Company” or “Oragenics”) approved a Second Amendment to the Employment Agreement (the “Second Amendment”) with Dr. Alan Joslyn, the Company’s President and Chief Executive Officer for the purpose of extending the term of his employment agreement for an additional two years, which Amendment was entered into effective June 6, 2020. All other terms of Dr. Joslyn’s Employment Agreement remain in full force and effect.
The foregoing summary is qualified in its entirety by the specific terms of the Second Amendment to the Employment Agreement attached as Exhibit 10.1 to this Form 8-K which is incorporated herein by reference.
Item 5.02. DEPARTURE OF DIRECTORS OR CERTAIN OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF CERTAIN OFFICERS; COMPENSATORY ARRANGEMENTS OF CERTAIN OFFICERS.
The information set forth in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference.
Item 9.01. FINANCIAL STATEMENTS AND EXHIBITS.
|10.1||Executive Employment Agreement for Dr. Alan Joslyn, filed as Exhibit 10.1 to the Company’s Form 8-K filed on June 6, 2016, incorporated by reference.|
|10.2||First Amendment to Employment Agreement between the Company and Alan Joslyn effective June 6, 2018, filed as Exhibit 10.1 to the Company’s Form 8-K filed on June 11, 2018, incorporated by reference.|
|10.3||Second Amendment to Employment Agreement between the Company and Alan Joslyn effective June 6, 2020.|
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 this 5th day of June, 2020.
|ORAGENICS, INC. (Registrant)|
|BY:||/s/ Michael Sullivan|
Chief Financial Officer