Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ocugen, Inc.OCGN · Entity 5550 | Director | December 16, 2021 | December 18, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Ocugen, Inc.
Report date December 16, 2021 · Filed December 18, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 45,000 |
Ending reported balance
After 2021-12-16 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2021-12-16 · Exercise / conversion · Acquired 13,500 · Balance 13,500 Row 2 · 2021-12-16 · Exercise / conversion · Acquired 31,500 · Balance 45,000 |
| Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.02 · Expires 2031-12-16 | Direct | 16,335 |
Reported balance
After 2021-12-16 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-12-16 · Grant · Acquired 16,335 · Balance 16,335 F2: 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. |
| Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.51 · Expires 2030-01-02 | Direct | 19,500 |
Reported balance
After 2021-12-16 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-12-16 · Exercise / conversion · Acquired 13,500 · Balance 19,500 F3: 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. |
| Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.83 · Expires 2031-01-01 | Direct | 87,500 |
Reported balance
After 2021-12-16 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-12-16 · Exercise / conversion · Acquired 31,500 · Balance 87,500 F4: 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. |
| Common StockSEC Table I · non-derivative | IndirectHeld by Scotland Parkway LLC | 27,695 |
Reported balance
Holding disclosure · report date 2021-12-16 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 27,695 F1: The Reporting Person is a managing member of Scotland Parkway LLC and has voting and investment power over securities held by Scotland Parkway LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person is a managing member of Scotland Parkway LLC and has voting and investment power over securities held by Scotland Parkway LLC.
F2: 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.
F3: 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.
F4: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 16, 2021 Filed Dec 18, 2021 02:24 UTC | Ocugen, Inc. OCGN · Entity 5550 | Exercise / conversionOption (Right to Buy) · Derivative | 31,500 | $0.00 Strike: $1.83 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 16, 2021 Filed Dec 18, 2021 02:24 UTC | Ocugen, Inc. OCGN · Entity 5550 | Exercise / conversionOption (Right to Buy) · Derivative | 13,500 | $0.00 Strike: $0.51 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 16, 2021 Filed Dec 18, 2021 02:24 UTC | Ocugen, Inc. OCGN · Entity 5550 | GrantOption (Right to Buy) · Derivative | 16,335 | $0.00 Strike: $5.02 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 16, 2021 Filed Dec 18, 2021 02:24 UTC | Ocugen, Inc. OCGN · Entity 5550 | Exercise / conversionCommon Stock | 31,500 | $1.83 | $57,645.00 |
DisclosureSEC 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. Read SEC document |
| December 16, 2021 Filed Dec 18, 2021 02:24 UTC | Ocugen, Inc. OCGN · Entity 5550 | Exercise / conversionCommon Stock | 13,500 | $0.51 | $6,885.00 |
DisclosureSEC 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. Read SEC document |
| November 02, 2021 Filed Nov 3, 2021 23:36 UTC | Ocugen, Inc. OCGN · Entity 5550 | SaleCommon Stock | 63,429 | $15.07 | $955,875.03 |
DisclosureSEC 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. Read SEC document |
| June 15, 2021 Filed Jun 17, 2021 21:23 UTC | Ocugen, Inc. OCGN · Entity 5550 | OtherWarrant (Right to Buy) · Derivative | 95,880 | $0.00 Strike: $6.30 | $0.00 |
DisclosureSEC source: 0001797537-21-000002 · edgar.xml · derivative · entry 3 Potti Manish · CIK 0001797537 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Scotland Parkway LLC Disclosed balance after: 0 Underlying: Common Stock · 95,880 shares Expires 2026-12-15 F1 · 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. Read SEC document |
| June 15, 2021 Filed Jun 17, 2021 21:23 UTC | Ocugen, Inc. OCGN · Entity 5550 | SaleCommon Stock | 68,185 | $8.86 | $604,119.10 |
DisclosureSEC source: 0001797537-21-000002 · edgar.xml · nonDerivative · entry 2 Potti Manish · CIK 0001797537 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Scotland Parkway LLC Disclosed balance after: 91,124 F2 · kind: On June 15, 2021, the Reporting Person exercised a warrant to purchase 95,880 shares of common stock for $6.30 a share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Company's withholding of 68,185 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 27,695 shares. The Company also paid $4.89 to the Reporting Person in lieu of a fractional share. F1 · 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. Read SEC document |
| June 15, 2021 Filed Jun 17, 2021 21:23 UTC | Ocugen, Inc. OCGN · Entity 5550 | OtherCommon Stock | 95,880 | $6.30 | $604,044.00 |
DisclosureSEC source: 0001797537-21-000002 · 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: 159,309 F1 · 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. Read SEC document |
| May 03, 2021 Filed May 6, 2021 00:13 UTC | Ocugen, Inc. OCGN · Entity 5550 | SaleCommon Stock | 60,000 | $15.02 | $901,200.00 |
DisclosureSEC source: 0001192482-21-000404 · edgar.xml · nonDerivative · entry 2 Potti Manish · CIK 0001797537 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Held by Scotland Parkway LLC Disclosed balance after: 63,429 F1 · shares: The 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 $15.00 to $15.10. 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. F4 · 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. Read SEC document |
| May 03, 2021 Filed May 6, 2021 00:13 UTC | Ocugen, Inc. OCGN · Entity 5550 | SaleCommon Stock | 28,000 | $15.01 | $420,280.00 |
DisclosureSEC source: 0001192482-21-000404 · edgar.xml · nonDerivative · entry 1 Potti Manish · CIK 0001797537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: The 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 $15.00 to $15.05. 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. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 01:38 UTC | Ocugen, Inc. OCGN · Entity 5550 | Exercise / conversionOprion (Right to Buy) · Derivative | 7,000 | $0.00 Strike: $1.83 | $0.00 |
DisclosureSEC source: 0001192482-21-000224 · edgar.xml · derivative · entry 5 Potti Manish · CIK 0001797537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,000 Underlying: Common Stock · 7,000 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. 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 first day of each month through January 1, 2024, subject to the Reporting Person's continued service with the Company through each such date. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 01:38 UTC | Ocugen, Inc. OCGN · Entity 5550 | Exercise / conversionOption (Right to Buy) · Derivative | 21,000 | $0.00 Strike: $0.51 | $0.00 |
DisclosureSEC source: 0001192482-21-000224 · edgar.xml · derivative · entry 4 Potti Manish · CIK 0001797537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,000 Underlying: Common Stock · 21,000 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. F2 · 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. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 01:38 UTC | Ocugen, Inc. OCGN · Entity 5550 | Exercise / conversionCommon Stock | 7,000 | $1.83 | $12,810.00 |
DisclosureSEC source: 0001192482-21-000224 · edgar.xml · nonDerivative · entry 2 Potti Manish · CIK 0001797537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,000 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. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 01:38 UTC | Ocugen, Inc. OCGN · Entity 5550 | Exercise / conversionCommon Stock | 21,000 | $0.51 | $10,710.00 |
DisclosureSEC source: 0001192482-21-000224 · edgar.xml · nonDerivative · entry 1 Potti Manish · CIK 0001797537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,000 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. Read SEC document |
| January 01, 2021 Filed Jan 4, 2021 22:39 UTC | Ocugen, Inc. OCGN · Entity 5550 | GrantOption (Right to Buy) · Derivative | 126,000 | $0.00 Strike: $1.83 | $0.00 |
DisclosureSEC source: 0001192482-21-000018 · edgar.xml · derivative · entry 1 Potti Manish · CIK 0001797537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,000 Underlying: Common Stock · 126,000 shares Expires 2031-01-01 F1 · derivative.exercise_date: The option vests monthly in equal installments over three years commencing on February 1, 2021, subject to continued service with the Company on the applicable vesting dates. Read SEC document |
| January 02, 2020 Filed Jan 4, 2020 01:32 UTC | Ocugen, Inc. OCGN · Entity 5550 | GrantOptions (Right to Buy) · Derivative | 54,000 | $0.00 Strike: $0.51 | $0.00 |
DisclosureSEC source: 0001192482-20-000019 · edgar.xml · derivative · entry 1 Potti Manish · CIK 0001797537 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,000 Underlying: Common Stock · 54,000 shares Expires 2030-01-02 F1 · derivative.exercise_date: The options vest monthly in equal installments over three years commencing on February 2, 2020, subject to continued service with the Company on the applicable vesting dates. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.