SEC FORM
3
SEC Form 3
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Estimated average burden |
| hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
| C/O OCUGEN, INC. |
| 11 GREAT VALLEY PARKWAY |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year)
03/06/2023
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3. Issuer Name and Ticker or Trading Symbol
Ocugen, Inc.
[ OCGN ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
| CFO/CBO |
|
5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
|
Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
|
| Common Stock |
165,934
|
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6. Nature of Indirect Beneficial Ownership (Instr.
5)
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| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
|
Option (Right to Buy)
|
|
02/16/2033 |
Common Stock |
196,850 |
1.04 |
D |
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| Explanation of Responses: |
|
|
| Remarks: |
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|
/s/ Quan Anh Vu |
03/10/2023 |
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** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
5
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
OCUGEN, INC.
POWER OF ATTORNEY
Know all by these present, that I, the undersigned
director and/or officer of Ocugen, Inc., a Delaware corporation
(the "Company"), hereby constitute and appoint Shankar Musunuri
and Sarah Crespo as my true and lawful attorneys-in-fact and agents,
with full power to act, together or each without the other, with full
power of substitution and resubstitution, for me and in my name,
place and stead, in any and all capacities:
(i) to execute and file for and on behalf of the undersigned any
reports on Forms 3, 4 and 5 (including any amendments thereto and
any successors to such Forms) with respect to ownership acquisition
or disposition of securities of the Company that the undersigned
may be required to file with the U.S. Securities and Exchange
Commission (the "SEC") in accordance with Section 16(a) of the
Securities Exchange Act of 1934, as amended (the "Exchange Act"),
and the rules promulgated thereunder;
(ii) to execute and file for and on behalf of the undersigned
any voluntary filings under Section 16(a) of the Exchange Act;
(iii) to request electronic filing codes from the SEC by filing
the Form ID (including amendments thereto) and any other documents
necessary or appropriate to obtain codes and passwords enabling
the undersigned to file such reports electronically;
(iv) to prepare, file, and submit any documents or reports
that may be required under SEC Rule 144 to permit the undersigned
to sell Company common stock without registration under the
Securities Act of 1933, as amended (the "Securities Act")
in reliance on Rule 144 as amended from time to time; or
(v) take any other action of any type whatsoever in connection
with the foregoing which, in the opinion of such
attorneys-in-fact, may be of benefit to, in the best interest of,
or legally required by, the undersigned, it being understood that
the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such
form and shall contain such terms and conditions as such
attorneys-in-fact may approve in such attorneys-in-fact's or
attorneys-in-fact's discretion.
The undersigned acknowledges that the foregoing
attorneys-in-fact, in serving in such capacity at the request
of the undersigned, are not assuming, nor is the Company
assuming, any of the undersigned's responsibilities to comply
with Section 16(a) of the Exchange Act or the Securities Act.
The Company will use all reasonable efforts to apprise
the undersigned of applicable filing requirements for purposes
of Section 16(a) of the Exchange Act or the Securities Act.
This Power of Attorney shall remain in full force and
effect until the undersigned is no longer required to file
Forms 3, 4 and 5 with respect to the undersigned's holdings and
transactions in securities issued by the Company, unless earlier
revoked by the undersigned in a signed writing delivered to the
foregoing attorneys-in-fact. This Power of Attorney revokes
and replaces any prior Power of Attorney executed by the
undersigned with respect to the ownership, acquisition or
disposition of securities of the Company.
IN WITNESS WHEREOF, the undersigned has caused this
Power of Attorney to be executed as of this 3rd day of March, 2023.
/s/ Quan Vu
Name: Quan Vu
Exhibit 24.1
