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 |
II-1 |
II-2 |
* | 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 |