OCGN

SEC source: 0001104659-23-070026 · tm2318370-5_4seq1.xml · derivative · entry 1

Fernandes Prabhavathi · CIK 0001540883 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,205

Underlying: Common Stock · 112,205 shares

Expires 2033-06-09

F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 9, 2024 or (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001104659-23-070025 · tm2318370-4_4seq1.xml · derivative · entry 1

Kompella Uday · CIK 0001791821 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,205

Underlying: Common Stock · 112,205 shares

Expires 2033-06-09

F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 9, 2024 or (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001104659-23-070023 · tm2318370-3_4seq1.xml · derivative · entry 1

Kumar Ramesh · CIK 0001580074 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,205

Underlying: Common Stock · 112,205 shares

Expires 2033-06-09

F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 9, 2024 or (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001104659-23-070017 · tm2318370-1_4seq1.xml · derivative · entry 1

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,205

Underlying: Common Stock · 112,205 shares

Expires 2033-06-09

F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 9, 2024 or (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001062993-23-004080 · form4.xml · derivative · entry 5

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,764

Underlying: Common Stock · 100,000 shares

Expires 2030-05-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: The options, initially representing a right to purchase 1,357,145 shares, vest and become exercisable in equal annual installments over three years commencing on May 7, 2021, subject to continued service with the Company on the applicable vesting dates.

SEC source: 0001062993-23-004080 · form4.xml · nonDerivative · entry 3

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,190,073

F2 · shares: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.06 to $1.10. The Reporting Person undertakes to provide Ocugen, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001062993-23-004080 · form4.xml · nonDerivative · entry 2

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,290,073

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-23-001081 · form4.xml · derivative · entry 4

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 326,543

Underlying: Common Stock · 100,000 shares

Expires 2030-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The options, initially representing a right to purchase 933,528 shares, vest and become exercisable in equal annual installments over three years commencing on January 2, 2021, subject to continued service with the Company on the applicable vesting dates.

SEC source: 0001062993-23-001081 · form4.xml · nonDerivative · entry 2

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,227,950

F1 · shares: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.27 to $1.31. The Reporting Person undertakes to provide Ocugen, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001062993-23-001081 · form4.xml · nonDerivative · entry 1

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,327,950

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-23-000488 · form4.xml · derivative · entry 2

Crespo Jessica · CIK 0001918616 · CAO/SVP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,638

Underlying: Common Stock · 147,638 shares

Expires 2033-01-03

F2 · derivative.exercise_date: The option vests annually in equal installments over three years commencing on January 3, 2024, subject to continued service with the Company on the applicable vesting dates.

SEC source: 0001062993-23-000488 · form4.xml · nonDerivative · entry 1

Crespo Jessica · CIK 0001918616 · CAO/SVP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,391

F1 · security: Reflects the grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Ocugen Inc.'s (the "Company's") common stock. The RSUs vest annually in three equal installments commencing on January 3, 2024, subject to continued service with the Company on the applicable vesting dates. The RSUs will be settled on each applicable vesting date in shares of the Company's common stock.

SEC source: 0001062993-23-000490 · form4.xml · derivative · entry 2

Upadhyay Arun · CIK 0001960039 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 379,357

Underlying: Common Stock · 379,357 shares

Expires 2033-01-03

F2 · derivative.exercise_date: The option vests annually in equal installments over three years commencing on January 3, 2024, subject to continued service with the Company on the applicable vesting dates.

SEC source: 0001062993-23-000490 · form4.xml · nonDerivative · entry 1

Upadhyay Arun · CIK 0001960039 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,083

F1 · security: Reflects the grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Ocugen Inc.'s (the "Company's") common stock. The RSUs vest annually in three equal installments commencing on January 3, 2024, subject to continued service with the Company on the applicable vesting dates. The RSUs will be settled on each applicable vesting date in shares of the Company's common stock.

SEC source: 0001062993-23-000487 · form4.xml · derivative · entry 3

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,771,654

Underlying: Common Stock · 1,771,654 shares

Expires 2033-01-03

F3 · derivative.exercise_date: The option vests annually in equal installments over three years commencing on January 3, 2024, subject to continued service with the Company on the applicable vesting dates.

SEC source: 0001062993-23-000487 · form4.xml · nonDerivative · entry 1

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,227,950

F1 · security: Reflects the grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Ocugen Inc.'s (the "Company's") common stock. The RSUs vest annually in three equal installments commencing on January 3, 2024, subject to continued service with the Company on the applicable vesting dates. The RSUs will be settled on each applicable vesting date in shares of the Company's common stock.

SEC source: 0001062993-23-004084 · form4.xml · nonDerivative · entry 1

Upadhyay Arun · CIK 0001960039 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392,981

F1 · date: This Form 4 is being filed late due to an administrative error.

SEC source: 0001062993-23-004082 · form4.xml · nonDerivative · entry 1

Crespo Jessica · CIK 0001918616 · CAO/SVP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,478

F1 · date: This Form 4 is being filed late due to an administrative error.

SEC source: 0001062993-23-004080 · form4.xml · nonDerivative · entry 1

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,190,073

F1 · date: This Form 4 is being filed late due to an administrative error.

SEC source: 0001062993-22-024210 · form4.xml · derivative · entry 4

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 426,543

Underlying: Common Stock · 95,809 shares

Expires 2030-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The options, initially representing a right to purchase 933,528 shares, vest and become exercisable in equal annual installments over three years commencing on January 2, 2021, subject to continued service with the Company on the applicable vesting dates.

SEC source: 0001062993-22-024210 · form4.xml · nonDerivative · entry 2

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 752,540

F1 · shares: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.39 to $1.54. The Reporting Person undertakes to provide Ocugen, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001062993-22-024210 · form4.xml · nonDerivative · entry 1

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 848,349

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-22-020804 · form4.xml · derivative · entry 4

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 522,352

Underlying: Common Stock · 100,000 shares

Expires 2030-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The options, initially representing a right to purchase 933,528 shares, vest and become exercisable in equal annual installments over three years commencing on January 2, 2021, subject to continued service with the Company on the applicable vesting dates.

SEC source: 0001062993-22-020804 · form4.xml · nonDerivative · entry 2

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 752,540

F1 · shares: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.63 to $1.74. The Reporting Person undertakes to provide Ocugen, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001062993-22-020804 · form4.xml · nonDerivative · entry 1

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 852,540

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-22-020658 · form4.xml · derivative · entry 3

Kumar Ramesh · CIK 0001580074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

Underlying: Common Stock · 4,500 shares

Expires 2030-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The options, initially representing a right to purchase 54,000 shares, vest and become exercisable in equal monthly installments over three years commencing on February 2, 2020, subject to continued service with Ocugen, Inc. on the applicable vesting dates.

SEC source: 0001062993-22-020658 · form4.xml · nonDerivative · entry 2

Kumar Ramesh · CIK 0001580074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0001062993-22-020658 · form4.xml · nonDerivative · entry 1

Kumar Ramesh · CIK 0001580074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-22-017866 · form4.xml · derivative · entry 3

Castillo Kirsten · CIK 0001808806 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 42,000 shares

Expires 2030-04-05

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The options, initially representing a right to purchase 54,000 shares, vest and become exercisable in equal monthly installments over three years commencing on May 5, 2020, subject to continued service with the Company on the applicable vesting dates.

SEC source: 0001062993-22-017866 · form4.xml · nonDerivative · entry 2

Castillo Kirsten · CIK 0001808806 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.89 to $2.94. The Reporting Person undertakes to provide Ocugen, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001062993-22-017866 · form4.xml · nonDerivative · entry 1

Castillo Kirsten · CIK 0001808806 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-22-016559 · form4.xml · derivative · entry 3

Kumar Ramesh · CIK 0001580074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 7,500 shares

Expires 2030-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The options, initially representing a right to purchase 54,000 shares, vest and become exercisable in equal monthly installments over three years commencing on February 2, 2020, subject to continued service with the Company on the applicable vesting dates.

SEC source: 0001062993-22-016559 · form4.xml · nonDerivative · entry 2

Kumar Ramesh · CIK 0001580074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.56 to $2.61. The Reporting Person undertakes to provide Ocugen, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001062993-22-016559 · form4.xml · nonDerivative · entry 1

Kumar Ramesh · CIK 0001580074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-22-016384 · form4.xml · derivative · entry 4

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 629,764

Underlying: Common Stock · 150,000 shares

Expires 2030-05-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The options, initially representing a right to purchase 1,357,145 shares, vest and become exercisable in equal annual installments over three years commencing on May 7, 2021, subject to continued employment with the Company on the applicable vesting dates.

SEC source: 0001062993-22-016384 · form4.xml · nonDerivative · entry 2

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 752,540

F1 · shares: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.63 to $2.87. The Reporting Person undertakes to provide Ocugen, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001062993-22-016384 · form4.xml · nonDerivative · entry 1

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 902,540

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-22-014513 · form4.xml · derivative · entry 1

Castillo Kirsten · CIK 0001808806 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,091

Underlying: Common Stock · 140,091 shares

Expires 2032-06-07

F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 7, 2023 and (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001062993-22-014512 · form4.xml · derivative · entry 1

WHITTINGTON MARNA C · CIK 0001227918 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,091

Underlying: Common Stock · 140,091 shares

Expires 2032-06-07

F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 7, 2023 and (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001062993-22-014511 · form4.xml · derivative · entry 1

Kompella Uday · CIK 0001791821 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,091

Underlying: Common Stock · 140,091 shares

Expires 2032-06-07

F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 7, 2023 and (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001062993-22-014514 · form4.xml · derivative · entry 1

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,091

Underlying: Common Stock · 140,091 shares

Expires 2032-06-07

F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 7, 2023 and (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001062993-22-014510 · form4.xml · derivative · entry 1

Kumar Ramesh · CIK 0001580074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,091

Underlying: Common Stock · 140,091 shares

Expires 2032-06-07

F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 7, 2023 and (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001062993-22-014509 · form4.xml · derivative · entry 1

Fernandes Prabhavathi · CIK 0001540883 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,091

Underlying: Common Stock · 140,091 shares

Expires 2032-06-07

F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 7, 2023 and (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001062993-22-012359 · form4.xml · derivative · entry 4

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 779,764

Underlying: Common Stock · 125,000 shares

Expires 2030-05-07

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The options, initially representing a right to purchase 1,357,145 shares, vest and become exercisable in equal annual installments over three years commencing on May 7, 2021, subject to continued employment with the Company on the applicable vesting dates.

SEC source: 0001062993-22-012359 · form4.xml · nonDerivative · entry 2

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 752,540

F1 · shares: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $1.90 to $1.96. The Reporting Person undertakes to provide Ocugen, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001062993-22-012359 · form4.xml · nonDerivative · entry 1

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 877,540

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-22-010494 · form4.xml · derivative · entry 3

Kumar Ramesh · CIK 0001580074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,500

Underlying: Common Stock · 7,500 shares

Expires 2030-01-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The options, initially representing a right to purchase 54,000 shares, vest and become exercisable in equal monthly installments over three years commencing on February 2, 2020, subject to continued service with the Company on the applicable vesting dates.

SEC source: 0001062993-22-010494 · form4.xml · nonDerivative · entry 2

Kumar Ramesh · CIK 0001580074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: This sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.79 to $2.89. The Reporting Person undertakes to provide Ocugen, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001062993-22-010494 · form4.xml · nonDerivative · entry 1

Kumar Ramesh · CIK 0001580074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001062993-22-008446 · form4.xml · derivative · entry 1

WHITTINGTON MARNA C · CIK 0001227918 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,383

Underlying: Common Stock · 106,383 shares

Expires 2032-03-21

F1 · derivative.exercise_date: The option vests monthly in equal installments over three years commencing on April 21, 2022, subject to continued service with Ocugen, Inc. through the applicable vesting dates.