Form Type: 4

SEC EDGAR Link
Accession Number:0001192482-19-000523
Date:2019-12-11
Issuer: OCUGEN, INC. (OCGN)
Original Submission Date:

Reporting Person:

MUSUNURI SHANKAR
C/O OCUGEN, INC.
5 GREAT VALLEY PARKWAY, SUITE 160 MALVERN,, PA 19355

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2019-12-11 P 263,000 a $0.41 263,000 direct
COMMON STOCK 2019-12-12 P 143,000 a $0.35 406,000 direct
COMMON STOCK 2019-12-11 0 $0.00 1,375,299 indirect f3
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 represents the weighted average purchase price of $0.4056. these shares were acquired in multiple transactions ranging from $0.3815 to $0.4104 rounded to the nearest ten-thousandths. the reporting person undertakes to provide upon request by the staff of the securities and exchange commission, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
f2 represents the weighted average purchase price of $0.3519. these shares were acquired in multiple transactions ranging from $0.3453 to $0.3602 rounded to the nearest ten-thousandths. the reporting person undertakes to provide upon request by the staff of the securities and exchange commission, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
f3 the reporting person is a member and officer of kvm holdings, llc and has voting and investment power power over the shares held by kvm holdings, llc.
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