OCGN

SEC source: 0001062993-22-008356 · form4.xml · derivative · entry 2

Crespo Jessica · CIK 0001918616 · CAO/SVP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,192

Underlying: Common Stock · 84,192 shares

Expires 2032-03-18

F2 · derivative.exercise_date: The option vests annually in equal installments over three years commencing on March 18, 2023, subject to continued employment with the Company on the applicable vesting dates.

SEC source: 0001062993-22-008356 · form4.xml · nonDerivative · entry 1

Crespo Jessica · CIK 0001918616 · CAO/SVP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,440

F1 · security: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Ocugen, Inc's (the "Company's") common stock. The restricted stock units vest annually in three equal installments commencing on March 18, 2023, subject to continued employment with the Company on the applicable vesting dates. The restricted stock units will be settled on each applicable vesting date in shares of the Company's common stock.

SEC source: 0001062993-22-008132 · form4.xml · derivative · entry 4

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 904,764

Underlying: Common Stock · 81,823 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: 0001062993-22-008132 · 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 $2.61 to $2.75. 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: 0001062993-22-008132 · form4.xml · nonDerivative · entry 1

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 834,363

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: 0001062993-22-006836 · form4.xml · derivative · entry 5

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,000

Underlying: Common Stock · 49,000 shares

Expires 2031-01-01

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 126,000 shares, vest and become exercisable in equal installments over three years commencing on February 1, 2021, subject to continued service with the Company on the applicable vesting dates.

SEC source: 0001062993-22-006836 · form4.xml · derivative · entry 4

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 39,000 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.

F1 · derivative.exercise_date: The options, initially representing a right to purchase 54,000 shares, vest and become exercisable in equal installments over three years commencing on February 2, 2020, subject to continued service with Ocugen, Inc. (the "Company") on the applicable vesting dates.

SEC source: 0001062993-22-006836 · form4.xml · nonDerivative · entry 2

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,000

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: 0001062993-22-006836 · form4.xml · nonDerivative · entry 1

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,000

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: 0001062993-22-004577 · form4.xml · derivative · entry 4

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 986,587

Underlying: Common Stock · 90,000 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: 0001062993-22-004577 · 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 $3.69 to $3.82. 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: 0001062993-22-004577 · form4.xml · nonDerivative · entry 1

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 842,540

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: 0001062993-22-001294 · form4.xml · derivative · entry 3

Kumar Ramesh · CIK 0001580074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

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, vests and becomes 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: 0001062993-22-001294 · 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 $4.02 to $4.09. 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: 0001062993-22-001294 · 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: 0001062993-22-000700 · form4.xml · derivative · entry 2

Subramanian Sanjay · CIK 0001790246 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 454,007

Underlying: Common Stock · 454,007 shares

Expires 2032-01-03

F2 · derivative.exercise_date: The option vests annually in equal installments over three years commencing on January 3, 2023, subject to continued employment with the Company on the applicable vesting dates.

SEC source: 0001062993-22-000700 · form4.xml · nonDerivative · entry 1

Subramanian Sanjay · CIK 0001790246 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,125

F1 · security: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Ocugen Inc.'s (the "Company's") common stock. The restricted stock units vest annually in three equal installments commencing on January 3, 2023, subject to continued employment with the Company on the applicable vesting dates. The restricted stock units will be settled on each applicable vesting date in shares of the Company's common stock.

SEC source: 0001062993-22-000699 · form4.xml · derivative · entry 3

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,253,299

Underlying: Common Stock · 1,253,299 shares

Expires 2032-01-03

F3 · derivative.exercise_date: The option vests annually in equal installments over three years commencing on January 3, 2023, subject to continued employment with the Company on the applicable vesting dates.

SEC source: 0001062993-22-000699 · form4.xml · nonDerivative · entry 1

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 752,540

F1 · security: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of Ocugen Inc.'s (the "Company's") common stock. The restricted stock units vest annually in three equal installments commencing on January 3, 2023, subject to continued employment with the Company on the applicable vesting dates. The restricted stock units will be settled on each applicable vesting date in shares of the Company's common stock.

SEC source: 0001104659-21-151337 · tm2135818-1_4seq1.xml · derivative · entry 1

Castillo Kirsten · CIK 0001808806 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,335

Underlying: Common Stock · 16,335 shares

Expires 2031-12-16

F1 · derivative.exercise_date: The option vests monthly in equal installments over three years commencing on January 16, 2022, subject to continued service with Ocugen, Inc. on the applicable vesting dates.

SEC source: 0001104659-21-151346 · tm2135818-10_4seq1.xml · derivative · entry 1

Subramanian Sanjay · CIK 0001790246 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,120

Underlying: Common Stock · 35,560 shares

Expires 2031-04-19

F1 · derivative.exercise_price: Represents the closing price of Ocugen, Inc.'s (the "Company") common stock on the date of grant. See footnote 2 below.

F2 · shares: On April 19, 2021, the Reporting Person was granted a performance-based option to purchase 177,800 shares of the Company's common stock based on the Company's satisfaction of five performance criteria prior to the end of the Company's 2021 and 2022 fiscal years, as applicable (the "Performance-Based Option"). With respect to each performance criteria, 10% of the Performance-Based Option vests on the date of the Compensation Committee's determination that the applicable criteria has been achieved (each, a "Determination Date") and an additional 10% vests upon the first anniversary of the applicable Determination Date, subject to the grantee's continued service with the Company on such date.

F3 · shares: On December 16, 2021, the Compensation Committee determined that the second performance criteria had been achieved, resulting in the Performance-Based Option vesting in part as to 35,560 shares. 17,780 shares of the Performance-Based Option are immediately vested and exercisable, with the remaining 17,780 shares vesting on December 16, 2022, subject to the Reporting Person's continued service with the Company.

F2 · derivative.exercise_date: On April 19, 2021, the Reporting Person was granted a performance-based option to purchase 177,800 shares of the Company's common stock based on the Company's satisfaction of five performance criteria prior to the end of the Company's 2021 and 2022 fiscal years, as applicable (the "Performance-Based Option"). With respect to each performance criteria, 10% of the Performance-Based Option vests on the date of the Compensation Committee's determination that the applicable criteria has been achieved (each, a "Determination Date") and an additional 10% vests upon the first anniversary of the applicable Determination Date, subject to the grantee's continued service with the Company on such date.

F3 · derivative.exercise_date: On December 16, 2021, the Compensation Committee determined that the second performance criteria had been achieved, resulting in the Performance-Based Option vesting in part as to 35,560 shares. 17,780 shares of the Performance-Based Option are immediately vested and exercisable, with the remaining 17,780 shares vesting on December 16, 2022, subject to the Reporting Person's continued service with the Company.

SEC source: 0001104659-21-151344 · tm2135818-5_4seq1.xml · derivative · entry 6

Potti Manish · CIK 0001797537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,500

Underlying: Common Stock · 31,500 shares

Expires 2031-01-01

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 shares underlying the option exercised in this transaction were fully vested and exercisable. The remainder of the shares underlying the option shall continue to vest and become exercisable ratably on a monthly basis on the first day of each month through January 1, 2024, subject to the Reporting Person's continued service with the Company through each such date.

SEC source: 0001104659-21-151344 · tm2135818-5_4seq1.xml · derivative · entry 5

Potti Manish · CIK 0001797537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,500

Underlying: Common Stock · 13,500 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 shares underlying the option exercised in this transaction were fully vested and exercisable. The remainder of the shares underlying the option shall continue to vest and become exercisable ratably on a monthly basis on the second day of each month through January 2, 2023, subject to the Reporting Person's continued service with the Company through each such date.

SEC source: 0001104659-21-151344 · tm2135818-5_4seq1.xml · derivative · entry 4

Potti Manish · CIK 0001797537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,335

Underlying: Common Stock · 16,335 shares

Expires 2031-12-16

F2 · derivative.exercise_date: The option vests monthly in equal installments over three years commencing on January 16, 2022, subject to continued service with Ocugen, Inc. (the "Company") on the applicable vesting dates.

SEC source: 0001104659-21-151344 · tm2135818-5_4seq1.xml · nonDerivative · entry 2

Potti Manish · CIK 0001797537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

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: 0001104659-21-151344 · tm2135818-5_4seq1.xml · nonDerivative · entry 1

Potti Manish · CIK 0001797537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,500

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: 0001104659-21-151343 · tm2135818-8_4seq1.xml · derivative · entry 3

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 394,000

Underlying: Common Stock · 197,000 shares

Expires 2031-04-19

F4 · derivative.exercise_price: Represents the closing price of the Company's common stock on the date of grant. See footnote 5 & 6 below.

F5 · shares: On April 19, 2021, the Reporting Person was granted a performance-based option to purchase 985,000 shares of the Company's common stock based on the Company's satisfaction of five performance criteria prior to the end of the Company's 2021 and 2022 fiscal years, as applicable (the "Performance-Based Option"). With respect to each performance criteria, 10% of the Performance-Based Option vests on the date of the Compensation Committee's determination that the applicable criteria has been achieved (each, a "Determination Date") and an additional 10% vests upon the first anniversary of the applicable Determination Date, subject to the grantee's continued service with the Company on such date.

F6 · shares: On December 16, 2021, the Compensation Committee determined that the second performance criteria had been achieved, resulting in the Performance-Based Option vesting in part as to 197,000 shares. 98,500 shares of the Performance-Based Option are immediately vested and exercisable, with the remaining 98,500 shares vesting on December 16, 2022, subject to the Reporting Person's continued service with the Company.

F5 · derivative.exercise_date: On April 19, 2021, the Reporting Person was granted a performance-based option to purchase 985,000 shares of the Company's common stock based on the Company's satisfaction of five performance criteria prior to the end of the Company's 2021 and 2022 fiscal years, as applicable (the "Performance-Based Option"). With respect to each performance criteria, 10% of the Performance-Based Option vests on the date of the Compensation Committee's determination that the applicable criteria has been achieved (each, a "Determination Date") and an additional 10% vests upon the first anniversary of the applicable Determination Date, subject to the grantee's continued service with the Company on such date.

F6 · derivative.exercise_date: On December 16, 2021, the Compensation Committee determined that the second performance criteria had been achieved, resulting in the Performance-Based Option vesting in part as to 197,000 shares. 98,500 shares of the Performance-Based Option are immediately vested and exercisable, with the remaining 98,500 shares vesting on December 16, 2022, subject to the Reporting Person's continued service with the Company.

SEC source: 0001104659-21-151343 · tm2135818-8_4seq1.xml · nonDerivative · entry 1

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By: KVM Holdings, LLC

Disclosed balance after: 1,145,299

F1 · shares: The sale reported in 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 $5.03 to $5.39. 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.

F3 · ownership.nature: The Reporting Person is a member and officer of KVM Holdings, LLC and has voting and investment power over the shares held by KVM Holdings, LLC.

SEC source: 0001104659-21-151341 · tm2135818-3_4seq1.xml · derivative · entry 1

Kompella Uday · CIK 0001791821 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,335

Underlying: Common Stock · 16,335 shares

Expires 2031-12-16

F1 · derivative.exercise_date: The option vests monthly in equal installments over three years commencing on January 16, 2022, subject to continued service with Ocugen, Inc. on the applicable vesting dates.

SEC source: 0001104659-21-151342 · tm2135818-4_4seq1.xml · derivative · entry 1

Kumar Ramesh · CIK 0001580074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,335

Underlying: Common Stock · 16,335 shares

Expires 2031-12-16

F1 · derivative.exercise_date: The option vests monthly in equal installments over three years commencing on January 16, 2022, subject to continued service with Ocugen, Inc. on the applicable vesting dates.

SEC source: 0001104659-21-151339 · tm2135818-2_4seq1.xml · derivative · entry 1

Fernandes Prabhavathi · CIK 0001540883 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,335

Underlying: Common Stock · 16,335 shares

Expires 2031-12-16

F1 · derivative.exercise_date: The option vests monthly in equal installments over three years commencing on January 16, 2022, subject to continued service with Ocugen, Inc. on the applicable vesting dates.

SEC source: 0001104659-21-151338 · tm2135818-6_4seq1.xml · derivative · entry 1

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,335

Underlying: Common Stock · 16,335 shares

Expires 2031-12-16

F1 · derivative.exercise_date: The option vests monthly in equal installments over three years commencing on January 16, 2022, subject to continued service with Ocugen, Inc. on the applicable vesting dates.

SEC source: 0001192482-21-000755 · edgar.xml · derivative · entry 3

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,000

Underlying: Common Stock · 197,000 shares

Expires 2031-04-19

F4 · derivative.exercise_price: Represents the closing price of the Company's common stock on the date of grant. See footnote 5 below.

F5 · shares: On April 19, 2021, the Reporting Person was granted a performance-based option to purchase 985,000 shares of the Company's common stock based on the Company's satisfaction of five performance criteria prior to the end of the Company's 2021 and 2022 fiscal years, as applicable (the "Performance-Based Option"). With respect to each performance criteria, 10% of the Performance-Based Option vests on the date of the Compensation Committee's determination that the applicable criteria has been achieved (each, a "Determination Date") and an additional 10% vests upon the first anniversary of the applicable Determination Date, subject to the grantee's continued service with the Company on such date. On November 16, 2021, the Compensation Committee determined that one of the performance criteria had been achieved, resulting in the Performance-Based Option vesting in part as to 197,000 shares. 98,500 shares of the Performance-Based Option are immediately vested and exercisable, with the remaining 98,500 shares vesting on November 16, 2022, subject to the Reporting Person's continued service with the Company.

F5 · derivative.exercise_date: On April 19, 2021, the Reporting Person was granted a performance-based option to purchase 985,000 shares of the Company's common stock based on the Company's satisfaction of five performance criteria prior to the end of the Company's 2021 and 2022 fiscal years, as applicable (the "Performance-Based Option"). With respect to each performance criteria, 10% of the Performance-Based Option vests on the date of the Compensation Committee's determination that the applicable criteria has been achieved (each, a "Determination Date") and an additional 10% vests upon the first anniversary of the applicable Determination Date, subject to the grantee's continued service with the Company on such date. On November 16, 2021, the Compensation Committee determined that one of the performance criteria had been achieved, resulting in the Performance-Based Option vesting in part as to 197,000 shares. 98,500 shares of the Performance-Based Option are immediately vested and exercisable, with the remaining 98,500 shares vesting on November 16, 2022, subject to the Reporting Person's continued service with the Company.

SEC source: 0001192482-21-000755 · edgar.xml · nonDerivative · entry 1

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By: KVM Holdings, LLC

Disclosed balance after: 1,260,299

F1 · shares: The sale reported in 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 $7.86 to $8.22. 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.

F3 · ownership.nature: The Reporting Person is a member and officer of KVM Holdings, LLC and has voting and investment power over the shares held by KVM Holdings, LLC.

SEC source: 0001192482-21-000754 · edgar.xml · derivative · entry 1

Subramanian Sanjay · CIK 0001790246 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,560

Underlying: Common Stock · 35,560 shares

Expires 2031-04-19

F1 · derivative.exercise_price: Represents the closing price of Ocugen, Inc.'s (the "Company") common stock on the date of grant. See footnote 2 below.

F2 · shares: On April 19, 2021, the Reporting Person was granted a performance-based option to purchase 177,800 shares of the Company's common stock based on the Company's satisfaction of five performance criteria prior to the end of the Company's 2021 and 2022 fiscal years, as applicable (the "Performance-Based Option"). With respect to each performance criteria, 10% of the Performance-Based Option vests on the date of the Compensation Committee's determination that the applicable criteria has been achieved (each, a "Determination Date") and an additional 10% vests upon the first anniversary of the applicable Determination Date, subject to the grantee's continued service with the Company on such date. On November 16, 2021, the Compensation Committee determined that one of the performance criteria had been achieved, resulting in the Performance-Based Option vesting in part as to 35,560 shares. 17,780 shares of the Performance-Based Option are immediately vested and exercisable, with the remaining 17,780 shares vesting on November 16, 2022, subject to the Reporting Person's continued service with the Company.

F2 · derivative.exercise_date: On April 19, 2021, the Reporting Person was granted a performance-based option to purchase 177,800 shares of the Company's common stock based on the Company's satisfaction of five performance criteria prior to the end of the Company's 2021 and 2022 fiscal years, as applicable (the "Performance-Based Option"). With respect to each performance criteria, 10% of the Performance-Based Option vests on the date of the Compensation Committee's determination that the applicable criteria has been achieved (each, a "Determination Date") and an additional 10% vests upon the first anniversary of the applicable Determination Date, subject to the grantee's continued service with the Company on such date. On November 16, 2021, the Compensation Committee determined that one of the performance criteria had been achieved, resulting in the Performance-Based Option vesting in part as to 35,560 shares. 17,780 shares of the Performance-Based Option are immediately vested and exercisable, with the remaining 17,780 shares vesting on November 16, 2022, subject to the Reporting Person's continued service with the Company.

SEC source: 0001104659-21-151340 · tm2135818-7_4seq1.xml · derivative · entry 4

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Gupiao Trust

Disclosed balance after: 0

Underlying: Common Stock · 1,653 shares

Expires 2027-06-17

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

SEC source: 0001104659-21-151340 · tm2135818-7_4seq1.xml · derivative · entry 3

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Gupiao Trust

Disclosed balance after: 0

Underlying: Common Stock · 143,820 shares

Expires 2026-11-18

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

SEC source: 0001104659-21-151340 · tm2135818-7_4seq1.xml · nonDerivative · entry 2

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Gupiao Trust

Disclosed balance after: 876,904

SEC source: 0001104659-21-151340 · tm2135818-7_4seq1.xml · nonDerivative · entry 1

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Gupiao Trust

Disclosed balance after: 875,251

SEC source: 0001891015-21-000012 · edgar.xml · nonDerivative · entry 1

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Gupiao Trust

Disclosed balance after: 731,431

F1 · shares: This sale reported in 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 $17.00 to $17.47. 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 range set forth in this footnote.

SEC source: 0001891015-21-000008 · edgar.xml · nonDerivative · entry 1

Castillo Kirsten · CIK 0001808806 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

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

SEC source: 0001891015-21-000011 · edgar.xml · nonDerivative · entry 2

Kompella Uday · CIK 0001791821 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Kompella LLC

Disclosed balance after: 154,416

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0001891015-21-000007 · edgar.xml · nonDerivative · entry 1

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Gupiao Trust

Disclosed balance after: 881,731

F1 · shares: This sale reported in 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 $15.50 to $16.27. 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 range set forth in this footnote.

F3 · balance_after: The Reporting Person previously transferred 818,578 shares of common stock held directly by the Reporting Person to the Gupiao Trust in March 2021.

SEC source: 0001891015-21-000009 · edgar.xml · nonDerivative · entry 1

Potti Manish · CIK 0001797537 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Scotland Parkway LLC

Disclosed balance after: 27,695

F1 · shares: This sale reported in 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 $15.00 to $15.16. 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 range set forth in this footnote.

F3 · ownership.nature: The Reporting Person is a managing member of Scotland Parkway LLC and has voting and investment power over securities held by Scotland Parkway LLC.

SEC source: 0001891015-21-000011 · edgar.xml · nonDerivative · entry 1

Kompella Uday · CIK 0001791821 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Kompella LLC

Disclosed balance after: 179,416

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0001891015-21-000010 · edgar.xml · derivative · entry 4

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 622,352

Underlying: Common Stock · 115,367 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 option, initially representing a right to purchase a total of 933,528 shares, vests and becomes exercisable annually in equal installments over three years commencing on January 2, 2021, subject to continued employment with the Company on the applicable vesting dates.

SEC source: 0001891015-21-000010 · edgar.xml · nonDerivative · entry 2

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,000

F1 · shares: The sale reported in 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 $14.07 to $14.33. 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: 0001891015-21-000010 · edgar.xml · nonDerivative · entry 1

Musunuri Shankar · CIK 0001791820 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 521,367

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: 0001879785-21-000013 · edgar.xml · nonDerivative · entry 1

Subramanian Sanjay · CIK 0001790246 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,591

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

SEC source: 0001192482-21-000746 · edgar.xml · nonDerivative · entry 2

Kompella Uday · CIK 0001791821 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Kompella LLC

Disclosed balance after: 204,416

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.