Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ACV Auctions Inc.ACVA · Entity 4862 | Director | May 27, 2026 | May 29, 2026 |
| Ocugen, Inc.OCGN · Entity 5550 | Director | June 11, 2026 | June 15, 2026 |
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.
ACV Auctions Inc.
Report date May 27, 2026 · Filed May 29, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 66,607 |
Reported balance
After 2026-05-27 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-05-27 · Grant · Acquired 27,500 · Balance 66,607 F1: The company's stock previously referred to as Class A Common Stock is now referred to as Common Stock following changes made to the company's articles of incorporation in 2025. There was no change to any rights related to the stock. F2: Represents a restricted stock unit ("RSU") award. The RSUs will vest on the first anniversary of the grant date, provided that the RSUs shall become fully vested as of the day immediately preceding the next Annual Meeting if such date is sooner than first anniversary of the grant date. Vesting of the RSUs is subject in all cases to the Reporting Person's continuous services through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The company's stock previously referred to as Class A Common Stock is now referred to as Common Stock following changes made to the company's articles of incorporation in 2025. There was no change to any rights related to the stock.
F2: Represents a restricted stock unit ("RSU") award. The RSUs will vest on the first anniversary of the grant date, provided that the RSUs shall become fully vested as of the day immediately preceding the next Annual Meeting if such date is sooner than first anniversary of the grant date. Vesting of the RSUs is subject in all cases to the Reporting Person's continuous services through the applicable vesting date.
Ocugen, Inc.
Report date June 11, 2026 · Filed June 15, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.22 · Expires 2036-06-11 | Direct | 170,100 |
Reported balance
After 2026-06-11 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-06-11 · Grant · Acquired 170,100 · Balance 170,100 F1: The option vests upon the earlier of (a) June 11, 2027 or (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option vests upon the earlier of (a) June 11, 2027 or (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting 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 |
|---|---|---|---|---|---|---|
| June 11, 2026 Filed Jun 15, 2026 20:32 UTC | Ocugen, Inc. OCGN · Entity 5550 | GrantStock Option (Right to Buy) · Derivative | 170,100 | $0.00 Strike: $1.22 | $0.00 |
DisclosureSEC source: 0001104659-26-074073 · tm2617964-3_4seq1.xml · derivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 170,100 Underlying: Common Stock · 170,100 shares Expires 2036-06-11 F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 11, 2027 or (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| May 27, 2026 Filed May 29, 2026 20:17 UTC | ACV Auctions Inc. ACVA · Entity 4862 | GrantCommon Stock | 27,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001808806-26-000002 · wk-form4_1780085826.xml · nonDerivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,607 F1 · security: The company's stock previously referred to as Class A Common Stock is now referred to as Common Stock following changes made to the company's articles of incorporation in 2025. There was no change to any rights related to the stock. F2 · shares: Represents a restricted stock unit ("RSU") award. The RSUs will vest on the first anniversary of the grant date, provided that the RSUs shall become fully vested as of the day immediately preceding the next Annual Meeting if such date is sooner than first anniversary of the grant date. Vesting of the RSUs is subject in all cases to the Reporting Person's continuous services through the applicable vesting date. Read SEC document |
| November 17, 2025 Filed Nov 18, 2025 21:16 UTC | ACV Auctions Inc. ACVA · Entity 4862 | PurchaseClass A Common Stock | 5,000 | $6.27 | $31,350.00 |
DisclosureSEC source: 0001808806-25-000003 · wk-form4_1763500606.xml · nonDerivative · entry 2 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 39,107 F2 · price: These shares were purchased in a single transaction for $6.27 per share. Read SEC document |
| November 14, 2025 Filed Nov 18, 2025 21:16 UTC | ACV Auctions Inc. ACVA · Entity 4862 | PurchaseClass A Common Stock | 15,000 | $6.26 | $93,900.00 |
DisclosureSEC source: 0001808806-25-000003 · wk-form4_1763500606.xml · nonDerivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 34,107 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.25 to $6.26 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| June 05, 2025 Filed Jun 9, 2025 21:19 UTC | Ocugen, Inc. OCGN · Entity 5550 | GrantOption (Right to Buy) · Derivative | 151,316 | $0.00 Strike: $0.95 | $0.00 |
DisclosureSEC source: 0001062993-25-011273 · form4.xml · derivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 151,316 Underlying: Common Stock · 151,316 shares Expires 2035-06-05 F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 5, 2026 or (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| May 28, 2025 Filed May 30, 2025 20:41 UTC | ACV Auctions Inc. ACVA · Entity 4862 | GrantClass A Common Stock | 9,868 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-25-028628 · wk-form4_1748637666.xml · nonDerivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,107 F1 · shares: Represents a restricted stock unit (RSU) award. The RSUs will vest on the first anniversary of the grant date, provided that the RSUs shall become fully vested as of the day immediately preceding the next Annual Meeting if such date is sooner than first anniversary of the grant date. Vesting of the RSUs is subject in all cases to the Reporting Person's continuous service through the applicable vesting date. Read SEC document |
| December 31, 2024 Filed Feb 14, 2025 21:28 UTC | ACV Auctions Inc. ACVA · Entity 4862 | OtherStock Option (Right to Buy) · Derivative | 13,417 | Not disclosed Strike: $5.42 | Not disclosed |
DisclosureSEC source: 0001628280-25-005752 · wk-form4_1739568501.xml · derivative · entry 2 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,417 Underlying: Class A Common Stock · 13,417 shares Expires 2030-10-26 F1 · kind: On December 31, 2024, which was the "Final Conversion Date" as defined in the Issuer's amended and restated certificate of incorporation, each share of the Issuer's Class B Common Stock automatically converted into one share of Class A Common Stock per the amended and restated certificate of incorporation. F2 · price: Represents stock options that were granted on October 27, 2020. At the time of the conversion described in footnote (1), each outstanding stock option to purchase shares of the Issuer's Class B Common Stock automatically converted into a stock option to purchase the same number of shares of the Issuer's Class A Common Stock. Otherwise, the terms of each such stock option remained unchanged. F2 · derivative.exercise_date: Represents stock options that were granted on October 27, 2020. At the time of the conversion described in footnote (1), each outstanding stock option to purchase shares of the Issuer's Class B Common Stock automatically converted into a stock option to purchase the same number of shares of the Issuer's Class A Common Stock. Otherwise, the terms of each such stock option remained unchanged. Read SEC document |
| December 31, 2024 Filed Feb 14, 2025 21:28 UTC | ACV Auctions Inc. ACVA · Entity 4862 | OtherStock Option (Right to Buy) · Derivative | 13,417 | Not disclosed Strike: $5.42 | Not disclosed |
DisclosureSEC source: 0001628280-25-005752 · wk-form4_1739568501.xml · derivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class B Common Stock · 13,417 shares Expires 2030-10-26 F1 · kind: On December 31, 2024, which was the "Final Conversion Date" as defined in the Issuer's amended and restated certificate of incorporation, each share of the Issuer's Class B Common Stock automatically converted into one share of Class A Common Stock per the amended and restated certificate of incorporation. F2 · price: Represents stock options that were granted on October 27, 2020. At the time of the conversion described in footnote (1), each outstanding stock option to purchase shares of the Issuer's Class B Common Stock automatically converted into a stock option to purchase the same number of shares of the Issuer's Class A Common Stock. Otherwise, the terms of each such stock option remained unchanged. F2 · derivative.exercise_date: Represents stock options that were granted on October 27, 2020. At the time of the conversion described in footnote (1), each outstanding stock option to purchase shares of the Issuer's Class B Common Stock automatically converted into a stock option to purchase the same number of shares of the Issuer's Class A Common Stock. Otherwise, the terms of each such stock option remained unchanged. Read SEC document |
| November 22, 2024 Filed Nov 26, 2024 21:50 UTC | Ocugen, Inc. OCGN · Entity 5550 | PurchaseCommon Stock | 25,000 | $0.91 | $22,847.50 |
DisclosureSEC source: 0001062993-24-019706 · form4.xml · nonDerivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,000 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $0.9138 to $0.9139. 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| June 28, 2024 Filed Jul 2, 2024 20:09 UTC | Ocugen, Inc. OCGN · Entity 5550 | GrantOption (Right to Buy) · Derivative | 66,929 | $0.00 Strike: $1.55 | $0.00 |
DisclosureSEC source: 0001062993-24-013296 · form4.xml · derivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,929 Underlying: Common Stock · 66,929 shares Expires 2034-06-28 F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 28, 2025 or (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| June 07, 2024 Filed Jun 10, 2024 21:49 UTC | ACV Auctions Inc. ACVA · Entity 4862 | ConversionClass B Common Stock · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-027582 · wk-form4_1718056170.xml · derivative · entry 10 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 5,000 shares Expires not disclosed 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_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. Read SEC document |
| June 07, 2024 Filed Jun 10, 2024 21:49 UTC | ACV Auctions Inc. ACVA · Entity 4862 | Exercise / conversionClass B Common Stock · Derivative | 5,000 | $5.42 | $27,100.00 |
DisclosureSEC source: 0001628280-24-027582 · wk-form4_1718056170.xml · derivative · entry 9 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,000 Underlying: Class A Common Stock · 5,000 shares Expires not disclosed 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_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. Read SEC document |
| June 07, 2024 Filed Jun 10, 2024 21:49 UTC | ACV Auctions Inc. ACVA · Entity 4862 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $5.42 | $0.00 |
DisclosureSEC source: 0001628280-24-027582 · wk-form4_1718056170.xml · derivative · entry 8 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 13,417 Underlying: Class B Common Stock · 5,000 shares Expires 2030-10-26 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 stock options vested or shall vest in twelve (12) equal quarterly installments, with the first vesting having occurred on January 7, 2021, subject to the Reporting Person's continuous service through each such date. Read SEC document |
| June 07, 2024 Filed Jun 10, 2024 21:49 UTC | ACV Auctions Inc. ACVA · Entity 4862 | SaleClass A Common Stock | 5,000 | $17.82 | $89,100.00 |
DisclosureSEC source: 0001628280-24-027582 · wk-form4_1718056170.xml · nonDerivative · entry 4 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,239 F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.75 to $17.91 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares at each separate price within the range set forth in this footnote. Read SEC document |
| June 07, 2024 Filed Jun 10, 2024 21:49 UTC | ACV Auctions Inc. ACVA · Entity 4862 | Exercise / conversionClass A Common Stock | 5,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-24-027582 · wk-form4_1718056170.xml · nonDerivative · entry 3 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,239 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 · price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. Read SEC document |
| June 06, 2024 Filed Jun 10, 2024 21:49 UTC | ACV Auctions Inc. ACVA · Entity 4862 | ConversionClass B Common Stock · Derivative | 15,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-027582 · wk-form4_1718056170.xml · derivative · entry 7 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 15,000 shares Expires not disclosed 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_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. Read SEC document |
| June 06, 2024 Filed Jun 10, 2024 21:49 UTC | ACV Auctions Inc. ACVA · Entity 4862 | Exercise / conversionClass B Common Stock · Derivative | 15,000 | $5.42 | $81,300.00 |
DisclosureSEC source: 0001628280-24-027582 · wk-form4_1718056170.xml · derivative · entry 6 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,000 Underlying: Class A Common Stock · 15,000 shares Expires not disclosed 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_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. Read SEC document |
| June 06, 2024 Filed Jun 10, 2024 21:49 UTC | ACV Auctions Inc. ACVA · Entity 4862 | Exercise / conversionStock Option (Right to Buy) · Derivative | 15,000 | $0.00 Strike: $5.42 | $0.00 |
DisclosureSEC source: 0001628280-24-027582 · wk-form4_1718056170.xml · derivative · entry 5 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,417 Underlying: Class B Common Stock · 15,000 shares Expires 2030-10-26 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 stock options vested or shall vest in twelve (12) equal quarterly installments, with the first vesting having occurred on January 7, 2021, subject to the Reporting Person's continuous service through each such date. Read SEC document |
| June 06, 2024 Filed Jun 10, 2024 21:49 UTC | ACV Auctions Inc. ACVA · Entity 4862 | SaleClass A Common Stock | 15,000 | $17.68 | $265,200.00 |
DisclosureSEC source: 0001628280-24-027582 · wk-form4_1718056170.xml · nonDerivative · entry 2 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,239 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.66 to $17.78 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares at each separate price within the range set forth in this footnote. Read SEC document |
| June 06, 2024 Filed Jun 10, 2024 21:49 UTC | ACV Auctions Inc. ACVA · Entity 4862 | Exercise / conversionClass A Common Stock | 15,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001628280-24-027582 · wk-form4_1718056170.xml · nonDerivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 24,239 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 · price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. Read SEC document |
| May 29, 2024 Filed May 31, 2024 20:22 UTC | ACV Auctions Inc. ACVA · Entity 4862 | GrantClass A Common Stock | 9,239 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-24-026052 · wk-form4_1717186945.xml · nonDerivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,239 F1 · shares: Represents a restricted stock unit (RSU) award. The RSUs will vest on the first anniversary of the grant date, provided that the RSUs shall become fully vested as of the day immediately preceding the next Annual Meeting if such date is sooner than first anniversary of the grant date. Vesting of the RSUs is subject in all cases to the Reporting Person's continuous services through the applicable vesting date. Read SEC document |
| August 11, 2023 Filed Aug 15, 2023 20:22 UTC | ACV Auctions Inc. ACVA · Entity 4862 | ConversionClass B Common Stock · Derivative | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-045836 · doc4.xml · derivative · entry 5 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 30,000 shares Expires not disclosed 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_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. Read SEC document |
| August 11, 2023 Filed Aug 15, 2023 20:22 UTC | ACV Auctions Inc. ACVA · Entity 4862 | Exercise / conversionClass B Common Stock · Derivative | 30,000 | $5.42 | $162,600.00 |
DisclosureSEC source: 0001209191-23-045836 · doc4.xml · derivative · entry 4 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 Underlying: Class A Common Stock · 30,000 shares Expires not disclosed 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_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. Read SEC document |
| August 11, 2023 Filed Aug 15, 2023 20:22 UTC | ACV Auctions Inc. ACVA · Entity 4862 | Exercise / conversionStock Option (right to buy) · Derivative | 30,000 | $0.00 Strike: $5.42 | $0.00 |
DisclosureSEC source: 0001209191-23-045836 · doc4.xml · derivative · entry 3 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 33,417 Underlying: Class B Common Stock · 30,000 shares Expires 2030-10-26 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 stock options vested or shall vest in twelve (12) equal quarterly installments, with the first vesting having occurred on January 7, 2021, subject to the Reporting Person's continuous service through each such date. Read SEC document |
| August 11, 2023 Filed Aug 15, 2023 20:22 UTC | ACV Auctions Inc. ACVA · Entity 4862 | SaleClass A Common Stock | 30,000 | $15.69 | $470,700.00 |
DisclosureSEC source: 0001209191-23-045836 · doc4.xml · nonDerivative · entry 2 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.50 to $15.83 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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. Read SEC document |
| August 11, 2023 Filed Aug 15, 2023 20:22 UTC | ACV Auctions Inc. ACVA · Entity 4862 | Exercise / conversionClass A Common Stock | 30,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-045836 · doc4.xml · nonDerivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 30,000 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. F1 · price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. Read SEC document |
| June 09, 2023 Filed Jun 9, 2023 21:29 UTC | Ocugen, Inc. OCGN · Entity 5550 | GrantOption (Right to Buy) · Derivative | 112,205 | $0.00 Strike: $0.46 | $0.00 |
DisclosureSEC source: 0001104659-23-070028 · tm2318370-6_4seq1.xml · derivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 112,205 Underlying: Common Stock · 112,205 shares Expires 2033-06-09 F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 9, 2024 or (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| May 24, 2023 Filed May 26, 2023 20:48 UTC | ACV Auctions Inc. ACVA · Entity 4862 | ConversionClass B Common Stock · Derivative | 36,583 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-23-032577 · doc4.xml · derivative · entry 5 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 36,583 shares Expires not disclosed 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_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. Read SEC document |
| May 24, 2023 Filed May 26, 2023 20:48 UTC | ACV Auctions Inc. ACVA · Entity 4862 | Exercise / conversionClass B Common Stock · Derivative | 36,583 | $5.42 | $198,279.86 |
DisclosureSEC source: 0001209191-23-032577 · doc4.xml · derivative · entry 4 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,583 Underlying: Class A Common Stock · 36,583 shares Expires not disclosed 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_price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. F1 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. Read SEC document |
| May 24, 2023 Filed May 26, 2023 20:48 UTC | ACV Auctions Inc. ACVA · Entity 4862 | Exercise / conversionStock Option (right to buy) · Derivative | 36,583 | $0.00 Strike: $5.42 | $0.00 |
DisclosureSEC source: 0001209191-23-032577 · doc4.xml · derivative · entry 3 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 63,417 Underlying: Class B Common Stock · 36,583 shares Expires 2030-10-26 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 stock options vested or shall vest in twelve (12) equal quarterly installments, with the first vesting having occurred on January 7, 2021, subject to the Reporting Person's continuous service through each such date. Read SEC document |
| May 24, 2023 Filed May 26, 2023 20:48 UTC | ACV Auctions Inc. ACVA · Entity 4862 | SaleClass A Common Stock | 36,583 | $17.34 | $634,349.22 |
DisclosureSEC source: 0001209191-23-032577 · doc4.xml · nonDerivative · entry 2 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.30 to $17.44 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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. Read SEC document |
| May 24, 2023 Filed May 26, 2023 20:48 UTC | ACV Auctions Inc. ACVA · Entity 4862 | Exercise / conversionClass A Common Stock | 36,583 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-23-032577 · doc4.xml · nonDerivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 36,583 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 · price: Each share of Class B Common Stock is convertible at any time at the option of the reporting person into one share of Class A Common Stock. Each share of Class B Common Stock will convert automatically into shares of Class A common stock, on a one-to-one basis, upon the following: (1) the sale or transfer of such share of Class B Common Stock, subject to certain exceptions specified in the Issuer's amended and restated certificate of incorporation; (2) the death of the reporting person; and (3) the final conversion date, defined as the earlier of (a) the last trading day of the fiscal quarter immediately following the tenth anniversary of the effective date of the Issuer's tenth amended and restated certificate of incorporation; (b) the last trading day of the fiscal quarter during which the then-outstanding shares of Class B Common Stock first represent less than 5% of the aggregate number of then-outstanding shares of Class A Common Stock and Class B Common Stock. Read SEC document |
| August 11, 2022 Filed Aug 12, 2022 20:49 UTC | Ocugen, Inc. OCGN · Entity 5550 | Exercise / conversionOption (Right to Buy) · Derivative | 42,000 | $0.00 Strike: $0.28 | $0.00 |
DisclosureSEC source: 0001062993-22-017866 · form4.xml · derivative · entry 3 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Common Stock · 42,000 shares Expires 2030-04-05 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The options, initially representing a right to purchase 54,000 shares, vest and become exercisable in equal monthly installments over three years commencing on May 5, 2020, subject to continued service with the Company on the applicable vesting dates. Read SEC document |
| August 11, 2022 Filed Aug 12, 2022 20:49 UTC | Ocugen, Inc. OCGN · Entity 5550 | SaleCommon Stock | 42,000 | $2.91 | $122,220.00 |
DisclosureSEC source: 0001062993-22-017866 · form4.xml · nonDerivative · entry 2 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.89 to $2.94. The Reporting Person undertakes to provide Ocugen, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| August 11, 2022 Filed Aug 12, 2022 20:49 UTC | Ocugen, Inc. OCGN · Entity 5550 | Exercise / conversionCommon Stock | 42,000 | $0.28 | $11,760.00 |
DisclosureSEC source: 0001062993-22-017866 · form4.xml · nonDerivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 07, 2022 Filed Jun 9, 2022 00:57 UTC | Ocugen, Inc. OCGN · Entity 5550 | GrantOption (Right to Buy) · Derivative | 140,091 | $0.00 Strike: $2.49 | $0.00 |
DisclosureSEC source: 0001062993-22-014513 · form4.xml · derivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,091 Underlying: Common Stock · 140,091 shares Expires 2032-06-07 F1 · derivative.exercise_date: The option vests upon the earlier of (a) June 7, 2023 and (b) Ocugen, Inc.'s next annual meeting of stockholders, subject to the Reporting Person's continued service through the applicable vesting date. Read SEC document |
| December 16, 2021 Filed Dec 18, 2021 02:20 UTC | Ocugen, Inc. OCGN · Entity 5550 | GrantOption (Right to Buy) · Derivative | 16,335 | $0.00 Strike: $5.02 | $0.00 |
DisclosureSEC 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. Read SEC document |
| November 02, 2021 Filed Nov 3, 2021 23:35 UTC | Ocugen, Inc. OCGN · Entity 5550 | SaleCommon Stock | 15,000 | $15.00 | $225,000.00 |
DisclosureSEC 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. Read SEC document |
| June 07, 2021 Filed Jun 9, 2021 23:21 UTC | Ocugen, Inc. OCGN · Entity 5550 | SaleCommon Stock | 10,000 | $10.00 | $100,000.00 |
DisclosureSEC source: 0001808806-21-000001 · edgar.xml · nonDerivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,000 F1 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. Read SEC document |
| March 26, 2021 Filed Mar 31, 2021 00:00 UTC | ACV Auctions Inc. ACVA · Entity 4862 | OtherStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $5.42 | $0.00 |
DisclosureSEC source: 0001209191-21-023637 · doc4.xml · derivative · entry 2 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Class B Common Stock · 100,000 shares Expires 2030-10-26 F1 · derivative.exercise_date: The shares subject to the option vested or shall vest in twelve (12) equal quarterly installments commencing on October 7, 2020, subject to the Reporting Person's continuous service through each such date. Read SEC document |
| March 26, 2021 Filed Mar 31, 2021 00:00 UTC | ACV Auctions Inc. ACVA · Entity 4862 | OtherStock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $5.42 | $0.00 |
DisclosureSEC source: 0001209191-21-023637 · doc4.xml · derivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2030-10-26 F1 · derivative.exercise_date: The shares subject to the option vested or shall vest in twelve (12) equal quarterly installments commencing on October 7, 2020, subject to the Reporting Person's continuous service through each such date. F2 · derivative.underlying: Immediately prior to the closing of the Issuer's initial public offering, each share of Common Stock was reclassified into one share of Class B Common Stock in an exempt transaction pursuant to Rule 16b-7. Read SEC document |
| January 01, 2021 Filed Jan 4, 2021 22:37 UTC | Ocugen, Inc. OCGN · Entity 5550 | GrantOption (Right to Buy) · Derivative | 126,000 | $0.00 Strike: $1.83 | $0.00 |
DisclosureSEC source: 0001192482-21-000017 · edgar.xml · derivative · entry 1 Castillo Kirsten · CIK 0001808806 · 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 |
| May 28, 2020 Filed May 29, 2020 22:48 UTC | Ocugen, Inc. OCGN · Entity 5550 | PurchaseCommon Stock | 75,000 | $0.31 | $23,497.50 |
DisclosureSEC source: 0001192482-20-000414 · edgar.xml · nonDerivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,000 Read SEC document |
| April 05, 2020 Filed Apr 8, 2020 20:48 UTC | Ocugen, Inc. OCGN · Entity 5550 | GrantOption (Right to Buy) · Derivative | 54,000 | $0.00 Strike: $0.28 | $0.00 |
DisclosureSEC source: 0001192482-20-000282 · edgar.xml · derivative · entry 1 Castillo Kirsten · CIK 0001808806 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,000 Underlying: Common Stock · 54,000 shares Expires 2030-04-05 F1 · derivative.exercise_date: The options vest monthly in equal installments over three years commencing on May 5, 2020, subject to continued service with the Company through 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.