# EDGAR Filing Document

**Accession Number:** 0001174940
**File Stem:** 0001493152-23-003472
**Filing Date:** 2023-2
**Character Count:** 10563
**Document Hash:** 804575e2b3d9a746c481923f516c5494
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-003472.hdr.sgml**: 20230203

**ACCESSION NUMBER**: 0001493152-23-003472

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20230201

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230203

**DATE AS OF CHANGE**: 20230203

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ORAGENICS INC
- **CENTRAL INDEX KEY:** 0001174940
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 593410522
- **STATE OF INCORPORATION:** FL
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-32188
- **FILM NUMBER:** 23583841

**BUSINESS ADDRESS:**
- **STREET 1:** 4902 EISENHOWER BLVD
- **STREET 2:** SUITE 125
- **CITY:** TAMPA
- **STATE:** FL
- **ZIP:** 33634
- **BUSINESS PHONE:** 8132867900

**MAIL ADDRESS:**
- **STREET 1:** 4902 EISENHOWER BLVD
- **STREET 2:** SUITE 125
- **CITY:** TAMPA
- **STATE:** FL
- **ZIP:** 33634

?xml version="1.0" encoding="utf-8"?

**UNITED STATES** 

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K** 

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d) of the** 

**Securities Exchange Act of 1934.** 

**Date of Report: February 1, 2023**

**(Date of earliest event reported)** 

**Oragenics, Inc.**

**(Exact name of registrant as specified in its charter)** 

---

| | | |
|:---|:---|:---|
| **FL** | **001-32188** | **59-3410522** |
| **(State or other jurisdiction**<br> **of incorporation)** | **(Commission**<br> **File Number)** | **(IRS Employer**<br> **Identification Number)** |

---

---

| | |
|:---|:---|
| **4902 Eisenhower Boulevard, Suite 125**<br> **Tampa, FL** | **33634** |
| **(Address of principal executive offices)** | **(Zip Code)** |

---

**813-286-7900**

**(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 8.01. OTHER EVENTS.** 

On February 3, 2023, Oragenics, Inc. (the "Company") announced that the NYSE American, LLC (the "NYSE American") had notified the Company on February 1, 2023 that it had regained compliance with the NYSE American continued listing standards. Specifically, the Company has resolved the continued listing deficiency with respect to its low selling price as described in Section 1003(f)(v) of the NYSE American Company Guide.

Going forward, the Company will be subject to NYSE American's normal continued listing monitoring. In addition, in the event that the Company is again determined to be noncompliant with any of the Exchange's continued listing standards within twelve (12) months of the notice, NYSE American will examine the relationship between the Company's previous noncompliance and such new event of noncompliance and take appropriate action, which, depending on the circumstances, may include implementing truncated compliance procedures or immediately initiating delisting proceedings.

A copy of the press release announcing these events is attached as Exhibit 99.1 to this Current Report on Form 8-K and is hereby incorporated by reference herein.

**Item 9.01 FINANCIAL STATEMENTS AND EXHIBITS.**

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d) Exhibits.

---

| | |
|:---|:---|
| **Exhibit**<br> **No.** | **Description** |
| 99.1 | [Press Release dated February 3, 2023.](ex99-1.htm) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |

---

**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 this 3<sup>rd</sup> day of February, 2023.

---

| | |
|:---|:---|
| **ORAGENICS, INC.**<br> **(Registrant)** | **ORAGENICS, INC.**<br> **(Registrant)** |
| BY: | */s/ Kimberly Murphy* |
|  | Kimberly Murphy |
|  | President and Chief Executive Officer |

---

## Exhibit 99.1

**Exhibit 99.1**

![](ex99-1_001.jpg)

February 3, 2023

**Oragenics, Inc. Regains Compliance with NYSE American**

**TAMPA, FL. (February 3, 2023)** – **Oragenics, Inc. (NYSE American: OGEN) ("Oragenics" or the "Company"),** a biotech company dedicated to fighting infectious diseases including COVID-19, today announced that the Company has received formal notice from the NYSE American, LLC ("NYSE American") stating that the Company has regained compliance with the NYSE American's continued listing standards.

The notice the Company received from NYSE American on February 1, 2023 indicated that the Company resolved the continued listing deficiency with respect to its low selling price as described in Section 1003(f)(v) of the NYSE American Company Guide. The notice further stated that the below compliance (".BS) indicator will no longer be disseminated and the Company has been removed from the NYSE American noncompliant issuers on the NYSE American's website.

<br> Commenting on the matter, President and CEO Ms. Kimberly Murphy stated: "We are pleased that we have been able to quickly regain compliance with the NYSE American's continued listing standards as we continue to focus on our research and development efforts."

**About Oragenics, Inc.** 

Oragenics, Inc. is a development-stage company dedicated to fighting infectious diseases, including those caused by coronaviruses and multidrug-resistant organisms. Its lead product is NT-CoV2-1, an intranasal vaccine candidate to prevent COVID-19 and variants of the SARS-CoV-2 virus. The NT-CoV2-1 program leverages coronavirus spike protein research licensed from the National Institutes of Health (NIH) and the National Research Council of Canada (NRC) with a focus on reducing viral transmission and offering a more patient-friendly intranasal administration. Its lantibiotics program features a novel class of antibiotics against bacteria that have developed resistance to commercial antibiotics. For more information about Oragenics, please visit www.oragenics.com.

**Forward-Looking Statements**

This communication contains "forward-looking statements" within the meaning of the safe harbor provisions of the U.S. Private Securities Litigation Reform Act of 1995. These forward-looking statements are based on management's beliefs and assumptions and information currently available. The words "believe," "expect," "anticipate," "intend," "estimate," "project" and similar expressions that do not relate solely to historical matters identify forward-looking statements. Investors should be cautious in relying on forward-looking statements because they are subject to a variety of risks, uncertainties, and other factors that could cause actual results to differ materially from those expressed in any such forward-looking statements. These factors include, but are not limited to, the following: the Company's ability to advance the development of its vaccine candidate and lantibiotics candidate under the timelines and in accord with the milestones it projects; the Company's ability to obtain funding, non-dilutive or otherwise, for the development of the vaccine and lantibiotic product candidates, whether through its own cash on hand, or another alternative source; the regulatory application process, research and development stages, and future clinical data and analysis relating to vaccines and lantibiotics, including any meetings, decisions by regulatory authorities, such as the FDA and investigational review boards, whether favorable or unfavorable; the potential application of our vaccine candidate to variants and other coronaviruses; the Company's ability to obtain, maintain and enforce necessary patent and other intellectual property protection; the nature of competition and development relating to COVID-19 immunization and therapeutic treatments and demand for vaccines and antibiotics; the Company's expectations as to the outcome of preclinical studies, nasal administration, transmission, manufacturing, storage and distribution; other potential adverse impacts due to the global COVID-19 pandemic, such as delays in regulatory review, interruptions to manufacturers and supply chains, adverse impacts on healthcare systems and disruption of the global economy; the ability to sustain compliance with our listing requirements; and general economic and market conditions and risks, as well as other uncertainties described in our filings with the U.S. Securities and Exchange Commission. All information set forth in this press release is as of the date hereof. You should consider these factors in evaluating the forward-looking statements included in this press release and not place undue reliance on such statements. We do not assume any obligation to publicly provide revisions or updates to any forward-looking statements, whether as a result of new information, future developments or otherwise, should circumstances change, except as otherwise required by law.

**Contacts**

**Oragenics, Inc.** 

Kimberly Murphy, Chief Executive Officer

Tel: 813-286-7900

<u>kmurphy@oragenics.com</u> 

or

**LHA Investor Relations**

Tirth T. Patel

Tel: 212-201-6614

<u>tpatel@lhai.com</u>