Filing Details

Accession Number:
0001062993-23-001081
Form Type:
4
Zero Holdings:
No
Publication Time:
2023-01-19 16:12:21
Reporting Period:
2023-01-17
Accepted Time:
2023-01-19 16:12:21
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
1791820 Shankar Musunuri C/O Ocugen, Inc.
11 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 Explanation
Common Stock Acquisiton 2023-01-17 100,000 $0.51 2,327,950 No 4 M Direct
Common Stock Disposition 2023-01-17 100,000 $1.28 2,227,950 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2023-01-17 100,000 $0.00 100,000 $0.51
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
326,543 2030-01-02 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,145,299 Indirect By: KVM Holdings, LLC
Footnotes
  1. This sale reported on this Form 4 was 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 $1.27 to $1.31. 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.
  3. The Reporting Person is a member and officer of KVM Holdings, LLC and has voting and investment power over the shares held by KVM Holdings, LLC.
  4. The options, initially representing a right to purchase 933,528 shares, vest and become exercisable in equal annual installments over three years commencing on January 2, 2021, subject to continued service with the Company on the applicable vesting dates.