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
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
  2. 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.
  3. 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.
  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.
  5. All of the options became exerciable immediately upon grant.
  6. 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.
  7. 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.