Musunuri Shankar 4

4 · Ocugen, Inc. · Filed Feb 17, 2023

Form 4

Period: 2023-01-03

DirectorChief Executive Officer

Transactions

Tax Payment
Common Stock
2023-01-03$1.25/sh−37,877$47,346→ 2,190,073 total
Exercise/Conversion
Common Stock
2023-02-16$0.33/sh+100,000$33,000→ 2,290,073 total
Exercise/Conversion
Option (Right to Buy)
2023-02-16−100,000→ 529,764 total
Exercise: $0.33Exp: 2030-05-07→ Common Stock (100,000 underlying)
Sale
Common Stock
2023-02-16$1.08/sh−100,000$108,000→ 2,190,073 total

Holdings

Footnotes (5)

[F1]This Form 4 is being filed late due to an administrative error.
[F2]This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.
[F3]The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.06 to $1.10. 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.
[F4]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.
[F5]The options, initially representing a right to purchase 1,357,145 shares, vest and become exercisable in equal annual installments over three years commencing on May 7, 2021, subject to continued service with the Company on the applicable vesting dates.

Documents

1 file