0001062993-22-017866.txt : 20220812 0001062993-22-017866.hdr.sgml : 20220812 20220812164939 ACCESSION NUMBER: 0001062993-22-017866 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220811 FILED AS OF DATE: 20220812 DATE AS OF CHANGE: 20220812 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Castillo Kirsten CENTRAL INDEX KEY: 0001808806 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36751 FILM NUMBER: 221160890 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 2022-08-11 0001372299 Ocugen, Inc. OCGN 0001808806 Castillo Kirsten C/O OCUGEN, INC. 11 GREAT VALLEY PARKWAY MALVERN PA 19355 1 0 0 0 Common Stock 2022-08-11 4 M 0 42000 0.28 A 92000 D Common Stock 2022-08-11 4 S 0 42000 2.91 D 50000 D Option (Right to Buy) .28 2022-08-11 4 M 0 42000 0 D 2030-04-05 Common Stock 42000 12000 D The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.89 to $2.94. 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 options, initially representing a right to purchase 54,000 shares, vest and become exercisable in equal monthly installments over three years commencing on May 5, 2020, subject to continued service with the Company on the applicable vesting dates. /s/ Kirsten Castillo by Shankar Musunuri, her attorney-in-fact 2022-08-12