SEC Form 4 · accession 0000899243-16-034929
Ocugen, Inc. · OCGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wilmslow Estates Ltd
10% Owner
Period of report
Dec 2, 2016
Accepted (ET)
Dec 5, 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 StockF1 | Dec 2, 2016 | C | 996,779 | — | A | 3,072,110 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF1 | — | Dec 2, 2016 | C | 2,243 | D | — | — | Common Stock | 996,779 | 0 | D |
Explanation of responses
- 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.