0001192482-21-000393.txt : 20210503 0001192482-21-000393.hdr.sgml : 20210503 20210503210526 ACCESSION NUMBER: 0001192482-21-000393 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210430 FILED AS OF DATE: 20210503 DATE AS OF CHANGE: 20210503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kompella Uday CENTRAL INDEX KEY: 0001791821 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36751 FILM NUMBER: 21885547 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: 5 GREAT VALLEY PARKWAY STREET 2: SUITE 160 CITY: MALVERN STATE: PA ZIP: 19355 BUSINESS PHONE: 484-328-4698 MAIL ADDRESS: STREET 1: 5 GREAT VALLEY PARKWAY STREET 2: SUITE 160 CITY: MALVERN STATE: PA ZIP: 19355 FORMER COMPANY: FORMER CONFORMED NAME: HISTOGENICS CORP DATE OF NAME CHANGE: 20060810 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2021-04-30 0001372299 Ocugen, Inc. OCGN 0001791821 Kompella Uday C/O OCUGEN, INC. 263 GREAT VALLEY PARKWAY MALVERN PA 19355 1 0 0 0 Common Stock 2021-04-30 4 M 0 20000 0.51 A 620674 D Common Stock 2021-04-30 4 S 0 20000 11.56 D 600674 D Common Stock 2021-05-03 4 S 0 25000 14 D 575674 D Common Stock 2021-05-03 4 S 0 25000 16.02 D 550674 D Common Stock 479416.0 I By: Kompella LLC Option (right to buy) 0.51 2021-04-30 4 M 0 20000 0 D 2030-01-02 Common Stock 20000 34000 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 $11.43 to $11.70. 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. 24,000 shares under the option are exercisable. The option, initially representing a right to purchase a total of 54,000 shares, vests and becomes exercisable over three years commencing on February 2, 2020, subject to continued service with the Company on the applicable vesting dates. /s/ Uday Kompella by Sanjay Subramanian, his attorney-in-fact 2021-05-03