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Ocugen, Inc. — Director's Dealing 2017
Jan 27, 2017
32915_dirs_2017-01-27_5b50f4c8-2ec6-43ac-b525-151beb676517.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: 2016-12-13
Reporting Person: SPLIT ROCK PARTNERS II, LP (10% Owner)
Reporting Person: SPLIT ROCK PARTNERS II MANAGEMENT, LLC (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-12-13 | Common Stock | C | 1114043 | — | Acquired | 2775538 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-12-13 | Series A Convertible Preferred Stock | $ | C | 2506.5968 | Disposed | Common Stock (1114043) | Direct |
Footnotes
F1: All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.4444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.
F2: The securities are owned directly by SRP II. Voting and investment power over the securities is delegated to Split Rock Partners II Management, LLC ("SRPM II"), the general partner of SRP II. SRPM II has delegated voting and investment decisions to three individuals who require a two-thirds vote to act. SRPM II disclaims beneficial ownership of the securities except to the extent of any pecuniary interest therein.