Filing Details
- Accession Number:
- 0001192482-21-000463
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-05-27 16:07:58
- Reporting Period:
- 2021-05-25
- Accepted Time:
- 2021-05-27 16:07:58
- 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 |
|---|---|---|---|---|---|---|---|
| 1540883 | Prabhavathi Fernandes | C/O Ocugen, Inc. 263 Great Valley Parkway Malvern PA 19355 | Yes | No | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-05-25 | 19,500 | $0.28 | 19,500 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-05-25 | 19,500 | $8.21 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-05-25 | 14,000 | $1.83 | 14,000 | No | 4 | M | Direct | |
| Commom Stock | Disposition | 2021-05-25 | 14,000 | $8.19 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Option (Right to Buy) | Disposition | 2021-05-25 | 19,500 | $0.00 | 19,500 | $0.28 |
| Common Stock | Option (Right to Buy) | Disposition | 2021-05-25 | 14,000 | $0.00 | 14,000 | $1.83 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 34,500 | 2030-04-05 | No | 4 | M | Direct | |
| 112,000 | 2031-01-01 | No | 4 | M | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $8.19 to $8.23. 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 separate price within the ranges set forth in this footnote.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $8.18 to $8.20. The Reporting Person undertakes to provide 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 separate price within the ranges set forth in this footnote.
- The option, initially representing a right to purchase a total of 54,000 shares, vests mothly in equal installments over three years commencing on May 5, 2020, subject to continued service with the Company through the applicable vesting dates.
- The option, initially representing a right to purchase a total of 126,000 shares, vests monthly in equal installments over three years commencing on February 1, 2021, subject to continued service with the Company through the applicable vesting dates.
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