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As Of Filer Filing For·On·As Docs:Size Issuer Agent 11/22/13 Kirk Randal J SC 13D/A 2:83K Oragenics Inc Summit Fin’l Printing Intrexon Corp Randal J. Kirk |
Document/Exhibit Description Pages Size 1: SC 13D/A Randal J Kirk SC 13D A No 3 11-20-2013 (Oragenics HTML 43K Inc) 2: EX-1 Underwriting Agreement HTML 7K
ORAGENICS, INC.
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(Name of Issuer)
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Common Stock, par value $0.001 per share
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(Title of Class of Securities)
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(CUSIP Number)
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Third Security, LLC
1881 Grove Avenue
Attention: Marcus E. Smith, Esq.
(540) 633-7900
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
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Copy to:
Intrexon Corporation
Attention: Legal
20374 Seneca Meadows Parkway
(301) 556-9809
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(Date of Event which Requires Filing of this Statement)
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CUSIP No. 684023104
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Page 2 of 6
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
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(a) o
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(b) x
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS
PF
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5
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
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o |
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
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7
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SOLE VOTING POWER
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||
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1,000,555
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8
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SHARED VOTING POWER
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8,140,425
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9
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SOLE DISPOSITIVE POWER
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1,000,555
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10
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SHARED DISPOSITIVE POWER
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8,140,425
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,140,980
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12
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CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
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o |
13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
26.2%
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14
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TYPE OF REPORTING PERSON
IN
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CUSIP No. 684023104
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Page 3 of 6
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Intrexon Corporation
I.R.S. IDENTIFICATION NO.: 26-0084895
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
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(a) o
|
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(b) x
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS
WC
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5
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CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
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o |
6
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CITIZENSHIP OR PLACE OF ORGANIZATION
Virginia
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
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7
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SOLE VOTING POWER
|
|
|
|
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0
|
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8
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SHARED VOTING POWER
|
|
|
8,140,425
|
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9
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SOLE DISPOSITIVE POWER
|
|
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0
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10
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SHARED DISPOSITIVE POWER
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8,140,425
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,140,425
|
|
12
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
o |
13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
23.3%
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14
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TYPE OF REPORTING PERSON
CO
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CUSIP No. 684023104
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Page 4 of 6
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Item 3. | Source and Amount of Funds or Other Consideration. |
Item 4. | Purpose of Transaction. |
Item 5. | Interest in Securities of the Issuer. |
CUSIP No. 684023104
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Page 5 of 6
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||||||||||||||||||||||||
Reporting Person
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Amount of Common Stock
Beneficially
Owned
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Percent
of Class
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Sole Power
to Vote or
Direct
the Vote
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Shared
Power to
Vote or
Direct
the Vote
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Sole Power to
Dispose or to
Direct the
Disposition
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Shared Power to
Dispose or to
Direct the
Disposition
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||||||||||||||||||
9,140,980
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26.2
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%
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1,000,555
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8,140,425
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1,000,555
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8,140,425
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||||||||||||||||||
Intrexon Corporation
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8,140,425
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23.3
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%
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—
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8,140,425
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—
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8,140,425
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Item 7. | Material to be Filed as Exhibits. |
Exhibit 1 | Joint Filing Agreement, dated as of November 22, 2013, by and between Mr. Kirk and Intrexon |
CUSIP No. 684023104
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Page 6 of 6
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Date: November 22, 2013
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/s/ Randal J. Kirk
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INTREXON CORPORATION
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By:
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/s/ Randal J. Kirk
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Chief Executive Officer
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Exhibit 1 | Joint Filing Agreement, dated as of November 22, 2013, by and between Mr. Kirk and Intrexon |
This ‘SC 13D/A’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 11/22/13 | 4 | ||
11/20/13 | 4, 8-K | |||
10/25/13 | 10-Q | |||
10/2/13 | 4, SC 13D/A | |||
9/30/13 | 10-Q, 4, 8-K, 8-K/A | |||
8/3/13 | ||||
7/31/12 | 4, 8-K | |||
6/12/12 | 3, SC 13D | |||
6/5/12 | 3, 4, 8-K | |||
List all Filings |