Form 4 for OCGN Ocugen, Inc.
Accepted 2021-10-15 00:00:00 ET · period of report 2021-10-15 · accession 0001192482-21-000740 · 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 | 2021-10-15 | 2021-10-15 | OCGN | Subramanian Sanjay | CFO | M - OptEx | $2.19 | +7,990 | 53.6K | +18% | +$17.5K |
| D | 2021-10-15 | 2021-10-15 | OCGN | Subramanian Sanjay | CFO | S - Sale+OE | $9.96 | -7,990 | 45.6K | -15% | -$79.6K |
| D | 2021-10-15 | 2021-10-15 | OCGN | Subramanian Sanjay | CFO | M - OptEx | $0.00 | -7,990 | 7,990 | -50% | $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 | 2021-10-15 | M | A | 7,990 | $2.19 | 53,581 | D | — | — | |
| 2 | Common | Common Stock | 2021-10-15 | S | D | 7,990 | $9.96 | 45,591 | 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 $9.96 to $9.97. 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) | 2021-10-15 | M | D | 7,990 | $0.00 | 7,990 | D | $2.19 · — to 2029-10-01 | 7,990 Common Stock | (F3) The option, initially representing a right to purchase a total of 23,970 shares, vests and becomes exercisable in equal annual installments over a three year period commencing on October 1, 2020, subject to continued employment with the Company on the applicable vesting dates. |