Uday Kompella - Jul 30, 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
Jul 30, 2021
Transactions value $
-$49,772
Form type
4
Date filed
7/30/2021, 05:28 PM
Previous filing
Jun 25, 2021
Next filing
Oct 20, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction OCGN Common Stock Options Exercise $18.3K +10K +1.82% $1.83 561K Jul 30, 2021 Direct
transaction OCGN Common Stock Sale -$68.1K -10K -1.78% $6.81 551K Jul 30, 2021 Direct F1, F2
holding OCGN Common Stock 479K Jul 30, 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 -10K -8.62% $0.00 106K Jul 30, 2021 Common Stock 10K $1.83 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 $6.76 to $6.85. 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 126,000 shares, vests and becomes exercisable in equal monthly installments over three years commencing on February 1, 2021, subject to continued service with the Company on the applicable vesting dates.