SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED PURSUANT
TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS
THERETO FILED
PURSUANT TO § 240.13d-2.
(Amendment No. )*
Oragenics,
Inc.
(Name of Issuer)
Common Stock,
par value $0.001 per share
(Title of Class of Securities)
684023500
(CUSIP Number)
September
5, 2024
(Date of Event Which Requires Filing
of this Statement)
Check the appropriate box to designate the rule pursuant to which
this Schedule is filed:
o |
Rule 13d-1(b) |
x |
Rule 13d-1(c) |
o |
Rule 13d-1(d) |
*The remainder of this cover page shall be filled out for a
reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment
containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall
not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (“Act”)
or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however,
see the Notes).
CUSIP No: 684023500 |
(1) |
Names of Reporting Persons
Iroquois Capital Management L.L.C. |
(2) |
Check the Appropriate Box if a Member of a Group (See Instructions) |
|
(a) |
o |
|
(b) |
o |
(3) |
SEC Use Only |
(4) |
Citizenship or Place of Organization
Delaware |
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With |
(5) |
Sole Voting Power
0 |
|
(6) |
Shared Voting Power
606,818 shares of Common Stock
75,000 shares of Common Stock issuable upon exercise of Pre-Funded Warrants (See Item 4)*
|
|
(7) |
Sole Dispositive Power
0 |
|
(8) |
Shared Dispositive Power
606,818 shares of Common Stock
75,000 shares of Common Stock issuable upon exercise of Pre-Funded Warrants (See Item 4)*
|
(9) |
Aggregate Amount Beneficially Owned by Each Reporting Person
606,818 shares of Common Stock
75,000 shares of Common Stock issuable upon exercise of
Pre-Funded Warrants (See Item 4)*
|
(10) |
Check Box if the Aggregate Amount in Row
(9) Excludes Certain Shares (See Instructions) o |
(11) |
Percent of Class Represented by Amount in
Row (9)
7.0% |
(12) |
Type of Reporting Person (See Instructions)
OO |
* As more fully described in Item 4, the Pre-Funded Warrants
are subject to a 9.99% blocker and the percentage set forth in row (11) gives effect to such blocker. However, as more fully described
in Item 4, the securities reported in rows (6), (8) and (9) show the number of shares of Common Stock that would be issuable upon
full exercise of such reported securities and do not give effect to such blocker. Therefore, the actual number of shares of Common
Stock beneficially owned by such Reporting Person, after giving effect to such blocker, is less than the number of securities reported
in rows (6), (8) and (9).
CUSIP No: 684023500 |
(1) |
Names of Reporting Persons
Richard Abbe |
(2) |
Check the Appropriate Box if a Member of a Group (See Instructions) |
|
(a) |
o |
|
(b) |
o |
(3) |
SEC Use Only |
(4) |
Citizenship or Place of Organization
United States of America |
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With |
(5) |
Sole Voting Power
202,272 shares of Common Stock
25,000 shares of Common Stock issuable upon exercise of
Pre-Funded Warrants (See Item 4)*
|
|
(6) |
Shared Voting Power
606,818 shares of Common Stock
75,000 shares of Common Stock issuable upon exercise of
Pre-Funded Warrants (See Item 4)*
|
|
(7) |
Sole Dispositive Power
202,272 shares of Common Stock
25,000 shares of Common Stock issuable upon exercise of
Pre-Funded Warrants (See Item 4)*
|
|
(8) |
Shared Dispositive Power
606,818 shares of Common Stock
75,000 shares of Common Stock issuable upon exercise of
Pre-Funded Warrants (See Item 4)*
|
(9) |
Aggregate Amount Beneficially Owned by Each Reporting Person
809,090 shares of Common Stock
100,000 shares of Common Stock issuable upon exercise of
Pre-Funded Warrants (See Item 4)*
|
(10) |
Check Box if the Aggregate Amount in Row
(9) Excludes Certain Shares (See Instructions) o |
(11) |
Percent of Class Represented by Amount in
Row (9)
9.99% |
* As more fully described in Item 4, the Pre-Funded Warrants
are subject to a 9.99% blocker and the percentage set forth in row (11) gives effect to such blocker. However, as more fully described
in Item 4, the securities reported in rows (6), (8) and (9) show the number of shares of Common Stock that would be issuable upon
full exercise of such reported securities and do not give effect to such blocker. Therefore, the actual number of shares of Common
Stock beneficially owned by such Reporting Person, after giving effect to such blocker, is less than the number of securities reported
in rows (6), (8) and (9).
CUSIP No: 684023500 |
(1) |
Names of Reporting Persons
Kimberly Page |
(2) |
Check the Appropriate Box if a Member of a Group (See Instructions) |
|
(a) |
o |
|
(b) |
o |
(3) |
SEC Use Only |
(4) |
Citizenship or Place of Organization
United States of America |
Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With |
(5) |
Sole Voting Power
0 |
|
(6) |
Shared Voting Power
606,818 shares of Common Stock
75,000 shares of Common Stock issuable upon exercise of
Pre-Funded Warrants (See Item 4)*
|
|
(7) |
Sole Dispositive Power
0 |
|
(8) |
Shared Dispositive Power
606,818 shares of Common Stock
75,000 shares of Common Stock issuable upon exercise of
Pre-Funded Warrants (See Item 4)*
|
|
|
(9) |
Aggregate Amount Beneficially Owned by Each Reporting Person
606,818 shares of Common Stock
75,000 shares of Common Stock issuable upon exercise of
Pre-Funded Warrants (See Item 4)*
|
(10) |
Check Box if the Aggregate Amount in Row
(9) Excludes Certain Shares (See Instructions) o |
(11) |
Percent of Class Represented by Amount in
Row (9)
7.0% |
(12) |
Type of Reporting Person (See Instructions)
IN |
* As more fully described in Item 4, the Pre-Funded Warrants
are subject to a 9.99% blocker and the percentage set forth in row (11) gives effect to such blocker. However, as more fully described
in Item 4, the securities reported in rows (6), (8) and (9) show the number of shares of Common Stock that would be issuable upon
full exercise of such reported securities and do not give effect to such blocker. Therefore, the actual number of shares of Common
Stock beneficially owned by such Reporting Person, after giving effect to such blocker, is less than the number of securities reported
in rows (6), (8) and (9).
CUSIP
No: 684023500 |
|
Item 1. |
|
(a) |
Name of Issuer
Oragenics, Inc. (the “Company”) |
|
(b) |
Address of Issuer’s Principal Executive Offices
1990 Main Street
Suite 750
Sarasota, FL 34236 |
|
Item 2 (a). |
Name of Person Filing |
Item 2 (b). |
Address of Principal Business
Office or, if none, Residence |
Item 2 (c). |
Citizenship
This Schedule 13G is being filed on behalf of (i) Iroquois
Capital Management L.L.C., a Delaware limited liability company (“Iroquois”), (ii) Richard Abbe, an individual
who is a citizen of the United States of America and (iii) Kimberly Page, an individual who is a citizen of the United
States of America (“Mr. Abbe” and “Ms. Page,” together with Iroquois, the “Reporting Persons”).
The Reporting Persons have entered into a Joint Filing
Agreement, a copy of which is filed with this Schedule 13G as Exhibit 1, pursuant to which the Reporting Persons have
agreed to file this Schedule 13G jointly in accordance with the provisions of Rule 13d-1(k) of the Securities Exchange
Act of 1934, as amended.
The principal business office of all of the Reporting Persons
is 2 Overhill Road, Scarsdale, New York 10583.
|
Item 2 (d) |
Title of Class of Securities
Common Stock, par value $0.001 per share
|
Item 2 (e) |
CUSIP Number
684023500
|
Item 3. |
If this statement is filed pursuant to §§240.13d-1(b)
or 240.13d-2(b) or (c), check whether the person filing is a:
Not applicable. |
|
(a) |
o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
|
(b) |
o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
|
(c) |
o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). |
|
(d) |
o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). |
|
(e) |
o |
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
|
(f) |
o |
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); |
|
(g) |
o |
A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); |
|
(h) |
o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
|
(i) |
o |
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
|
(j) |
o |
A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J); |
|
(k) |
o |
Group, in accordance with Rule 13d-1(b)(1)(ii)(K). If filing
as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution: |
Item 4. Ownership
Provide the following information regarding the aggregate number
and percentage of the class of securities of the issuer identified in Item 1.
The information as of the date of the event which requires filing
of this statement required by Items 4(a) – (c) is set forth in Rows 5 – 11 of the cover page for each Reporting Person
hereto and is incorporated herein by reference for each such Reporting Person. The percentage set forth in Row 11 of the cover
page for each Reporting Person is based on 8,659,071 shares of Common Stock issued and outstanding as of September 5, 2024 as represented
in the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on September 5, 2024, and assumes
the exercise of the Company’s reported pre-funded warrants (the “Reported Pre-Funded Warrants”), subject to the
Blocker (as defined below).
Pursuant to the terms of the Reported
Pre-Funded Warrants, the Reporting Persons cannot exercise the Pre-Funded Warrants to the extent the Reporting Persons would beneficially
own, after any such exercise, more than 9.99% of the outstanding shares of Common Stock (the
“Blocker”), and the percentage set forth in Row 11 of the cover page for each Reporting Person gives effect to the
Blocker. Consequently, as of the date of the event which requires the filing of this statement, the Reporting Persons were not
able to exercise all of the Reported Pre-Funded Warrants due to the Blocker.
As of the date of the event which requires filing of this statement,
Iroquois Master Fund Ltd. (“Iroquois Master Fund”) held 606,818 shares of Common Stock and Pre-Funded Warrants to purchase
75,000 shares of Common Stock (subject to the Blocker), and Iroquois Capital Investment Group LLC (“ICIG”) held 202,272
shares of Common Stock and Pre-Funded Warrants to purchase 25,000 shares of Common (subject to the Blocker).
Mr. Abbe shares authority and responsibility for the investments
made on behalf of Iroquois Master Fund with Ms. Kimberly Page, each of whom is a director of the Iroquois Master Fund. As such,
Mr. Abbe and Ms. Page may each be deemed to be the beneficial owner of all shares of Common Stock held by and underlying the Pre-Funded
Warrants (subject to the Blocker) held by, Iroquois Master Fund. Iroquois Capital is the investment advisor for Iroquois Master
Fund and Mr. Abbe is the President of Iroquois Capital. Mr. Abbe has the sole authority and responsibility for the investments
made on behalf of ICIG. As such, Mr. Abbe may be deemed to be the beneficial owner of all shares of Common Stock held by and underlying
the Pre-Funded Warrants (subject to the Blocker) held by, Iroquois Master Fund and ICIG. The foregoing should not be construed
in and of itself as an admission by any Reporting Person as to beneficial ownership of shares of Common Stock owned by another
Reporting Person. Each of the Reporting Persons hereby disclaims any beneficial ownership of any such shares of Common Stock except
to the extent of their pecuniary interest therein.
Item 5. Ownership
of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the
date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check
the following: o
Item 6. Ownership
of More than Five Percent on Behalf of Another Person
Not applicable.
Item 7. Identification
and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person
Not applicable.
Item 8. Identification
and Classification of Members of the Group
See Exhibit 1.
Item 9. Notice
of Dissolution of Group
Not applicable.
Item 10. Certification
By signing below each of the undersigned certifies that, to the
best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with
the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection
with or as a participant in any transaction having that purpose or effect.
SIGNATURES
After reasonable inquiry and to the best of
my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: September 10, 2024 |
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IROQUOIS CAPITAL MANAGEMENT L.L.C. |
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By: |
/s/ Richard Abbe |
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Richard Abbe, President |
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/s/ Richard Abbe |
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Richard Abbe |
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/s/ Kimberly Page |
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Kimberly Page |
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EXHIBIT INDEX
Exhibit 1 Joint Filing Agreement
as required by Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended.
Exhibit 1
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k)(1)
The undersigned acknowledge and agree that the foregoing statement
on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule
13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing statements.
The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and
accuracy of the information concerning him, her or it contained herein, but shall not be responsible for the completeness and accuracy
of the information concerning the other entities or persons, except to the extent that he, she or it knows or has reason to believe
that such information is inaccurate.
Date: September 10, 2024 |
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IROQUOIS CAPITAL MANAGEMENT L.L.C. |
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By: |
/s/ Richard Abbe |
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Richard Abbe, President |
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/s/ Richard Abbe |
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Richard Abbe |
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/s/ Kimberly Page |
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Kimberly Page |
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117565064v.1
Oragenics (AMEX:OGEN)
과거 데이터 주식 차트
부터 12월(12) 2024 으로 1월(1) 2025
Oragenics (AMEX:OGEN)
과거 데이터 주식 차트
부터 1월(1) 2024 으로 1월(1) 2025