Uday Kompella - May 28, 2021 Form 4 Insider Report for Ocugen, Inc. (OCGN)

Role
Director
Signature
/s/ Uday Kompella by Sanjay Subramanian, his attorney-in-fact
Stock symbol
OCGN
Transactions as of
May 28, 2021
Transactions value $
-$49,898
Form type
4
Date filed
6/1/2021, 06:10 AM
Next filing
Jun 25, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction OCGN Common Stock Options Exercise $13.5K +7.19K +1.31% $1.88 558K May 28, 2021 Direct
transaction OCGN Common Stock Sale -$63.4K -7.19K -1.29% $8.82 551K May 28, 2021 Direct F1, F2
holding OCGN Common Stock 479K May 28, 2021 By: Kompella LLC

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction OCGN Option (right to buy) Options Exercise $0 -7.19K -100% $0.00* 0 May 28, 2021 Common Stock 7.19K $1.88 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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 $8.81 to $8.86. 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.
F3 The option, initially representing a right to purchase a total of 7,191 shares, vested and became exercisable on September 27, 2019.