Form 4 for OCGN Ocugen, Inc.
Accepted 2022-02-16 00:00:00 ET · period of report 2022-02-14 · accession 0001062993-22-004577 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2022-02-16 | 2022-02-14 | OCGN | Musunuri Shankar | CEO, Dir | M - OptEx | $0.33 | +90.0K | 842.5K | +12% | +$29.7K |
| D | 2022-02-16 | 2022-02-14 | OCGN | Musunuri Shankar | CEO, Dir | S - Sale+OE | $3.74 | -90.0K | 752.5K | -11% | -$336.6K |
| D | 2022-02-16 | 2022-02-14 | OCGN | Musunuri Shankar | CEO, Dir | M - OptEx | $0.00 | -90.0K | 986.6K | -8% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-02-14 | M | A | 90,000 | $0.33 | 842,540 | D | — | — | |
| 2 | Common | Common Stock | 2022-02-14 | S | D | 90,000 | $3.74 | 752,540 | D | — | — | (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 $3.69 to $3.82. 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. |
| 3 | Derivative | Option (Right to Buy) | 2022-02-14 | M | D | 90,000 | $0.00 | 986,587 | D | $0.33 · — to 2030-05-07 | 90,000 Common Stock | (F4) The options, initially representing a right to purchase 1,357,145 shares, vest and become exercisable in equal annual installments over three years commencing on May 7, 2021, subject to continued employment with the Company on the applicable vesting dates. |