Ocugen, Inc. — Director's Dealing 2019

Dec 13, 2019

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Ocugen, Inc. (OCGN)
CIK: 0001372299
Period of Report: 2019-09-27

Reporting Person: Musunuri Shankar (Director, Chief Executive Officer)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	1375299	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Warrants (Right to Buy)	$7.56	2027-09-14	Common Stock (7191)		Direct
Warrants (Right to Buy)	$5.05	2026-12-08	Common Stock (405)		Indirect
Stock Option (right to buy)	$1.88	2025-08-26	Common Stock (86292)		Direct

Footnotes

F1: 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.

F2: 100% of the Warrants became exercisable immediately.

F3: 100% of the Stock Options became exercisable immediately.