SEC Form 4 · accession 0000899243-19-003145

Ocugen, Inc. · OCGN

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

Reporting owner

Director

Period of report

Feb 8, 2019

Accepted (ET)

Feb 11, 2019 · 4:26 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	Feb 8, 2019	M	173,076	—	A	418,639	D
Common Stock^F1,F2	Feb 8, 2019	M	33,333	—	A	66,666	I	See Footnote
Common Stock^F1,F3	Feb 8, 2019	M	33,333	—	A	66,666	I	See Footnote
Common Stock^F1,F4	Feb 8, 2019	M	111,111	—	A	257,846	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Common Stock Warrant (Right to Buy)^F1	$0.01	Feb 8, 2019	M	173,076	D	Oct 10, 2018	Oct 10, 2023	Common Stock	173,076	D
Common Stock Warrant (Right to Buy)^F1,F2	$0.01	Feb 8, 2019	M	33,333	D	Nov 22, 2016	Nov 22, 2021	Common Stock	33,333	I
Common Stock Warrant (Right to Buy)^F1,F3	$0.01	Feb 8, 2019	M	33,333	D	Nov 22, 2016	Nov 22, 2021	Common Stock	33,333	I
Common Stock Warrant (Right to Buy)^F1,F4	$0.01	Feb 8, 2019	M	111,111	D	Nov 22, 2016	Nov 22, 2021	Common Stock	111,111	I

F1The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.
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.