Home > Insider Trading > Filing (0001790246-21-000001)

Filing Details

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
1791820	Shankar Musunuri	C/O Ocugen, Inc. 263 Great Valley Parkway Malvern PA 19355	Chief Executive Officer	Yes	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
Common Stock	Acquisiton	2021-06-07	7,758	$0.33	413,758	No	4	M	Direct
Common Stock	Disposition	2021-06-07	7,758	$10.94	406,000	No	4	S	Direct
Common Stock	Acquisiton	2021-06-08	22,800	$0.33	428,800	No	4	M	Direct
Common Stock	Disposition	2021-06-08	22,800	$10.98	406,000	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
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	2021-06-07	7,758	$0.00	7,758	$0.33
Common Stock	Option (Right to Buy)	Disposition	2021-06-08	22,800	$0.00	22,800	$0.33

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,349,387	2020-05-07	2030-05-07	No	4	M	Direct
1,326,587	2020-05-07	2030-05-07	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	1,375,299	Indirect	By: KVM Holdings LLC

Footnotes

The sale reported in this Form 4 was 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. These shares were sold in multiple transactions in prices ranging from $10.94 to $11.04, inclusive. 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 Reporting Person is a member and officer of KVM Holdings, LLC and has voting and investment power power over the shares held by KVM Holdings, LLC.
The option, initially exercisable for 1,357,145 shares of common stock, vests annually in equal installments over three years commencing on May 7, 2021, subject to continued employment with the Company on the applicable vesting dates.