ORAGENICS CFO files Form 3 with stock option stake

ORAGENICS INC Chief Financial Officer John Spencer filed an initial Form 3 reporting his beneficial ownership in company securities.

Rhea-AI Filing Summary

ORAGENICS INC Chief Financial Officer John Spencer filed an initial Form 3 reporting his beneficial ownership in company securities. The filing shows indirect ownership of 53 shares of common stock held by his spouse, and an employee stock option for 10,000 shares of common stock.

The option has an exercise price of $0.93 per share and expires on December 11, 2035. According to the award terms, one third of the options vest on the first anniversary of the grant date, with the remaining two thirds vesting in equal annual installments over the second and third anniversaries, subject to continued service.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Spencer John

Role Chief Financial Officer

Type	Security	Shares	Price	Value
holding	Employee Stock Option (right to buy)	--	--	--
holding	Common Stock	--	--	--

Holdings After Transaction: Employee Stock Option (right to buy) — 10,000 contracts (Direct); Common Stock — 53 shares (Indirect, By Spouse)

Footnotes (1)

1. F1. Represents an award of options to purchase shares of the Company's Common Stock under the Company's 2021 Equity Incentive Plan, as amended. One third of the options vest on the first anniversary of the grant date and the remainder of the options subsequently vest in equal annual installments over the second and third anniversary of the grant date upon the continued performance of services by the Reporting Person to the Company through the vesting dates. The option exercise price is the Company's closing price on the date of grant.

Key Figures

Indirect common shares: 53 shares Stock option size: 10,000 shares Option exercise price: $0.93 per share +1 more

4 metrics

Indirect common shares 53 shares Indirect ownership by spouse, common stock

Stock option size 10,000 shares Employee Stock Option (right to buy) underlying common shares

Option exercise price $0.93 per share Exercise price for employee stock option

Option expiration December 11, 2035 Expiration date of stock option grant

Key Terms

Form 3, Employee Stock Option (right to buy), 2021 Equity Incentive Plan, vesting, +1 more

5 terms

Form 3 regulatory

"Chief Financial Officer John Spencer filed an initial Form 3 reporting his beneficial ownership"

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

Employee Stock Option (right to buy) financial

"security_title: Employee Stock Option (right to buy) with underlying common stock"

2021 Equity Incentive Plan financial

"Represents an award of options to purchase shares under the Company's 2021 Equity Incentive Plan, as amended"

vesting financial

"One third of the options vest on the first anniversary, with the remainder vesting over the second and third anniversaries"

Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.

exercise price financial

"The option exercise price is the Company's closing price on the date of grant"

The exercise price is the fixed amount at which you can buy or sell an asset, like a stock, when using an options contract. It matters because it helps determine whether exercising the option will be profitable or not, depending on the current market price. Think of it as the set price you agree on today to buy or sell later.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 3 filing by ORAGENICS INC (OGEN) CFO John Spencer show?

The Form 3 shows John Spencer’s initial beneficial ownership in ORAGENICS securities, including 53 common shares held indirectly through his spouse and an employee stock option for 10,000 common shares with a $0.93 exercise price and long-dated expiration.

How many ORAGENICS (OGEN) shares does John Spencer indirectly own via his spouse?

John Spencer reports indirect ownership of 53 shares of ORAGENICS common stock through his spouse. This reflects beneficial ownership rather than a new transaction and forms part of his overall reported stake in the company’s equity.

What are the key terms of John Spencer’s 10,000-share stock option in ORAGENICS (OGEN)?

The reported employee stock option covers 10,000 ORAGENICS common shares at a $0.93 exercise price, expiring December 11, 2035. One third vests after one year, with the remaining two thirds vesting in equal installments over the following two years, subject to continued service.

Is John Spencer’s stock option in ORAGENICS (OGEN) a new acquisition or a reported holding?

In this Form 3, the 10,000-share stock option is reported as a holding rather than a new transaction. The footnote explains it represents an award under the 2021 Equity Incentive Plan with a multi-year vesting schedule tied to continued service.

How does the vesting schedule work for John Spencer’s ORAGENICS (OGEN) stock options?

One third of the 10,000 options vest on the first anniversary of the grant date. The remaining options vest in equal annual installments over the second and third anniversaries, provided John Spencer continues performing services for ORAGENICS through each vesting date.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 07/07/2026 - 05:43 PM EDT Learn about SEC filing dates

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Spencer John

(Last) (First) (Middle)

9015 TOWN CENTER PARKWAY, SUITE 143

(Street)

LAKEWOOD RANCH FLORIDA 34202

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
07/01/2026

3. Issuer Name and Ticker or Trading Symbol
ORAGENICS INC [ OGEN ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Financial Officer

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	53	I	By Spouse

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Employee Stock Option (right to buy)	(1)	12/11/2035	Common Stock	10,000	$0.93	D

Explanation of Responses:

1. Represents an award of options to purchase shares of the Company's Common Stock under the Company's 2021 Equity Incentive Plan, as amended. One third of the options vest on the first anniversary of the grant date and the remainder of the options subsequently vest in equal annual installments over the second and third anniversary of the grant date upon the continued performance of services by the Reporting Person to the Company through the vesting dates. The option exercise price is the Company's closing price on the date of grant.

	/s/ Julio C. Esquivel as Attorney-In-Fact for Reporting Person	07/07/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)