0001192482-21-000741.txt : 20211015 0001192482-21-000741.hdr.sgml : 20211015 20211015160250 ACCESSION NUMBER: 0001192482-21-000741 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211015 FILED AS OF DATE: 20211015 DATE AS OF CHANGE: 20211015 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: 211326069 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 edgar.xml PRIMARY DOCUMENT X0306 4 2021-10-15 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 2021-10-15 4 M 0 125000 0.33 A 531000 D Common Stock 2021-10-15 4 S 0 125000 9.8 D 406000 D Common Stock 1375299 I By: KVM Holdings, LLC Option (Right to Buy) 0.33 2021-10-15 4 M 0 125000 0 D 2030-05-07 Common Stock 125000 1076587 D The sale reported in 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 $9.67 to $10.06. 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 option, initially representing a right to purchase a total of 1,357,145 shares, vests and becomes exercisable annually in equal installments over three years commencing on May 7, 2021, subject to continued employment with the Company on the applicable vesting dates. /s/ Shankar Musunuri by Sanjay Subramanian, his attorney-in-fact 2021-10-15