Musunuri Shankar's Form 4 filing
Ocugen, Inc. (OCGN) · filed Feb 17, 2023
- Accession no.
- 0001062993-23-004080
- Filed
- Feb 17, 2023, 5:11 PM ET
- Trade date
- Jan 3-Feb 16, 2023
- Filing delay
- 45 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions and 1 derivative transaction. Open-market sales total $108.0K. It was filed 45 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Musunuri ShankarCIK 0001791820 | Director, Officer (Chief Executive Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 3, 2023 | Common Stock | FTax withholdingDisposed | −37,877 | $1.25 | −$47,346.25 | 2,190,073 | Direct | |
| Feb 16, 2023 | Common Stock | MOption exerciseAcquired | +100,000 | $0.33 | +$33,000 | 2,290,073 | Direct | |
| Feb 16, 2023 | Common Stock | SSaleDisposed | −100,000 | $1.08 | −$108,000 | 2,190,073 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 16, 2023 | Common Stock | MOption exerciseDisposed | −100,000 | $0.00 | $0 | 529,764 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.