SEC Form 4 · accession 0000899243-16-030576

Ocugen, Inc. · OCGN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

10% Owner

Period of report

Sep 29, 2016

Accepted (ET)

Oct 3, 2016 · 5:15 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001372299

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock	Sep 29, 2016	A	247,665	$2.25	A	2,075,331	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A Convertible Preferred Stock^F1	—	Sep 29, 2016	A	2,243	D	—	—	Common Stock	996,779	0	D
Common Stock Warrant (Right to Buy)^F2	$2.25	Sep 29, 2016	A	1,244,444	D	—	—	Common Stock	1,244,444	0	D

F1The shares of Series A Convertible Preferred Stock have a stated value of $1,000 per share and will be convertible into an aggregate of 996,779 shares of the Issuer's Common Stock, subject to certain conditions including the receipt of requisite stockholder approval pursuant to the Certificate of Designation governing the rights, preferences and privileges of the Series A Convertible Preferred Stock. The initial conversion price of $2.25 is subject to appropriate adjustment in the event of a stock split, stock dividend, combination, reclassification or other recapitalization affecting the Issuer's Common Stock.
F2The Common Stock Warrant is exercisable at any time on or after the date (the "Initial Exercise Date") that the Issuer's stockholders approve the transactions contemplated by that certain securities purchase agreement dated September 15, 2016 pursuant to which the warrant was issued through the close of business on the five year anniversary of the Initial Exercise Date.