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Ocugen, Inc. — Director's Dealing 2016
Dec 2, 2016
32915_dirs_2016-12-02_71d2c5ec-95e8-4054-aac7-7fc7fbe98d70.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HISTOGENICS CORP (HSGX)
CIK: 0001372299
Period of Report: 2016-11-30
Reporting Person: RAKIN KEVIN (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-11-30 | Common Stock | C | 26699 | — | Acquired | 112499 | Indirect |
| 2016-11-30 | Common Stock | C | 26699 | — | Acquired | 139198 | Indirect |
| 2016-11-30 | Common Stock | C | 88998 | — | Acquired | 228196 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-11-30 | Series A Convertible Preferred Stock | $ | C | 60.0728 | Disposed | Common Stock (26699) | Indirect | |
| 2016-11-30 | Series A Convertible Preferred Stock | $ | C | 60.0728 | Disposed | Common Stock (26699) | Indirect | |
| 2016-11-30 | Series A Convertible Preferred Stock | $ | C | 200.2455 | Disposed | Common Stock (88998) | Indirect |
Footnotes
F1: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.
F2: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Sarah Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose, except to the extent of his pecuniary interest therein.
F3: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Julia Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.
F4: The reportable securities are owned by the Kevin L Rakin Irrevocable Trust. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.