SEC Form 4 · accession 0000899243-19-003147
Ocugen, Inc. · OCGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Wilmslow Estates Ltd
10% Owner
Period of report
Feb 8, 2019
Accepted (ET)
Feb 11, 2019 · 4:27 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 | Feb 8, 2019 | M | 403,845 | — | A | 4,014,415 | D | |
| Common StockF1 | Feb 8, 2019 | M | 1,244,444 | — | A | 5,258,859 | 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 | $0.01 | Feb 8, 2019 | M | 403,845 | A | Oct 10, 2018 | Oct 10, 2023 | Common Stock | 403,845 | 0 | D |
| Common Stock Warrant (Right to Buy)F1 | $0.01 | Feb 8, 2019 | M | 1,244,444 | A | Nov 22, 2016 | Nov 22, 2021 | Common Stock | 1,244,444 | 0 | D |
Explanation of responses
- 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.