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Ocugen, Inc. — Director's Dealing 2021
May 14, 2021
32915_dirs_2021-05-14_e9bb4b8b-0de3-45f9-89b1-c5a77779354f.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: 2021-05-14
Reporting Person: Subramanian Sanjay (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-05-14 | Common Stock | M | 31000 | $0.34 | Acquired | 76591 | Direct |
| 2021-05-14 | Common Stock | S | 31000 | $8.183 | Disposed | 45591 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-05-14 | Option (Right to Buy) | $0.34 | M | 31000 | Disposed | 2030-05-05 | Common Stock (31000) | Direct |
Footnotes
F1: This sale reported on 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. The shares were sold in multiple transactions at prices ranging from $8.15 to $8.24. 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.
F3: The option, initially representing a right to purchase a total of 369,256 shares, vests and becomes exercisable in equal annual installments over a three year period, commencing on May 5, 2021, subject to continued employment with the Company on the applicable vesting dates.