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Ocugen, Inc. — Director's Dealing 2021
Jun 17, 2021
32915_dirs_2021-06-17_6ba0ecd8-43ec-411b-90f2-7e66aca09968.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Ocugen, Inc. (OCGN)
CIK: 0001372299
Period of Report: 2021-06-15
Reporting Person: Potti Manish (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-06-15 | Common Stock | X | 95880 | $6.3 | Acquired | 159309 | Indirect |
| 2021-06-15 | Common Stock | S | 68185 | $8.86 | Disposed | 91124 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-06-15 | Warrant (Right to Buy) | $6.3 | X | 95880 | Disposed | 2026-12-15 | Common Stock (95880) | Indirect |
Footnotes
F1: The Reporting Person is a managing member of Scotland Parkway LLC and has voting and investment power over securities held by Scotland Parkway LLC.
F2: On June 15, 2021, the Reporting Person exercised a warrant to purchase 95,880 shares of common stock for $6.30 a share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Company's withholding of 68,185 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 27,695 shares. The Company also paid $4.89 to the Reporting Person in lieu of a fractional share.