SEC Form 4 · accession 0000899243-18-026561
Ocugen, Inc. · OCGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kevin Rakin
Director
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 | 230,768 | — | A | 245,563 | D | |
| Common StockF2 | holding | — | — | — | 33,333 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 33,333 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 146,735 | I | See Footnote |
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 | 173,076 | A | Oct 10, 2018 | Oct 10, 2023 | Common Stock | 173,076 | 173,076 | 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.
- 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.