ORAGENICS INC (OGEN): Nasdaq/NYSE listing notice — Oragenics settles Ladenburg dispute for $700K; regains NYSE American compliance

ORAGENICS INC

Paid $700K to Ladenburg Thalmann to settle $2.5M fee dispute; mutual release and arbitration dismissal.
Regained compliance with NYSE American Section 1003(a) as stockholders' equity exceeds $6M as of Oct 18, 2025.
Compliance restored after $16.5M Series H Preferred Stock offering in July 2025; .BC indicator to be removed.
Company now focusing on advancing ONP-002 concussion treatment into Phase IIa trials in Australia and planning U.S. Phase IIb.

Key facts

Extracted from this filing and checked against the source text.

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.9

ORAGENICS INC received a nyse_american deficiency notice notice regarding stockholders equity (rules 1003(a)(i), 1003(a)(ii), 1003(a)(iii)).

Exchange: nyse american
Notice: deficiency notice
Deficiency: stockholders equity
Rules: 1003(a)(i), 1003(a)(ii), 1003(a)(iii)

Exact text from the filing

April 16, 2024 and August 13, 2024, the Company received deficiency letters from the NYSE American indicating that it was not in compliance with the continued listing standards set forth in Sections 1003(a)(i), (ii) and (iii) of the NYSE American Company Guide (the “ Company Guide ”). Section 1003(a)(i) requires stockholders’ equity of no less than $2,000,000 if the Company has sustained losses from continuing operations and/or net losses in two of its three most recent fiscal years. Section 1003(a)(ii) requires a listed company to have stockholders’ equity of $4 million or more if the listed

View on SEC.gov

8 listing & compliance notices filed in the last 30 days. Browse all listing & compliance notices →

ORAGENICS INC filing history →

Source: SEC EDGAR

accession 0001493152-25-018725

view filing index on sec.gov

view primary document

Machine-readable: JSON · Markdown · Plain text

This headline and bullets were generated automatically by deepseek-v4-flash:cloud@v2 from the public filing. Read the source on SEC.gov before relying on any specific claim. Not investment advice. See methodology for how this pipeline works.