SEC Form 4 · accession 0000899243-18-026560
Ocugen, Inc. · OCGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wilmslow Estates Ltd
10% Owner
Period of report
Oct 10, 2018
Accepted (ET)
Oct 11, 2018 · 4:30 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 StockF1 | Oct 10, 2018 | P$0 | 538,460 | — | A | 3,610,570 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrant (Right to Buy)F1 | $0.70 | Oct 10, 2018 | P | 403,845 | A | Oct 10, 2018 | Oct 10, 2023 | Common Stock | 403,845 | 403,845 | D |
Explanation of responses
- F1The Common Stock and Common Stock Warrants were issued and sold in a fixed combination at a purchase price of $0.65 per unit. Each share of Common Stock is accompanied by a Common Stock Warrant to purchase 0.75 shares of Common Stock, which are exercisable immediately for a period of 5 years from the date of issuance.