Tammara Vijay 4

4 · Ocugen, Inc. · Filed May 5, 2021

Form 4

Period: 2021-05-04

Senior Vice President

Transactions

Exercise/Conversion
Common Stock
2021-05-04$0.46/sh+4,900$2,254→ 4,900 total
Sale
Common Stock
[F1]
2021-05-04$13.81/sh−4,900$67,669→ 0 total
Exercise/Conversion
Common Stock
2021-05-04$2.94/sh+2,000$5,880→ 2,000 total
Sale
Common Stock
[F1]
2021-05-04$13.81/sh−2,000$27,620→ 0 total
Exercise/Conversion
Common Stock
2021-05-04$0.51/sh+6,500$3,315→ 6,500 total
Sale
Common Stock
[F1][F2]
2021-05-04$13.50/sh−6,500$87,750→ 0 total
Exercise/Conversion
Common Stock
2021-05-04$0.56/sh+2,311$1,306→ 2,311 total
Sale
Common Stock
[F1]
2021-05-04$13.81/sh−2,311$31,915→ 0 total
Exercise/Conversion
Options (Right to Buy)
[F3]
2021-05-04−4,900→ 0 total
Exercise: $0.46Exp: 2024-09-18→ Common Stock (4,900 underlying)
Exercise/Conversion
Options (Right to Buy)
[F3]
2021-05-04−2,000→ 2,191 total
Exercise: $2.94Exp: 2026-04-26→ Common Stock (2,000 underlying)
Exercise/Conversion
Options (Right to Buy)
[F4]
2021-05-04−6,500→ 58,261 total
Exercise: $0.51Exp: 2030-01-02→ Common Stock (6,500 underlying)
Exercise/Conversion
Options (Right to Buy)
[F5]
2021-05-04−2,311→ 42,578 total
Exercise: $0.56Exp: 2030-08-14→ Common Stock (2,311 underlying)

Footnotes (5)

[F1]The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
[F2]The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $13.35 to $13.71. The Reporting Person undertakes to provide Ocugen, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
[F3]All of the options became exerciable immediately upon grant.
[F4]The option, initially representing a right to purchase a total of 77,641 shares, vests and becomes exercisable annually in equal installments over three years commencing on January 2, 2021, subject to continued service with the Company on the applicable vesting dates.
[F5]The option, initially representing a right to purchase a total of 50,000 shares, vests and becomes exercisable in equal monthly installments over three years commencing on September 14, 2020, subject to continued service with the Company on the applicable vesting dates.

Signature

/s/ Vijay Tammara by Sanjay Subramanian, his attorney-in-fact|2021-05-05

Documents

1 file