S-1/A 1 forms-1a.htm S-1/A

 

As filed with the Securities and Exchange Commission on June 30, 2025

 

Registration No. 333-288225

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

Amendment No. 1

to

FORM S-1

 

REGISTRATION STATEMENT

UNDER

THE SECURITIES ACT OF 1933

 

ORAGENICS, INC.

(Exact name of registrant as specified in its charter)

 

Florida   59-3410522

(State or other jurisdiction of

incorporation or organization)

 

(I.R.S. Employer

Identification No.)

 

1990 Main Street, Suite 750

Sarasota, Florida 34236

(813) 286-7900

(Address, including zip code, and telephone number, including area code, of principal executive offices)

 

Janet Huffman, Chief Executive Officer and Chief Financial Officer

Oragenics, Inc.

1990 Main Street, Suite 750

Sarasota, Florida 34236

(813) 286-7900

(Name, address, including zip code, and telephone number, including area code, of agent for service)

 

With copies to:

 

Mark A. Catchur, Esq.

Julio C. Esquivel, Esq.

Shumaker, Loop & Kendrick, LLP

101 East Kennedy Boulevard

Suite 2800

Tampa, Florida 33602

Telephone: (813) 229-7600

Facsimile: (813) 229-1660

 

Ralph V. DeMartino, Esq.

Marc Rivera, Esq.

ArentFox Schiff LLP

1717 K Street NW

Washington, DC 20006

Telephone: (202) 350-3643

Facsimile: (202) 857-6395

 

Approximate date of commencement of proposed sale to the public: From time to time after this registration statement becomes effective.

 

If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, other than securities offered only in connection with dividend or interest reinvestment plans, check the following box. ☒

 

If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐

 

If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐

 

If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

 

Large accelerated filer Accelerated filer
       
Non-accelerated filer Smaller reporting company
       
    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 to Section 7(a)(2)(B) of the Securities Act. ☐

 

The Registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the Registrant shall file a further amendment which specifically states that the Registration Statement shall thereafter become effective in accordance with Section 8(A) of the Securities Act of 1933, or until this registration statement shall become effective on such date as the Commission, acting pursuant to section 8(a), may determine.

 

 

 

 

 

 

EXPLANATORY NOTE

 

This Pre-Effective Amendment No. 1 (this “Amendment”) to the Registration Statement on Form S-1 of Oragenics, Inc. (File No. ) (the “Registration Statement”) is being filed as an exhibit-only filing to file a form of Securities Purchase Agreement to the exhibits and exhibit index. Accordingly, this Amendment consists only of the facing page, this explanatory note, Item 16 of Part II of the Registration Statement (the Exhibit Index), the form of Securities Purchase Agreement (filed herewith as Exhibit 10.27) and the signature page to the Registration Statement. The prospectus and the balance of Part II of the Registration Statement are unchanged and have been omitted.

 

 

 

 

Item 16. Exhibits and Financial Statement Schedules.

 

(a) Exhibit Index

 

        Incorporated by Reference    

Exhibit

number

  Exhibit description   Form   File no.   Exhibit  

Filing

date

 

Filed

herewith

                         
1.1   Form of Placement Agent Agreement   S-1   333-288225   1.1   6/23/25    
                         
3.1   Amended and Restated Articles of Incorporation as amended prior to December 29, 2017 (including certificates of designation of Series A, B and C Preferred Stock).   8-K   001-32188   3.1   12/29/17    
                         
3.2   Articles of Amendment to Amended and Restated Articles of Incorporation dated effective December 29, 2017.   8-K   001-32188   3.2   12/29/17    
                         
3.3   Articles of Amendment to Amended and Restated Articles of Incorporation effective January 19, 2018.   8-K   001-32188   3.1   1/19/18    
                         
3.4   Articles of Amendment to Amended and Restated Articles of Incorporation.   8-K   001-32188   3.4   6/26/18    
                         
3.5   Articles of Amendment to Amended and Restated Articles of Incorporation   8-K   001-32188   3.5   2/28/22    
                         
3.6   Articles of Amendment to Amended and Restated Articles of Incorporation   8-K   001-32188   3.1   1/23/23    
                         
3.7   Amendment to Articles of Incorporation for Certificate of Designation of Series F Convertible Preferred Stock   8-K   001-32188   3.1   12/8/23    
                         
3.8   Amendment to Articles of Incorporation to Increase Common Stock   8-K   001-32188   3.1   12/15/23    
                         
3.9   Amendment to Articles of Incorporation to Effectuate Reverse stock Split   8-K   001-32188   3.1   5/28/25    
                         
3.10   Form of Certificate of Designation of Preferences, Rights and Designations of Series H Convertible Preferred Stock   S-1   333-288225   3.10   6/23/25    
                         
3.11   Bylaws   SB-2   333-100568   3.2   10/16/02    
                         
3.12   First Amendment to Bylaws   8-K   001-32188   3.1   6/9/10    
                         
3.13   Second Amendment to Bylaws   8-K   001-32188   3.1   8/24/10    

 

II-1

 

 

3.14   Third Amendment to Bylaws   8-K   001-32188   3.9   2/28/22    
                         
 4.1   Specimen Stock Certificate   8-K   001-32188   4.1   1/23/23    
                         
4.2   Form of Common Stock Warrant   8-K   001-32118   4.1   11/9/17    
                         
4.3   Form of Warrant to purchase shares of Common Stock.   S-1/A   333-224950   4.2   7/9/18    
                         
4.4   Warrant Agency Agreement   8-K   001-32188   4.2   7/17/18    
                         
4.5   Warrant dated May 1, 2020   8-K   001-32188   4.1   5/4/20    
                         
4.6   Form of Placement Agent Warrant.   8-K   001-32188   4.1   6/26/24    
                         
4.7   Description of the Registrant’s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934   10-K   001-32188   4.8   3/29/24    
                         
4.8   Form of Series H Warrant   S-1   333-288225   4.8   6/23/25    
                         
4.9   Form of Warrant Agent Agreement   S-1   333-288225   4.9   6/23/25    
                         
5.1   Opinion of Shumaker, Loop & Kendrick, LLP   S-1   333-288225   5.1   6/23/25    
                         
10.1   Non-exclusive intellectual property and biological materials license agreement with the National Institute of Allergy and Infectious Diseases, an institute within the National Institutes of Health.*   10-Q   001-32188   10.2   8/14/20    
                         
10.2   National Research Council (NRC) Canada Technology License Agreement (dated July 26, 2021) and Amendment One (dated September 2, 2021).*   10-Q   001-32188   10.0   11/15/21    
                         
10.3   NRC Technology License Amendment 2   10-K   001-32188   10.6   3/24/22    
                         
10.4   NRC Technology License Amendment 3   10-K   001-32188   10.7   3/24/22    
                         
10.5   2012 Equity Incentive Plan. +   8-K   001-32188   4.1   10/25/12    
                         
10.6   First Amendment to 2012 Equity Incentive Plan. +   8-K   001-32188   4.2   5/5/17    

 

II-2

 

 

10.7   Second Amendment to 2012 Equity Incentive Plan. +   8-K   001-32188   4.3   12/29/17    
                         
10.8   Third Amendment to 2012 Equity Incentive Plan. +   8-K   001-32188   4.4   6/26/18    
                         
10.9   Fourth Amendment to 2012 Equity Incentive Plan. +   8-K   001-32188   4.5   6/21/19    
                         
10.10   Form of Employee Stock Option Agreement. +   10-K   001-32188   10.26   3/26/13    
                         
10.11   Form of Consultant Stock Option Agreement. +   10-K   001-32188   10.27   3/26/13    
                         
10.12   Form of Notice of Grant of Stock Options and Stock Option Award Agreement (Employee). +   8-K   001-32188   10.1   3/18/15    
                         
10.13   Form of Notice of Grant of Stock Options and Stock Option Award Agreement (Directors). +   10-K   001-32188   10.23   3/4/20    
                         
10.14   Form of Director Restricted Stock Award Agreement. +   8-K   001-32188   10.3   3/18/15    
                         
10.17   2021 Equity Incentive Plan+   8-K   001-32188   10.1   2/28/22    
                         
10.18   First Amendment to 2021 Equity Incentive Plan   8-K   001-32188   4.2   12/15/23    
                         
10.19   Second Amendment to 2021 Equity Incentive Plan   8-K   001-32188   4.3   12/13/24    
                         
10.20   Form Stock Option Award Agreement (Directors)+   8-K   001-32188   10.2   2/28/22    
                         
10.21   Form Stock Option Award Agreement (Employees)+   8-K   001-32188   10.3   2/28/22    
                         
10.22   Form Stock Option Award Agreement (Consultants)+   8-K   001-32188   10.4   2/28/22    
                         
10.25   At-the-Market Sales Agreement between the Company and Dawson James Securities dated October 11, 2024   8-K   001-32188   1.1   10/15/24    
                         
10.26   Janet Huffman Employment Agreement   8-K   001-32188   10.1   5/2/25    
                         
10.27   Form of Securities Purchase Agreement                   X
                         
21.1   Subsidiaries of Registrant   10-K   001-32188   21.1   3/24/22    
                         
23.1   Consent of Cherry Bekaert LLP, an Independent Public Accounting Firm                   X
                         
23.2   Consent of Shumaker, Loop & Kendrick, LLP (included in Exhibit 5.1)   S-1   333-288225   23.2   6/23/25    
                         
24.1   Powers of Attorney (included on signature page).   S-1   333-288225   24.1   6/23/25    
                         
107   Filing Fee Table   S-1   333-288225   107   6/23/25    

 

  * Confidential treatment has been granted as to certain portions of this exhibit pursuant to Rule 406 of the Securities Act of 1933, as amended, or Rule 24b-2 of the Securities Exchange Act of 1934, as amended.
     
  + Executive management contract or compensatory plan or arrangement.
     
  ** Furnished herewith and not deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and shall not be deemed to be incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Exchange Act (whether made before or after the date of the Form 10-Q), irrespective of any general incorporation language contained in such filing.

 

II-3

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, as amended, the registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized in the City of Sarasota, State of Florida on June 30, 2025.

 

  ORAGENICS, INC.
     
  By: /s/ Janet Huffman
    Janet Huffman
    President, Chief Executive (Principal Executive Officer) and Chief Financial Officer (Principal Financial Officer)

 

Pursuant to the requirements of the Securities Act of 1933, as amended, this registration statement has been signed below by the following persons in the capacities indicated and on June 30, 2025.

 

Signature   Title
     
/s/ Janet Huffman   President Chief Executive Officer (Principal Executive Officer) and Chief Financial Officer (Principal Financial Officer)
Janet Huffman    
     
*    
Charles L. Pope   Executive Chairman and Director
     
*    
Robert C. Koski   Director
     
*    
Frederick W. Telling   Director
     
*    
Alan W. Dunton   Director
     
*    
John Gandolfo   Director

 

By: /s/ Janet Huffman  
  Janet Huffman  
  Attorney-in-Fact  

 

II-4