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
  1. 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.
  2. 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.
  3. 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.
  4. 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.