Form 4 for OCGN Ocugen, Inc.
Accepted 2021-12-17 00:00:00 ET · period of report 2021-12-16 · accession 0001104659-21-151344 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-12-17 | 2021-12-16 | OCGN | Potti Manish | Dir | M - OptEx | $1.43 | +45.0K | 45.0K | New | +$64.5K |
| DM | 2021-12-17 | 2021-12-16 | OCGN | Potti Manish | Dir | M - OptEx | $0.00 | +45.0K | 19.5K | New | $0 |
| D | 2021-12-17 | 2021-12-16 | OCGN | Potti Manish | Dir | A - Grant | $0.00 | +16.3K | 16.3K | New | $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 | 2021-12-16 | M | A | 13,500 | $0.51 | 13,500 | D | — | — | |
| 2 | Common | Common Stock | 2021-12-16 | M | A | 31,500 | $1.83 | 45,000 | D | — | — | |
| 3 | Derivative | Option (Right to Buy) | 2021-12-16 | M | A | 31,500 | $0.00 | 87,500 | D | $1.83 · — to 2031-01-01 | 31,500 Common Stock | (F4) The shares underlying the option exercised in this transaction were fully vested and exercisable. The remainder of the shares underlying the option shall continue to vest and become exercisable ratably on a monthly basis on the first day of each month through January 1, 2024, subject to the Reporting Person's continued service with the Company through each such date. |
| 4 | Derivative | Option (Right to Buy) | 2021-12-16 | M | A | 13,500 | $0.00 | 19,500 | D | $0.51 · — to 2030-01-02 | 13,500 Common Stock | (F3) The shares underlying the option exercised in this transaction were fully vested and exercisable. The remainder of the shares underlying the option shall continue to vest and become exercisable ratably on a monthly basis on the second day of each month through January 2, 2023, subject to the Reporting Person's continued service with the Company through each such date. |
| 5 | Derivative | Option (Right to Buy) | 2021-12-16 | A | A | 16,335 | $0.00 | 16,335 | D | $5.02 · — to 2031-12-16 | 16,335 Common Stock | (F2) The option vests monthly in equal installments over three years commencing on January 16, 2022, subject to continued service with Ocugen, Inc. (the "Company") on the applicable vesting dates. |