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