SEC Form 4 · accession 0000899243-16-034850

Ocugen, Inc. · OCGN

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

Reporting owner

Director

Period of report

Nov 30, 2016

Accepted (ET)

Dec 2, 2016 · 5:00 pm EST

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^F1,F2	Nov 30, 2016	C	26,699	—	A	112,499	I	See Footnote
Common Stock^F1,F3	Nov 30, 2016	C	26,699	—	A	139,198	I	See Footnote
Common Stock^F1,F4	Nov 30, 2016	C	88,998	—	A	228,196	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A Convertible Preferred Stock^F1,F2	—	Nov 30, 2016	C	60	D	—	—	Common Stock	26,699	I
Series A Convertible Preferred Stock^F1,F3	—	Nov 30, 2016	C	60	D	—	—	Common Stock	26,699	I
Series A Convertible Preferred Stock^F1,F4	—	Nov 30, 2016	C	200	D	—	—	Common Stock	88,998	I

F1All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.
F2The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Sarah Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose, except to the extent of his pecuniary interest therein.
F3The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Julia Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.
F4The reportable securities are owned by the Kevin L Rakin Irrevocable Trust. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.