Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ocugen, Inc.HSGX · Entity 5550 | Chief Business Officer | October 01, 2018 | October 03, 2018 |
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 October 01, 2018 · Filed October 03, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.67 · Expires 2027-06-04 | Direct | 0 |
Reported balance
After 2018-10-01 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-10-01 · Disposition to issuer · Disposed 195,000 · Balance 0 F1: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options. F2: The stock option was originally granted to the Reporting Person on June 5, 2017, This option vests over four (4) years of service to the Issuer following June 5, 2017, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.57 · Expires 2027-06-04 | Direct | 195,000 |
Reported balance
After 2018-10-01 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-10-01 · Grant · Acquired 195,000 · Balance 195,000 F1: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options. F2: The stock option was originally granted to the Reporting Person on June 5, 2017, This option vests over four (4) years of service to the Issuer following June 5, 2017, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.63 · Expires 2028-02-15 | Direct | 0 |
Reported balance
After 2018-10-01 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-10-01 · Disposition to issuer · Disposed 105,000 · Balance 0 F1: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options. F3: The stock option was originally granted to the Reporting Person on February 16, 2018. This option vests over four (4) years of service to the Issuer following February 16, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.57 · Expires 2028-02-15 | Direct | 105,000 |
Reported balance
After 2018-10-01 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2018-10-01 · Grant · Acquired 105,000 · Balance 105,000 F1: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options. F3: The stock option was originally granted to the Reporting Person on February 16, 2018. This option vests over four (4) years of service to the Issuer following February 16, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options.
F2: The stock option was originally granted to the Reporting Person on June 5, 2017, This option vests over four (4) years of service to the Issuer following June 5, 2017, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter.
F3: The stock option was originally granted to the Reporting Person on February 16, 2018. This option vests over four (4) years of service to the Issuer following February 16, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter.
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 |
|---|---|---|---|---|---|---|
| October 01, 2018 Filed Oct 3, 2018 21:01 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantEmployee Stock Option (Right to Buy) · Derivative | 105,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0000899243-18-026058 · doc4.xml · derivative · entry 4 Haut Donald · CIK 0001708374 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,000 Underlying: Common Stock · 105,000 shares Expires 2028-02-15 F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options. F3 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on February 16, 2018. This option vests over four (4) years of service to the Issuer following February 16, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 21:01 UTC | Ocugen, Inc. HSGX · Entity 5550 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 105,000 | $0.00 Strike: $2.63 | $0.00 |
DisclosureSEC source: 0000899243-18-026058 · doc4.xml · derivative · entry 3 Haut Donald · CIK 0001708374 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 105,000 shares Expires 2028-02-15 F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options. F3 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on February 16, 2018. This option vests over four (4) years of service to the Issuer following February 16, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 21:01 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantEmployee Stock Option (Right to Buy) · Derivative | 195,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0000899243-18-026058 · doc4.xml · derivative · entry 2 Haut Donald · CIK 0001708374 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,000 Underlying: Common Stock · 195,000 shares Expires 2027-06-04 F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options. F2 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on June 5, 2017, This option vests over four (4) years of service to the Issuer following June 5, 2017, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 21:01 UTC | Ocugen, Inc. HSGX · Entity 5550 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 195,000 | $0.00 Strike: $1.67 | $0.00 |
DisclosureSEC source: 0000899243-18-026058 · doc4.xml · derivative · entry 1 Haut Donald · CIK 0001708374 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 195,000 shares Expires 2027-06-04 F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options. F2 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on June 5, 2017, This option vests over four (4) years of service to the Issuer following June 5, 2017, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter. Read SEC document |
| February 16, 2018 Filed Feb 21, 2018 21:51 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantEmployee Stock Option (Right to Buy) · Derivative | 105,000 | $0.00 Strike: $2.63 | $0.00 |
DisclosureSEC source: 0000899243-18-004809 · doc4.xml · derivative · entry 1 Haut Donald · CIK 0001708374 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,000 Underlying: Common Stock · 105,000 shares Expires 2028-02-15 F1 · derivative.exercise_date: This option vests over four (4) years of service following February 16, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and the balance vesting in thirty-six (36) equal monthly installments thereafter. Read SEC document |
| June 05, 2017 Filed Jun 6, 2017 21:30 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantEmployee Stock Option (Right to Buy) · Derivative | 195,000 | $0.00 Strike: $1.67 | $0.00 |
DisclosureSEC source: 0000899243-17-015522 · doc4.xml · derivative · entry 1 Haut Donald · CIK 0001708374 · Chief Business Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,000 Underlying: Common Stock · 195,000 shares Expires 2027-06-04 F1 · derivative.exercise_date: This option vests over four (4) years of service following June 5, 2017, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and the balance vesting in thirty-six (36) equal monthly installments thereafter. 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.