SEC Form 4 · accession 0001567619-19-001160
Ocugen, Inc. · OCGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jan 11, 2019
Accepted (ET)
Jan 15, 2019 · 5:21 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 | Jan 11, 2019 | S | 251,800 | $0.17 | D | 2,438,770 | I | by Intrexon |
| Common StockF1 | Jan 14, 2019 | S | 400,507 | $0.16 | D | 2,038,263 | I | by Intrexon |
| Common StockF1 | Jan 15, 2019 | S | 345,897 | $0.15 | D | 1,692,366 | I | by Intrexon |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon Corporation ("Intrexon") and serves as Intrexon's Chairman of the Board and Chief Executive Officer. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.