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OCGN Ocugen Inc

1.38
-0.01 (-0.72%)
03 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Ocugen Inc NASDAQ:OCGN NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  -0.01 -0.72% 1.38 1.35 1.38 1.41 1.32 1.41 5,058,840 00:54:22

Initial Statement of Beneficial Ownership (3)

16/12/2019 9:44pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Beck Kelly
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/27/2019 

3. Issuer Name and Ticker or Trading Symbol

Ocugen, Inc. [OCGN]
(Last)        (First)        (Middle)

C/O OCUGEN, INC., 5 GREAT VALLEY PARKWAY, SUITE 160
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                          _____ 10% Owner
___X___ Officer (give title below)        _____ Other (specify below)
Vice President /
(Street)

MALVERN,, PA 19355      

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed(MM/DD/YYYY)
 

6. Individual or Joint/Group Filing(Check Applicable Line)

_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Options (right to buy) 9/27/2019 7/10/2027 Common stock 14382 (1)$7.56 D 
 
Stock Options (right to buy) 9/27/2019 12/15/2027 Common Stock 11985 (2)$7.56 D 
 
Stock Options (right to buy) 12/7/2019 12/7/2028 Common Stock 9588 (3)$13.52 D 
 

Explanation of Responses:
(1) 9,588 Stock Options became exercisable immediately, and the remaining 4,794 Warrants will become exercisable on July 9, 2020, subject to continued employment with Ocugen, Inc. (the "Company").
(2) 3,995 Stock Options became exercisable immediately, and the remaining 7,990 Warrants will become exercisable 50% each on December 15, 2019 and December 14, 2020, subject to continued employment with the Company through the applicable vesting date.
(3) The Stock Options will become exercisable 1/3 each on December 7, 2019, December 7, 2020 and December 6, 2021, subject to continued employment with the Company through the applicable vesting date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Beck Kelly
C/O OCUGEN, INC.
5 GREAT VALLEY PARKWAY, SUITE 160
MALVERN,, PA 19355


Vice President

Signatures
/s/ Kelly Beck12/16/2019
**Signature of Reporting PersonDate

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