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OCGN Ocugen Inc

1.34
0.02 (1.52%)
04 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
  0.02 1.52% 1.34 1.18 1.45 1.42 1.32 1.36 4,822,158 05:00:09

Initial Statement of Beneficial Ownership (3)

20/12/2019 9:47pm

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 *

Potti Manish
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)

__X__ Director                          _____ 10% Owner
_____ Officer (give title below)        _____ Other (specify below)
(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)
Common Stock 123429 I By Scotland Parkway LLC (1)

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
Warrants (Right to Buy) 9/27/2019 11/23/2026 Common Stock 1984 (2)$6.30 I Held by Scotland Parkway LLC (1)
Warrants (Right to Buy) 9/27/2019 12/15/2026 Common Stock 95880 (2)$6.30 I Held by Scotland Parkway LLC (1)

Explanation of Responses:
(1) The Reporting Person is a managing member of Scotland Parkway LLC and has voting and investment power over securities held by Scotland Parkway LLC.
(2) 100% of the Warrants became exercisable immediately.

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



Signatures
/s/ Manish Potti by Kelly Beck, his attorney-in-fact12/20/2019
**Signature of Reporting PersonDate

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