Filing Details
- Accession Number:
- 0001192482-21-000388
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-05-03 13:00:00
- Reporting Period:
- 2021-04-29
- Accepted Time:
- 2021-05-03 20:53:08
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1372299 | Ocugen Inc. | OCGN | Biological Products, (No Disgnostic Substances) (2836) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1791822 | Vijay Tammara | C/O Ocugen, Inc. 263 Great Valley Parkway Malvern PA 19355 | Senior Vice President | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Comm Stock | Acquisiton | 2021-04-29 | 9,000 | $0.46 | 9,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-04-29 | 9,000 | $10.97 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-04-29 | 3,000 | $2.94 | 3,000 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-04-29 | 3,000 | $10.99 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-04-29 | 12,880 | $0.51 | 12,880 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-04-29 | 12,880 | $10.96 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-04-29 | 5,111 | $0.57 | 5,111 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-04-29 | 5,111 | $10.96 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-05-03 | 4,317 | $0.46 | 4,317 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-03 | 4,317 | $16.00 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Options (Right to Buy) | Disposition | 2021-04-29 | 9,000 | $0.00 | 9,000 | $0.46 |
| Common Stock | Options (Right to Buy) | Disposition | 2021-04-29 | 3,000 | $0.00 | 3,000 | $2.94 |
| Common Stock | Options (Right to Buy) | Disposition | 2021-04-29 | 12,880 | $0.00 | 12,880 | $0.51 |
| Common Stock | Options (Right to Buy) | Disposition | 2021-04-29 | 5,111 | $0.00 | 5,111 | $0.57 |
| Common Stock | Options (Right to Buy) | Disposition | 2021-05-03 | 4,317 | $0.00 | 4,317 | $0.46 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 9,217 | 2024-09-18 | No | 4 | M | Direct | |
| 4,191 | 2026-04-26 | No | 4 | M | Direct | |
| 64,761 | 2030-01-02 | No | 4 | M | Direct | |
| 44,889 | 2030-08-14 | No | 4 | M | Direct | |
| 4,900 | 2024-09-18 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.86 to $11.06. The Reporting Person undertakes to provide Ocugen, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnotes (2) - (4) to this Form 4.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.86 to $11.07.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.86 to $11.07.
- All of the options became exerciable immediately upon grant.
- 34,507 shares under the option are exercisable. The option, initially representing a right to purchase a total of 77,641 shares, vests and becomes exercisable over three years commencing on January 2, 2021, subject to continued service with the Company on the applicable vesting dates.
- 111,111 shares under the option are exercisable. The option, initially representing a right to purchase a total of 50,000 shares, vests and becomes exercisable over three years commencing on August 14, 2020, subject to continued service with the Company on the applicable vesting dates.
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