Form 4 Zhang Junge

Statement of changes in beneficial ownership of securities

Published: 2019-10-04 13:34:39
Submitted: 2019-10-04
Period Ending In: 2019-09-30
>

SEC FORM 4

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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. Issuer Name and Ticker or Trading Symbol
Ocugen, Inc. [ OCGN ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
09/30/2019
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 09/30/2019 P 197 A $2.45 197 D
Common Stock 09/30/2019 P 200 A $2.46 397 D
Common Stock 09/30/2019 P 1,358 A $2.47 1,755 D
Common Stock 09/30/2019 P 100 A $2.45 1,855 D
Common Stock 09/30/2019 P 3,000 A $2.48 4,855 D
Common Stock 09/30/2019 P 660 A $2.5 5,515 D
Common Stock 09/30/2019 P 200 A $2.49 5,715 D
Common Stock 09/30/2019 P 200 A $2.62 5,915 D
Common Stock 09/30/2019 P 10,000 A $3.1 15,915 D
Common Stock 09/30/2019 P 2,000 A $3.35 17,915 D
Common Stock 09/30/2019 P 1,163 A $3.1 19,078 D
Common Stock 09/30/2019 P 2,000 A $3.8 21,078 D
Common Stock 09/30/2019 P 5,000 A $3.35 26,078 D
Common Stock 09/30/2019 P 3,000 A $3.3 29,078 D
Common Stock 09/30/2019 P 2,000 A $2.95 31,078 D
Common Stock 212,863 I By Trust
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
/s/ John 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 4 (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
a4.xml 4
Schema Version:
X0306
Document Type:
4
Period Of Report:
2019-09-30
Not Subject To Section16:
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.
Rpt Owner Street2
5 GREAT VALLEY PARKWAY, 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 Table

Non Derivative Transaction

Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
197
Transaction Price Per Share
2.45
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
197
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
200
Transaction Price Per Share
2.46
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
397
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
1358
Transaction Price Per Share
2.47
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
1755
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
100
Transaction Price Per Share
2.45
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
1855
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
3000
Transaction Price Per Share
2.48
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
4855
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
660
Transaction Price Per Share
2.50
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
5515
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
200
Transaction Price Per Share
2.49
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
5715
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
200
Transaction Price Per Share
2.62
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
5915
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
10000
Transaction Price Per Share
3.10
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
15915
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
2000
Transaction Price Per Share
3.35
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
17915
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
1163
Transaction Price Per Share
3.10
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
19078
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
2000
Transaction Price Per Share
3.80
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
21078
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
5000
Transaction Price Per Share
3.35
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
26078
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
3000
Transaction Price Per Share
3.30
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
29078
Direct Or Indirect Ownership
D
Security Title
Common Stock
Transaction Date
2019-09-30

Transaction Coding

Transaction Form Type
4
Transaction Code
P
Equity Swap Involved
0

Transaction Amounts

Transaction Shares
2000
Transaction Price Per Share
2.95
Transaction Acquired Disposed Code
A
Shares Owned Following Transaction
31078
Direct Or Indirect Ownership
D

Non Derivative Holding

Security Title
Common Stock
Shares Owned Following Transaction
212863

Ownership Nature

Direct Or Indirect Ownership
I
Nature Of Ownership
By Trust

Owner Signature

Signature Name
/s/ John Zhang by [Kelly Beck], his attorney-in-fact
Signature Date
2019-10-02
Additional Files
FileSequenceDescriptionTypeSize
0001104659-19-053095.txt   Complete submission text file   25645
$OCGN

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