Filing Details
- Accession Number:
- 0001797537-21-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-06-17 17:23:17
- Reporting Period:
- 2021-06-15
- Accepted Time:
- 2021-06-17 17:23:17
- 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 |
---|---|---|---|---|---|---|---|
1797537 | Manish Potti | 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 | 2021-06-15 | 95,880 | $6.30 | 159,309 | No | 4 | X | Indirect | Held by Scotland Parkway LLC |
Common Stock | Disposition | 2021-06-15 | 68,185 | $8.86 | 91,124 | No | 4 | S | Indirect | Held by Scotland Parkway LLC |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | X | Indirect | Held by Scotland Parkway LLC |
No | 4 | S | Indirect | Held by Scotland Parkway LLC |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrant (Right to Buy) | Disposition | 2021-06-15 | 95,880 | $0.00 | 95,880 | $6.30 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2019-09-27 | 2026-12-15 | No | 4 | X | Indirect |
Footnotes
- The Reporting Person is a managing member of Scotland Parkway LLC and has voting and investment power over securities held by Scotland Parkway LLC.
- On June 15, 2021, the Reporting Person exercised a warrant to purchase 95,880 shares of common stock for $6.30 a share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Company's withholding of 68,185 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 27,695 shares. The Company also paid $4.89 to the Reporting Person in lieu of a fractional share.