Ocugen, Inc. — Director's Dealing 2021

Jun 10, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Ocugen, Inc. (OCGN)
CIK: 0001372299
Period of Report: 2021-06-07

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-06-07	Common Stock	M	7758	$0.33	Acquired	413758	Direct
2021-06-07	Common Stock	S	7758.0	$10.94	Disposed	406000.0	Direct
2021-06-08	Common Stock	M	22800	$0.33	Acquired	428800	Direct
2021-06-08	Common Stock	S	22800	$10.98	Disposed	406000	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-06-07	Option (Right to Buy)	$0.33	M	7758.0	Disposed	2030-05-07	Common Stock (7758)	Direct
2021-06-08	Option (Right to Buy)	$0.33	M	22800	Disposed	2030-05-07	Common Stock (22800)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	1375299	Indirect

Footnotes

F1: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions in prices ranging from $10.94 to $11.04, inclusive. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3: 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.

F4: The option, initially exercisable for 1,357,145 shares of common stock, vests annually in equal installments over three years commencing on May 7, 2021, subject to continued employment with the Company on the applicable vesting dates.