Initial Statement of Beneficial Ownership (3)
December 16 2019 - 3:44PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Beck Kelly |
2. Date of Event Requiring Statement (MM/DD/YYYY)
9/27/2019
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3. Issuer Name and Ticker or Trading Symbol
Ocugen, Inc. [OCGN]
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(Last)
(First)
(Middle)
C/O OCUGEN, INC., 5 GREAT VALLEY PARKWAY, SUITE 160 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Vice President / |
(Street)
MALVERN,, PA 19355
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Options (right to buy) | 9/27/2019 | 7/10/2027 | Common stock | 14382 (1) | $7.56 | D | |
Stock Options (right to buy) | 9/27/2019 | 12/15/2027 | Common Stock | 11985 (2) | $7.56 | D | |
Stock Options (right to buy) | 12/7/2019 | 12/7/2028 | Common Stock | 9588 (3) | $13.52 | D | |
Explanation of Responses: |
(1) | 9,588 Stock Options became exercisable immediately, and the remaining 4,794 Warrants will become exercisable on July 9, 2020, subject to continued employment with Ocugen, Inc. (the "Company"). |
(2) | 3,995 Stock Options became exercisable immediately, and the remaining 7,990 Warrants will become exercisable 50% each on December 15, 2019 and December 14, 2020, subject to continued employment with the Company through the applicable vesting date. |
(3) | The Stock Options will become exercisable 1/3 each on December 7, 2019, December 7, 2020 and December 6, 2021, subject to continued employment with the Company through the applicable vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Beck Kelly C/O OCUGEN, INC. 5 GREAT VALLEY PARKWAY, SUITE 160 MALVERN,, PA 19355 |
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| Vice President |
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Signatures
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/s/ Kelly Beck | | 12/16/2019 |
**Signature of Reporting Person | Date |
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