SEC Comment Letter for ORAGENICS INC (OGEN) (CIK 0001174940) (OGEN) — Aug 31, 2016
ORAGENICS INC (OGEN) (CIK 0001174940)
Date: Aug. 31, 2016 · CIK: 0001174940 · Accession: 0000000000-16-090828
AI Filing Summary & Sentiment
File numbers found in text: 333-213321
Show Raw Text
Mail Stop 4546 August 31 , 2016 Alan Joslyn Chief Executive Officer and President Oragenics, Inc. 4902 Eisenhower Boulevard, Suite 125 Tampa, FL 33634 Re: Oragenics, Inc. Registration Statement on Form S -3 Filed August 25, 2016 File No. 333-213321 Dear Mr. Joslyn : We have limited our review of your registration statement to the issue we have addressed in our comment. In our comment , we may ask you to provide us with information so we may better understand your disclosure. Please respond to this letter by amending your registration statement and providing the requested information . If you do not believe our comment applies to your facts and circumstances or do not believe an amendment is appropriate, please tell us why in your response. After reviewing any amendment to your registration statement and the information you provide in response to this comment , we may have additional comments. Exhibit 5.1 – Opinion of Shumaker, Loop & Kendrick, LLP 1. We note that you are registering units under the registration statement. Please have counsel revise the legality opinion to cover these units. For guidance, please see Part II.B.1.h. of Staff Legal Bulletin No. 19 . We urge all persons who are responsible for the a ccuracy and adequacy of the disclosure in the filing to be certain that the filing includes the information the Securities Act of 193 3 and all applicable Securities Act rules require. Since the company and its management are in possession of all facts rel ating to a company’s disclosure, they are responsible for the accuracy and adequacy of the disclosures they have made. Alan Joslyn Oragenics , Inc. August 31 , 2016 Page 2 Notwithstanding our comments, in the event you request acceleration of the effective date of the pending registration statement , pleas e provide a written statement from the company acknowledging that: should the Commission or the staff, acting pursuant to delegated authority, declare the filing effective, it does not foreclose the Commission from taking any action with respect to the fi ling; the action of the Commission or the staff, acting pursuant to delegated authority, in declaring the filing effective, does not relieve the company from its full responsibility for the adequacy and accuracy of the disclosure in the filing; and the company may not assert staff comments and the declaration of effectiveness as a defense in any proceeding initiated by the Commission or any person under the federal securities laws of the United States. Please refer to Rules 460 and 461 regarding requests for acceleration . We will consider a written request for acceleration of the effective date of the registration statement as confirmation of the fact that those requesting acceleration are aware of their respective responsibilities under the Secu rities Act of 1933 and the Securities Exchange Act of 1934 as they relate to the proposed public offering of the securities specified in the above registration statement. Please allow adequate time for us to review any amendment prior to the requested eff ective date of the registration statement. Please contact Josh Samples at (202) 551 -3199 or Joseph McCann at (202) 551 -6262 with any questions. Sincerely, /s/ Joseph McCann for Suzanne Hayes Assistant Director Office of Healthcare and Insurance cc: Mark A. Catchur , Esq. Shumaker, Loop & Kendrick, LLP