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Ocugen, Inc. — Director's Dealing 2022
Jan 6, 2022
32915_dirs_2022-01-05_e279fa37-4112-4bd9-9575-a8306a3e1735.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: 2022-01-03
Reporting Person: Musunuri Shankar (Director, Chief Executive Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-01-03 | Common Stock | A | 346540 | — | Acquired | 752540 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-01-03 | Option (Right to Buy) | $4.72 | A | 1253299 | Acquired | 2032-01-03 | Common Stock (1253299) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1145299 | Indirect |
Footnotes
F1: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Ocugen Inc.'s (the "Company's") common stock. The restricted stock units vest annually in three equal installments commencing on January 3, 2023, subject to continued employment with the Company on the applicable vesting dates. The restricted stock units will be settled on each applicable vesting date in shares of the Company's common stock.
F2: The Reporting Person is a member and officer of KVM Holdings, LLC and has voting and investment power over the shares held by KVM Holdings, LLC.
F3: The option vests annually in equal installments over three years commencing on January 3, 2023, subject to continued employment with the Company on the applicable vesting dates.