NOTICE OF DELISTING OR FAILURE TO SATISFY A CONTINUED LISTING RULE OR STANDARD; TRANSFER OF LISTING. On August 26, 2026, Oragenics, Inc. (the “ Company ”) received notification (the “ Notice ”) from the NYSE American LLC (the “ NYSE American ”) that the Company is no longer in compliance with NYSE American’s continued listing standards. Specifically, the letter states that the Company is not in compliance with the continued listing standards set forth in Sections 1003(a)(ii) and 1003(a)(iii)…

ENTRY INTO A MATERIAL DEFINITIVE AGREEMENT Effective July 1, 2026, the Board of Directors (the “Board”) of Oragenics, Inc. (the “Company”) appointed John Spencer, the Company’s Senior Controller, to serve as the Company’s Chief Financial Officer, and, in connection therewith, effective July 1, 2026, the Company entered into an Executive Employment Agreement with Mr. Spencer (the “Employment Agreement”). The Employment Agreement provides for base compensation of $200,000. The Employment Agreem…

Chief Financial Officer — John Spencer: John Spencer was promoted to Chief Financial Officer from Senior Controller.

OTHER INFORMATION. On March 10, 2026, Oragenics, Inc. (the “Company”) issued a press release announcing that it had received final Human Research Ethics Committee (HREC) approval in Australia to commence the Company’s Phase IIa clinical trial evaluating the Company’s lead drug candidate, ONP-002, for the treatment of concussion and mild traumatic brain injury (mTBI). On March 11, 2026, the Company issued a press release announcing that the Company is exploring discussions with third parties r…

The filing details compensation arrangements and stock option awards for executives and directors.

Entry into a Material Definitive Agreement On October 16, 2025, the Company entered into a Settlement Agreement (the “ Settlement Agreement ”) with Ladenburg Thalmann & Co., Inc. (“ Ladenburg ”), pursuant to which the Company and Ladenburg agreed to settle all claims between the parties, including those arising under the Investment Banking Agreement between the parties dated December 7, 2022 (the “ IB Agreement ”). As previously reported, Ladenburg claimed it was due $2,500,000 in connection…

Notice of Delisting or Failure to Satisfy A Continued Listing Rule or Standard; Transfer of Listing. On October 20, 2025, Oragenics, Inc. (the “ Company ”) received a letter from the NYSE American informing the Company it has regained compliance with the stockholder’s equity requirements of the NYSE American continued listing standards. As such, it is expected that at the opening of trading on October 21, 2025, the below compliance (“.BC”) indicator will be removed and the Company will be rem…

Director — Natasha Giordano: Ms. Natasha Giordano was appointed to the Board of Directors.

MATERIAL MODIFICATION TO RIGHTS OF SECURITY HOLDERS. The matters described in

ENTRY INTO A MATERIAL DEFINITIVE AGREEMENT. Public Offering On July 1, 2025, Oragenics, Inc. (the “Company”) entered into a placement agency agreement (the “ Placement Agency Agreement ”) with Dawson James Securities Inc. (“ Dawson James ” or the “ Placement Agent ”) pursuant to which the Company engaged Dawson James as the placement agent for a registered public offering by the Company (the “ Offering ”) of an aggregate of (i) 660,000 shares of the Company’s newly designated Series H Convert…

Material Modification to the Rights of Security Holders. Reverse Stock Split To the extent required by

The filing pertains to compensatory arrangements of certain officers, not a management change.

ENTRY INTO A MATERIAL DEFINITIVE AGREEMENT On May 2, 2025, the Board of Directors (the “Board”) of Oragenics, Inc. (the “Company”) appointed Janet Huffman, the Company’s Chief Financial Officer and Interim Chief Executive Officer, to serve as the Company’s Chief Executive Officer, in addition to continuing to serve as its Chief Financial Officer, and, in connection therewith, effective May 2, 2025, the Company entered into an Executive Employment Agreement with Ms. Huffman (the “Employment Ag…

ENTRY INTO A MATERIAL DEFINITIVE AGREEMENT On January 16, 2025, the Board of Directors (the “Board”) of Oragenics, Inc. (the “Company”) appointed Ms. Janet Huffman, the Company’s Chief Financial Officer and Interim Principal Executive Officer, to also serve as the Company’s Interim Chief Executive Officer effective as of January 16, 2025, and in connection therewith, the Board of Directors determined that, effective January 16, 2025, Ms. Huffman’s employment agreement would be modified to (i)…

Director — Bruce Cassidy: Mr. Bruce Cassidy resigned as director to pursue other opportunities.

Termination of Material Definitive Agreement. On November 26, 2024, Oragenics, Inc. (the “Company”) notified its President, J. Michael Redmond (“Executive”), that it was not renewing his Employment Agreement (the “Agreement”) dated December 28, 2023. The initial term of the Agreement is one year. However, pursuant to the Agreement, the initial term automatically renews for one additional year unless either party provides the other party with a notice of non-renewal at least 30 days prior to t…

ENTRY INTO A MATERIAL DEFINITIVE AGREEMENT. On October 11, 2024, Oragenics, Inc. (the “Company”) entered into an At-the-Market Sales Agreement (the “Sales Agreement”) with Dawson James Securities Inc. (“Dawson James” or the “Sales Agent”) pursuant to which the Company may issue and sell, from time to time, shares of its common stock (the “Shares”), depending on market demand, with the Sales Agent acting as the sales agent or principal (the “Offering”). Sales of the Shares may be made by any m…

The filing describes compensatory stock option awards to executive officers, not a management change.

ENTRY INTO A MATERIAL DEFINITIVE AGREEMENT. On September 4, 2024, Oragenics, Inc. (the “Company”) entered into a placement agency agreement (the “Placement Agency Agreement”) with Dawson James Securities Inc. (“Dawson James” or the “Placement Agent”) pursuant to which the Company engaged Dawson James as the placement agent for a registered public offering by the Company (the “Offering”) of an aggregate of (i) 8,106,584 shares of its common stock, par value $0.001 per share (“Common Stock”), o…

NOTICE OF DELISTING OR FAILURE TO SATISFY A CONTINUED LISTING RULE OR STANDARD; TRANSFER OF LISTING. On August 16, 2024, Oragenics, Inc. (the “Company”) issued a press release announcing it received a notice from the NYSE American indicating that the Company remains in non-compliance with the Section 1003(a) of the NYSE American’s continued listing standards. As previously disclosed, on April 16, 2024, the NYSE American notified the Company that it was not in compliance with subsections (ii)…

ENTRY INTO A MATERIAL DEFINITIVE AGREEMENT. On June 25, 2024, Oragenics, Inc. (the “Company”), entered into a placement agency agreement (the “Placement Agency Agreement”) with Dawson James Securities Inc. (“Dawson James” or the “Placement Agent”) pursuant to which the Company engaged Dawson James as the placement agent for a registered public offering by the Company (the “Offering”) of an aggregate of 1,100,000 shares of the Company’s common stock, par value $0.001 (“Common Stock”). The offe…

NOTICE OF DELISTING OR FAILURE TO SATISFY A CONTINUED LISTING RULE OR STANDARD ; TRANSFER OF LISTING. On June 18, 2024, Oragenics, Inc. (the “Company”) was notified by NYSE American LLC (“NYSE American”) that the Company’s plan to regain compliance with NYSE American’s continued listing standards had been accepted. The Company was required to submit a plan to NYSE American by May 18, 2024 addressing how it intends to regain compliance with Sections 1003(a)(ii) and 1003(a)(iii) of the Company…

NOTICE OF DELISTING OR FAILURE TO SATISFY A CONTINUED LISTING RULE OR STANDARD; TRANSFER OF LISTING. On April 18, 2024, Oragenics, Inc. (the “Company”) received notification (the “Notice”) from the NYSE American LLC (the “NYSE American”) that the Company is no longer in compliance with NYSE American’s continued listing standards. Specifically, the letter states that the Company is not in compliance with the continued listing standards set forth in Sections 1003(a)(ii) and 1003(a)(iii) of the…

ENTRY INTO A MATERIAL DEFINITIVE AGREEMENT. On February 27, 2024, Oragenics, Inc. (“Oragenics” or the “Company”) entered into an underwriting agreement (the “Underwriting Agreement”) with ThinkEquity LLC, as representative (the “Representative”) of the underwriters named therein (collectively, the “Underwriters”), relating to the issuance and sale (the “Offering”) of 1,400,000 shares of the Company’s common stock at a price to the public of $1.50 per share (the “Underwritten Shares”). Under t…

UNREGISTERED SALES OF EQUITY SECURITIES In connection with the issuance of the Representative’s Warrants, the Company relied upon the exemption from registration provided under Section 4(a)(2) of the Securities Act of 1933, as amended, for transactions not involving a public offering.