Form 3 Histogenics Corp

Initial statement of beneficial ownership of securities

Published: 2019-10-04 12:54:53
Submitted: 2019-10-04
Period Ending In: 2019-09-27
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SEC FORM 3

SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Zhang Junge

(Last) (First) (Middle)
C/O OCUGEN, INC. 5 GREAT VALLEY PARKWAY,
SUITE 160

(Street)
MALVERN PA 19355

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/27/2019
3. Issuer Name and Ticker or Trading Symbol
Ocugen, Inc. [ OCGN ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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)
Common Stock 212,863 I By Trust
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: 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
Warrants (Right to Buy) 09/27/2019 01/10/2025 Common Stock 143,820 2.77 I By Trust
Warrants (Right to Buy) 09/27/2019 06/12/2027 Common Stock 1,653 7.56 I By Trust
Explanation of Responses:
/s/ Junge Zhang by [Kelly Beck] his attorney-in-fact 10/02/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
1
a3.xml 3
Schema Version:
X0206
Document Type:
3
Period Of Report:
2019-09-27
No Securities Owned:
0

Issuer

Issuer Cik
0001372299
Issuer Name
Ocugen, Inc.
Issuer Trading Symbol
OCGN

Reporting Owner

Reporting Owner Id

Rpt Owner Cik
0001790205
Rpt Owner Name
Zhang Junge

Reporting Owner Address

Rpt Owner Street1
C/O OCUGEN, INC. 5 GREAT VALLEY PARKWAY,
Rpt Owner Street2
SUITE 160
Rpt Owner City
MALVERN
Rpt Owner State
PA
Rpt Owner Zip Code
19355

Reporting Owner Relationship

Is Director
1
Is Officer
0
Is Ten Percent Owner
0
Is Other
0

Non Derivative Holding

Security Title
Common Stock
Shares Owned Following Transaction
212863

Ownership Nature

Direct Or Indirect Ownership
I
Nature Of Ownership
By Trust

Derivative Holding

Security Title
Warrants (Right to Buy)
Conversion Or Exercise Price
2.77
Exercise Date
2019-09-27
Expiration Date
2025-01-10

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
143820

Ownership Nature

Direct Or Indirect Ownership
I
Nature Of Ownership
By Trust
Security Title
Warrants (Right to Buy)
Conversion Or Exercise Price
7.56
Exercise Date
2019-09-27
Expiration Date
2027-06-12

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
1653

Ownership Nature

Direct Or Indirect Ownership
I
Nature Of Ownership
By Trust

Owner Signature

Signature Name
/s/ Junge Zhang by [Kelly Beck] his attorney-in-fact
Signature Date
2019-10-02
ex-24d1.htm EX-24.1


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Exhibit 24.1

 

OCUGEN, INC.

 

POWER OF ATTORNEY

 

Know all by these present, that I, the undersigned director and/or officer of Ocugen, Inc., a Delaware corporation (the “Company”), hereby constitutes and appoints Shankar Musunuri, Sanjay Subramanian, Kelly Beck and any Secretary or Assistant Secretary of the Company, and each of them, my true and lawful attorneys-in-fact and agents, with full power to act, together or each without the other, with full power of substitution and resubstitution, for me and in my name, place and stead, in any and all capacities:

 

(i)                                     to execute and file for and on behalf of the undersigned any reports on Forms 3, 4 and 5 (including any amendments thereto and any successors to such Forms) with respect to ownership acquisition or disposition of securities of the Company that the undersigned may be required to file with the U.S. Securities and Exchange Commission (the “SEC”) in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules promulgated thereunder;

 

(ii)                                  to execute and file for and on behalf of the undersigned any voluntary filings under Section 16(a) of the Exchange Act;

 

(iii)                               to request electronic filing codes from the SEC by filing the Form ID (including amendments thereto) and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to file such reports electronically;

 

(iv)                              to prepare, file, and submit any documents or reports that may be required under SEC Rule 144 to permit the undersigned to sell Company common stock without registration under the Securities Act of 1933, as amended (the “Securities Act”) in reliance on Rule 144 as amended from time to time; or

 

(v)                                 take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorneys-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorneys-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorneys-in-fact may approve in such attorney-in-fact’s or attorneys-in-fact’s discretion.

 

The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 16(a) of the Exchange Act or the Securities Act. The Company will use all reasonable efforts to apprise the undersigned of applicable filing requirements for purposes of Section 16(a) of the Exchange Act or the Securities Act.

 

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned’s holdings and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. This Power of Attorney revokes and replaces any prior Power of Attorney executed by the undersigned with respect to the ownership, acquisition or disposition of securities of the Company.

 


 

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 30th day of September, 2019.

 

 

/s/ Junge (John) Zhang

 

Name :

Junge (John) Zhang

 


 

Additional Files
FileSequenceDescriptionTypeSize
0001104659-19-053085.txt   Complete submission text file   16354
$OCGN

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