SEC Form 4 · accession 0001235802-17-000021
Ocugen, Inc. · OCGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Dec 13, 2016
Accepted (ET)
Jan 27, 2017 · 4:20 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,F2 | Dec 13, 2016 | C | 1,114,043 | — | A | 2,775,538 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF1,F2 | — | Dec 13, 2016 | C | 2,507 | D | — | — | Common Stock | 1,114,043 | 0 | D |
Explanation of responses
- F1All outstanding shares of the Issuer's Series A Convertible Preferred Stock converted on a 1:444.4444444 basis into shares of the Issuer's Common Stock. These shares have no expiration date.
- F2The securities are owned directly by SRP II. Voting and investment power over the securities is delegated to Split Rock Partners II Management, LLC ("SRPM II"), the general partner of SRP II. SRPM II has delegated voting and investment decisions to three individuals who require a two-thirds vote to act. SRPM II disclaims beneficial ownership of the securities except to the extent of any pecuniary interest therein.