0001062993-22-008132.txt : 20220318
0001062993-22-008132.hdr.sgml : 20220318
20220318160317
ACCESSION NUMBER: 0001062993-22-008132
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220316
FILED AS OF DATE: 20220318
DATE AS OF CHANGE: 20220318
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Musunuri Shankar
CENTRAL INDEX KEY: 0001791820
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36751
FILM NUMBER: 22752481
MAIL ADDRESS:
STREET 1: 5 GREAT VALLEY PARKWAY, SUITE 160
CITY: MALVERN
STATE: PA
ZIP: 19355
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Ocugen, Inc.
CENTRAL INDEX KEY: 0001372299
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 263 GREAT VALLEY PARKWAY
CITY: MALVERN
STATE: PA
ZIP: 19355
BUSINESS PHONE: 484-328-4701
MAIL ADDRESS:
STREET 1: 263 GREAT VALLEY PARKWAY
CITY: MALVERN
STATE: PA
ZIP: 19355
FORMER COMPANY:
FORMER CONFORMED NAME: HISTOGENICS CORP
DATE OF NAME CHANGE: 20060810
4
1
form4.xml
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
X0306
4
2022-03-16
0001372299
Ocugen, Inc.
OCGN
0001791820
Musunuri Shankar
C/O OCUGEN, INC.
263 GREAT VALLEY PARKWAY
MALVERN
PA
19355
1
1
0
0
Chief Executive Officer
Common Stock
2022-03-16
4
M
0
81823
0.33
A
834363
D
Common Stock
2022-03-16
4
S
0
81823
2.65
D
752540
D
Common Stock
1145299
I
By: KVM Holdings, LLC
Option (Right to Buy)
0.33
2022-03-16
4
M
0
81823
0
D
2030-05-07
Common Stock
81823
904764
D
This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.61 to $2.75. 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.
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.
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.
Shankar Musunuri
2022-03-18