04/02/2026 | Press release | Distributed by Public on 04/02/2026 19:27
|
FORM 4
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN 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 |
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||||||
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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 control number. | SEC 1474 (9-02) | ||
|
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 Underlying Securities (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 of Derivative Security: 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 | ||||||||
| Option (right to buy) | $0.51 | 04/01/2026 | M | 15,000 | (1) | 01/02/2030 | Common Stock | 15,000 | $ 0 | 0 | D | ||||
| Option (right to buy) | $0.46 | 04/01/2026 | M | 112,205 | (2) | 06/09/2033 | Common Stock | 112,205 | $ 0 | 0 | D | ||||
| Option (right to buy) | $1.42 | 04/01/2026 | M | 66,929 | (3) | 06/28/2034 | Common Stock | 66,929 | $ 0 | 0 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
|
Zhang Junge C/O OCUGEN, INC. 11 GREAT VALLEY PARKWAY MALVERN, PA 19355 |
X | |||
| /s/ Shankar Musunuri, attorney-in-fact | 04/02/2026 | |
| **Signature of Reporting Person | Date |
| * | 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). |
| (1) | The option, initially representing a right to purchase 54,000 shares, vested and became exercisable in equal installments over three years commencing on January 2, 2020. |
| (2) | The option, representing a right to purchase 112,205 shares, vested and became exercisable on June 9, 2024. |
| (3) | The option, representing a right to purchase 66,929 shares, vested and became exercisable on June 28, 2025. |