Sanjay Subramanian - 16 Aug 2021 Form 4 Insider Report for Ocugen, Inc. (OCGN)

Role
Chief Financial Officer
Signature
/s/ Sanjay Subramanian
Issuer symbol
OCGN
Transactions as of
16 Aug 2021
Net transactions value
-$206,400
Form type
4
Filing time
18 Aug 2021, 16:01:49 UTC
Previous filing
16 Jul 2021
Next filing
15 Oct 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction OCGN Common Stock Options Exercise $10,200 +30,000 +66% $0.3400 75,591 16 Aug 2021 Direct
transaction OCGN Common Stock Sale $216,600 -30,000 -40% $7.22 45,591 16 Aug 2021 Direct F1, F2

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 -30,000 -11% $0.000000 246,170 16 Aug 2021 Common Stock 30,000 $0.3400 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 $7.18 to $7.28. 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 369,256 shares, vests and becomes exercisable in equal annual installments over a three year period, commencing on May 5, 2021, subject to continued employment with the Company on the applicable vesting dates.