Form Type: 4

SEC EDGAR Link
Accession Number:0001192482-21-000472
Date:2021-05-28
Issuer: OCUGEN, INC. (OCGN)
Original Submission Date:

Reporting Person:

KOMPELLA UDAY
C/O OCUGEN, INC.
263 GREAT VALLEY PARKWAY MALVERN, PA 19355

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-05-28 M 7,191 a $1.88 557,865 direct
COMMON STOCK 2021-05-28 S 7,191 d $8.82 550,674 direct
COMMON STOCK 2021-05-28 0 $0.00 479,416 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
OPTION (RIGHT TO BUY) 1.88 2021-05-28 deemed execution date M 7,191 (d) 2025-08-26 common stock 7,191 $1.88 0 direct
Footnotes
IDfootnote
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.
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