Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Ocugen, Inc.HSGX · Entity 5550 | Director · President and CEO | 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 $7.99 · Expires 2024-04-29 | 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 197,435 · 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 April 30, 2014 and is vested with respect to all of the shares underlying the option. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.57 · Expires 2024-04-29 | Direct | 197,435 |
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 197,435 · Balance 197,435 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 April 30, 2014 and is vested with respect to all of the shares underlying the option. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.97 · Expires 2024-07-16 | 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 38,220 · 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 July 17, 2014 and is vested with respect to all of the shares underlying the option. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.57 · Expires 2024-07-16 | Direct | 38,220 |
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 38,220 · Balance 38,220 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 July 17, 2014 and is vested with respect to all of the shares underlying the option. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.96 · Expires 2025-02-26 | Direct | 0 |
Reported balance
After 2018-10-01 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2018-10-01 · Disposition to issuer · Disposed 104,000 · 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. F4: The stock option was originally granted to the Reporting Person on February 26, 2015. This option vests over four (4) years of service following February 26, 2016, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and 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 2025-02-26 | Direct | 104,000 |
Reported balance
After 2018-10-01 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2018-10-01 · Grant · Acquired 104,000 · Balance 104,000 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. F4: The stock option was originally granted to the Reporting Person on February 26, 2015. This option vests over four (4) years of service following February 26, 2016, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and in thirty-six (36) equal monthly installments thereafter. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.58 · Expires 2026-12-16 | Direct | 0 |
Reported balance
After 2018-10-01 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2018-10-01 · Disposition to issuer · Disposed 175,000 · 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. F5: The stock option was originally granted to the Reporting Person on December 16, 2016. This option vests over four (4) years of service to the Issuer following February 26, 2016, 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 2026-12-16 | Direct | 175,000 |
Reported balance
After 2018-10-01 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2018-10-01 · Grant · Acquired 175,000 · Balance 175,000 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. F5: The stock option was originally granted to the Reporting Person on December 16, 2016. This option vests over four (4) years of service to the Issuer following February 26, 2016, 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 $1.72 · Expires 2027-02-14 | Direct | 0 |
Reported balance
After 2018-10-01 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2018-10-01 · Disposition to issuer · Disposed 175,000 · 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. F6: The stock option was originally granted to the Reporting Person on February 14, 2017, This option vests over four (4) years of service to the Issuer following February 14, 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 2027-02-14 | Direct | 175,000 |
Reported balance
After 2018-10-01 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2018-10-01 · Grant · Acquired 175,000 · Balance 175,000 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. F6: The stock option was originally granted to the Reporting Person on February 14, 2017, This option vests over four (4) years of service to the Issuer following February 14, 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 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2018-10-01 · Disposition to issuer · Disposed 300,000 · 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. F7: 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 | 300,000 |
Reported balance
After 2018-10-01 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2018-10-01 · Grant · Acquired 300,000 · Balance 300,000 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. F7: 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 $9.96 · Expires 2025-02-26 | Direct | 0 |
Reported balance
After 2018-10-01 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2018-10-01 · Disposition to issuer · Disposed 60,000 · Balance 0 F8: This transaction reflects the cancellation for no consideration of certain outstanding stock options to purchase common stock of the Issuer that were previously granted to the Reporting Person (the "Cancelled Options"). F9: The Cancelled Option was originally granted to the Reporting Person on February 26, 2015 and was to vest in full if the Issuer's Common Stock price reached $19.92 per shares or above for any consecutive sixty (60) day period within four (4) years of the date of grant. |
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 April 30, 2014 and is vested with respect to all of the shares underlying the option.
F3: The stock option was originally granted to the Reporting Person on July 17, 2014 and is vested with respect to all of the shares underlying the option.
F4: The stock option was originally granted to the Reporting Person on February 26, 2015. This option vests over four (4) years of service following February 26, 2016, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and in thirty-six (36) equal monthly installments thereafter.
F5: The stock option was originally granted to the Reporting Person on December 16, 2016. This option vests over four (4) years of service to the Issuer following February 26, 2016, 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.
F6: The stock option was originally granted to the Reporting Person on February 14, 2017, This option vests over four (4) years of service to the Issuer following February 14, 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.
F7: 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.
F8: This transaction reflects the cancellation for no consideration of certain outstanding stock options to purchase common stock of the Issuer that were previously granted to the Reporting Person (the "Cancelled Options").
F9: The Cancelled Option was originally granted to the Reporting Person on February 26, 2015 and was to vest in full if the Issuer's Common Stock price reached $19.92 per shares or above for any consecutive sixty (60) day period within four (4) years of the date of grant.
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 17:00 UTC | Ocugen, Inc. HSGX · Entity 5550 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 60,000 | $0.00 Strike: $9.96 | $0.00 |
DisclosureSEC source: 0000899243-18-026056 · doc4.xml · derivative · entry 13 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,000 shares Expires 2025-02-26 F8 · kind: This transaction reflects the cancellation for no consideration of certain outstanding stock options to purchase common stock of the Issuer that were previously granted to the Reporting Person (the "Cancelled Options"). F9 · derivative.exercise_date: The Cancelled Option was originally granted to the Reporting Person on February 26, 2015 and was to vest in full if the Issuer's Common Stock price reached $19.92 per shares or above for any consecutive sixty (60) day period within four (4) years of the date of grant. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 17:00 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantEmployee Stock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0000899243-18-026056 · doc4.xml · derivative · entry 12 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 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. F7 · 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 17:00 UTC | Ocugen, Inc. HSGX · Entity 5550 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $2.63 | $0.00 |
DisclosureSEC source: 0000899243-18-026056 · doc4.xml · derivative · entry 11 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 300,000 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. F7 · 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 17:00 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantEmployee Stock Option (Right to Buy) · Derivative | 175,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0000899243-18-026056 · doc4.xml · derivative · entry 10 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,000 Underlying: Common Stock · 175,000 shares Expires 2027-02-14 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. F6 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on February 14, 2017, This option vests over four (4) years of service to the Issuer following February 14, 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 17:00 UTC | Ocugen, Inc. HSGX · Entity 5550 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 175,000 | $0.00 Strike: $1.72 | $0.00 |
DisclosureSEC source: 0000899243-18-026056 · doc4.xml · derivative · entry 9 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 175,000 shares Expires 2027-02-14 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. F6 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on February 14, 2017, This option vests over four (4) years of service to the Issuer following February 14, 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 17:00 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantEmployee Stock Option (Right to Buy) · Derivative | 175,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0000899243-18-026056 · doc4.xml · derivative · entry 8 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,000 Underlying: Common Stock · 175,000 shares Expires 2026-12-16 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. F5 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on December 16, 2016. This option vests over four (4) years of service to the Issuer following February 26, 2016, 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 17:00 UTC | Ocugen, Inc. HSGX · Entity 5550 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 175,000 | $0.00 Strike: $1.58 | $0.00 |
DisclosureSEC source: 0000899243-18-026056 · doc4.xml · derivative · entry 7 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 175,000 shares Expires 2026-12-16 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. F5 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on December 16, 2016. This option vests over four (4) years of service to the Issuer following February 26, 2016, 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 17:00 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantEmployee Stock Option (Right to Buy) · Derivative | 104,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0000899243-18-026056 · doc4.xml · derivative · entry 6 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,000 Underlying: Common Stock · 104,000 shares Expires 2025-02-26 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. F4 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on February 26, 2015. This option vests over four (4) years of service following February 26, 2016, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and in thirty-six (36) equal monthly installments thereafter. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 17:00 UTC | Ocugen, Inc. HSGX · Entity 5550 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 104,000 | $0.00 Strike: $9.96 | $0.00 |
DisclosureSEC source: 0000899243-18-026056 · doc4.xml · derivative · entry 5 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 104,000 shares Expires 2025-02-26 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. F4 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on February 26, 2015. This option vests over four (4) years of service following February 26, 2016, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and in thirty-six (36) equal monthly installments thereafter. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 17:00 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantEmployee Stock Option (Right to Buy) · Derivative | 38,220 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0000899243-18-026056 · doc4.xml · derivative · entry 4 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,220 Underlying: Common Stock · 38,220 shares Expires 2024-07-16 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 July 17, 2014 and is vested with respect to all of the shares underlying the option. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 17:00 UTC | Ocugen, Inc. HSGX · Entity 5550 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 38,220 | $0.00 Strike: $8.97 | $0.00 |
DisclosureSEC source: 0000899243-18-026056 · doc4.xml · derivative · entry 3 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 38,220 shares Expires 2024-07-16 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 July 17, 2014 and is vested with respect to all of the shares underlying the option. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 17:00 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantEmployee Stock Option (Right to Buy) · Derivative | 197,435 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0000899243-18-026056 · doc4.xml · derivative · entry 2 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,435 Underlying: Common Stock · 197,435 shares Expires 2024-04-29 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 April 30, 2014 and is vested with respect to all of the shares underlying the option. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 17:00 UTC | Ocugen, Inc. HSGX · Entity 5550 | Disposition to issuerEmployee Stock Option (Right to Buy) · Derivative | 197,435 | $0.00 Strike: $7.99 | $0.00 |
DisclosureSEC source: 0000899243-18-026056 · doc4.xml · derivative · entry 1 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 197,435 shares Expires 2024-04-29 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 April 30, 2014 and is vested with respect to all of the shares underlying the option. Read SEC document |
| May 16, 2018 Filed May 18, 2018 17:47 UTC | Ocugen, Inc. HSGX · Entity 5550 | PurchaseCommon Stock | 2,000 | $2.15 | $4,300.00 |
DisclosureSEC source: 0000899243-18-013445 · doc4.xml · nonDerivative · entry 1 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,000 Read SEC document |
| February 16, 2018 Filed Feb 21, 2018 16:49 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantEmployee Stock Option (Right to Buy) · Derivative | 300,000 | $0.00 Strike: $2.63 | $0.00 |
DisclosureSEC source: 0000899243-18-004807 · doc4.xml · derivative · entry 1 Gridley Adam · CIK 0001447150 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2028-02-15 F1 · derivative.exercise_date: 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 |
| February 14, 2017 Filed Feb 15, 2017 18:01 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantEmployee Stock Option (Right to Buy) · Derivative | 175,000 | $0.00 Strike: $1.72 | $0.00 |
DisclosureSEC source: 0000899243-17-004241 · doc4.xml · derivative · entry 1 Gridley Adam · CIK 0001447150 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,000 Underlying: Common Stock · 175,000 shares Expires 2027-02-14 F1 · derivative.exercise_date: This option vests over four (4) years of service to the Issuer following February 14, 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 |
| December 16, 2016 Filed Dec 19, 2016 17:08 UTC | Ocugen, Inc. HSGX · Entity 5550 | GrantStock Option (Right to Buy) · Derivative | 175,000 | $0.00 Strike: $1.58 | $0.00 |
DisclosureSEC source: 0000899243-16-035951 · doc4.xml · derivative · entry 1 Gridley Adam · CIK 0001447150 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,000 Underlying: Common Stock · 175,000 shares Expires 2026-12-16 F1 · derivative.exercise_date: This option vests over four (4) years of service to the Issuer following February 26, 2016, 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 |
| December 01, 2016 Filed Dec 2, 2016 17:00 UTC | Ocugen, Inc. HSGX · Entity 5550 | PurchaseCommon Stock | 5,000 | $2.01 | $10,039.50 |
DisclosureSEC source: 0000899243-16-034848 · doc4.xml · nonDerivative · entry 1 Gridley Adam · CIK 0001447150 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.02 to $1.9998, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4. 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.