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Ocugen, Inc. — Director's Dealing 2021
May 27, 2021
32915_dirs_2021-05-27_8a6426da-b77a-4114-9e3b-5c30c92f3b66.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: 2021-05-25
Reporting Person: Fernandes Prabhavathi (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-25 | Common Stock | M | 19500 | $0.28 | Acquired | 19500 | Direct |
| 2021-05-25 | Common Stock | S | 19500 | $8.21 | Disposed | 0 | Direct |
| 2021-05-25 | Common Stock | M | 14000 | $1.83 | Acquired | 14000 | Direct |
| 2021-05-25 | Commom Stock | S | 14000 | $8.19 | Disposed | 0 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-05-25 | Option (Right to Buy) | $0.28 | M | 19500 | Disposed | 2030-04-05 | Common Stock (19500) | Direct |
| 2021-05-25 | Option (Right to Buy) | $1.83 | M | 14000 | Disposed | 2031-01-01 | Common Stock (14000) | Direct |
Footnotes
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $8.19 to $8.23. The Reporting Person undertakes to provide Ocugen, Inc. (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.
F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $8.18 to $8.20. 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 option, initially representing a right to purchase a total of 54,000 shares, vests mothly in equal installments over three years commencing on May 5, 2020, subject to continued service with the Company through the applicable vesting dates.
F4: The option, initially representing a right to purchase a total of 126,000 shares, vests monthly in equal installments over three years commencing on February 1, 2021, subject to continued service with the Company through the applicable vesting dates.