0001062993-22-016384.txt : 20220715 0001062993-22-016384.hdr.sgml : 20220715 20220715160336 ACCESSION NUMBER: 0001062993-22-016384 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220714 FILED AS OF DATE: 20220715 DATE AS OF CHANGE: 20220715 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Musunuri Shankar CENTRAL INDEX KEY: 0001791820 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36751 FILM NUMBER: 221086326 MAIL ADDRESS: STREET 1: 5 GREAT VALLEY PARKWAY, SUITE 160 CITY: MALVERN STATE: PA ZIP: 19355 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Ocugen, Inc. CENTRAL INDEX KEY: 0001372299 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11 GREAT VALLEY PARKWAY CITY: MALVERN STATE: PA ZIP: 19355 BUSINESS PHONE: 484-328-4701 MAIL ADDRESS: STREET 1: 11 GREAT VALLEY PARKWAY CITY: MALVERN STATE: PA ZIP: 19355 FORMER COMPANY: FORMER CONFORMED NAME: HISTOGENICS CORP DATE OF NAME CHANGE: 20060810 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2022-07-14 0001372299 Ocugen, Inc. OCGN 0001791820 Musunuri Shankar C/O OCUGEN, INC. 11 GREAT VALLEY PARKWAY MALVERN PA 19355 1 1 0 0 Chief Executive Officer Common Stock 2022-07-14 4 M 0 150000 0.33 A 902540 D Common Stock 2022-07-14 4 S 0 150000 2.72 D 752540 D Common Stock 1145299 I By: KVM Holdings, LLC Option (Right to Buy) 0.33 2022-07-14 4 M 0 150000 0 D 2030-05-07 Common Stock 150000 629764 D This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.63 to $2.87. 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. 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. 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 employment with the Company on the applicable vesting dates. Shankar Musunuri 2022-07-15