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Ocugen, Inc. — Director's Dealing 2014
Dec 3, 2014
32915_dirs_2014-12-02_264a7553-7025-4ed4-8659-7f5b9d58a48f.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: HISTOGENICS CORP (HSGX)
CIK: 0001372299
Period of Report: 2014-12-02
Reporting Person: RAKIN KEVIN (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 13209 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Preferred Stock | $ | Common Stock (6444) | Indirect | ||
| Series A-1 Preferred Stock | $ | Common Stock (3914) | Indirect | ||
| Common Stock Warrant (Right to Buy) | $0.76 | Common Stock (242) | Direct | ||
| Series A Preferred Stock | $ | Common Stock (9667) | Direct | ||
| Series A-1 Preferred Stock | $ | Common Stock (5871) | Direct |
Footnotes
F1: Reflects a 10.804-to-1 reverse stock split effected on November 14, 2014.
F2: All outstanding shares of the Issuer's preferred stock will automatically convert into common stock immediately prior to the closing of the Issuer's initial public offering, for no additional consideration and including accrued dividends. These shares have no expiration date.
F3: The Common Stock Warrant will be net exercised immediately prior to the Issuer's initial public offering. The expiration date of the warrant is upon the consummation of the Issuer's initial public offering or a liquidity event (as described in such warrant).