UPADHYAY ARUN

PrivateCIK: 1960039

Location

MALVERN, PA

UPADHYAY ARUN enters OCUGEN, INC. with 84.16K shares plus derivative instruments

Holding both equity and derivatives at entry signals strong long-term conviction in the company.

Direct Derivatives

UPADHYAY ARUN

Filed: 1/5/2023ACC: 0001062993-23-000489

InsiderUPADHYAY ARUNCIK 1960039

→

IssuerOCUGEN, INC.CIK 1372299

Officer· Chief Scientific Officer

Since Jan 2023

84.16K

Baseline shares

100% direct

84.16K

Direct ownership

1 position

606.14K

Derivative underlying

12 instruments

1

Security positions

All direct

Non-Derivative Holdings1

Common Stock

Direct

Shares owned84.16K

Total

84.16K direct84.16K

Security Title	Shares Owned	Ownership Type
Common Stock	84.16K	Direct
Total	84.16K	84.16K direct

Derivative Holdings12

Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

479.00

Shares owned

N/A

Exercise price

12.41

Expiration

—

Exercise window

—

Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

4.32K

Shares owned

N/A

Exercise price

13.52

Expiration

—

Exercise window

—

Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

1.10K

Shares owned

N/A

Exercise price

7.56

Expiration

—

Exercise window

—

Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

234.99K

Shares owned

N/A

Exercise price

4.72

Expiration

—

Exercise window

—

Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

10K

Shares owned

N/A

Exercise price

0.405

Expiration

—

Exercise window

—

Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

1.92K

Shares owned

N/A

Exercise price

6.30

Expiration

—

Exercise window

—

Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

10K

Shares owned

N/A

Exercise price

0.34

Expiration

—

Exercise window

—

Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

246K

Shares owned

N/A

Exercise price

1.83

Expiration

—

Exercise window

—

Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

30K

Shares owned

N/A

Exercise price

1.95

Expiration

—

Exercise window

—

Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

33.82K

Shares owned

N/A

Exercise price

2.17

Expiration

—

Exercise window

—

Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

2.40K

Shares owned

N/A

Exercise price

12.18

Expiration

—

Exercise window

—

Option (Right to Buy)

Direct

Underlying security

Common Stock

Underlying shares

31.12K

Shares owned

N/A

Exercise price

5.64

Expiration

—

Exercise window

—

Total

Underlying

606.14K

Owned

0.00

Security	Underlying	Exercise Price	Exercise Window	Expiration	Underlying Shares	Shares Owned
Option (Right to Buy) Direct	Common Stock	12.41	—	—	479.00	N/A
Option (Right to Buy) Direct	Common Stock	13.52	—	—	4.32K	N/A
Option (Right to Buy) Direct	Common Stock	7.56	—	—	1.10K	N/A
Option (Right to Buy) Direct	Common Stock	4.72	—	—	234.99K	N/A
Option (Right to Buy) Direct	Common Stock	0.405	—	—	10K	N/A
Option (Right to Buy) Direct	Common Stock	6.30	—	—	1.92K	N/A
Option (Right to Buy) Direct	Common Stock	0.34	—	—	10K	N/A
Option (Right to Buy) Direct	Common Stock	1.83	—	—	246K	N/A
Option (Right to Buy) Direct	Common Stock	1.95	—	—	30K	N/A
Option (Right to Buy) Direct	Common Stock	2.17	—	—	33.82K	N/A
Option (Right to Buy) Direct	Common Stock	12.18	—	—	2.40K	N/A
Option (Right to Buy) Direct	Common Stock	5.64	—	—	31.12K	N/A
Total					606.14K	0.00

UPADHYAY ARUN — Initial Ownership Disclosure (Form 3) Filed Jan 5, 2023 | Finecho