SEC Form 4 · accession 0000899243-17-024133
Ocugen, Inc. · OCGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Richard Kennedy
Officer — EVP and COO
Period of report
Oct 10, 2017
Accepted (ET)
Oct 12, 2017 · 4:36 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001372299
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $2.12 | Oct 10, 2017 | A | 50,000 | A | — | Oct 9, 2027 | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1This option vests over four (4) years of continuous service following October 10, 2017, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and the balance vesting in thirty-six (36) equal monthly installments thereafter.