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CIK 0001372299 · Non-accelerated filer<br>Smaller reporting company

Ocugen, Inc.

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Ticker
OCGN
Exchange
Nasdaq
Industry
Biological Products, (No Diagnostic Substances)
FY end
Dec 31
Incorporated
DE
Entity type
operating
Phone
484-328-4701
Business address
11 GREAT VALLEY PARKWAY, MALVERN, PA, 19355
Former names
HISTOGENICS CORP
Open-market buys, last 90 days
$0
in 0 filings
Open-market sales, last 90 days
$1,088,801
in 2 filings, $1.1M under 10b5-1 plans

Net −$1,088,801. Shares bought or sold at a price by officers, directors and 10% owners (Form 4 codes P and S). Grants, option exercises and tax withholding aren't counted.

Pace of trading Bought Sold

Who's trading

90 days

  1. Musunuri Shankar −$1.1M Chief Executive Officer sold 51% of stake
Date Insider Transaction Shares Price Value Owned after
2016-12-09 GILL DAVID N Director Purchase +5,000 $1.92 $10K 5,000
2016-12-02 Lewis Michael Director Conversion +996,779 3,072,110
2016-12-02 Lewis Michael Director Conversion · Series A Convertible Preferred Stock −2,242.75 0
2016-12-02 Wilmslow Estates Ltd 10% owner Conversion +996,779 3,072,110
2016-12-02 Wilmslow Estates Ltd 10% owner Conversion · Series A Convertible Preferred Stock −2,242.75 0
2016-12-02 Lieber Jonathan I Chief Financial Officer Purchase +5,000 $1.95 $10K 5,000
2016-12-01 Gridley Adam President and CEO Purchase +5,000 $2.01 $10K 5,000
2016-11-30 RAKIN KEVIN Director Conversion +26,699 112,499
2016-11-30 RAKIN KEVIN Director Conversion +26,699 139,198
2016-11-30 RAKIN KEVIN Director Conversion +88,998 228,196
2016-11-30 RAKIN KEVIN Director Conversion · Series A Convertible Preferred Stock −60.07 0
2016-11-30 RAKIN KEVIN Director Conversion · Series A Convertible Preferred Stock −60.07 0
2016-11-30 RAKIN KEVIN Director Conversion · Series A Convertible Preferred Stock −200.25 0
2016-09-29 SPLIT ROCK PARTNERS II, LP 10% owner Purchase +276,801 $2.25 $623K 1,661,495
2016-09-29 SPLIT ROCK PARTNERS II, LP 10% owner Purchase · Series A Convertible Preferred Stock +2,506.6 $1,000.00 $2.5M 2,506.6
2016-09-29 SPLIT ROCK PARTNERS II, LP 10% owner Purchase · Common Stock Warrant (right to buy) +1,390,844 1,390,844
2016-09-29 RAKIN KEVIN Director Grant or award +6,634 $2.25 $15K 57,053
2016-09-29 RAKIN KEVIN Director Grant or award +6,634 $2.25 $15K 63,687
2016-09-29 RAKIN KEVIN Director Grant or award +22,113 $2.25 $50K 85,800
2016-09-29 RAKIN KEVIN Director Grant or award · Series A Convertible Preferred Stock −60.07 $1,000.00 $60K 60.07

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