Arun Upadhyay

CIK 1960039 · View on SEC EDGAR ↗

Insider

First SEC filing: Jan. 5, 2023 · Latest: Jan. 5, 2023

On this page

Insider at

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 11 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

No open-market trades on record; showing all filings.

Date Ticker Code Shares Price Value Owned after Δ own A/D vs now
Jan. 3, 2025 OCGN F 41,633 $0.89 $37,053 306,197 Direct -11.97% Disposed 62.4% (price as of 2026-08-20)
Jan. 2, 2025 OCGN A 730,994 — — 730,994 Direct — Acquired (price as of 2026-08-20)
Sept. 16, 2024 OCGN F 842 $1.17 $985 347,830 Direct -0.24% Disposed 23.5% (price as of 2026-08-20)
June 17, 2024 OCGN F 917 $1.42 $1,302 348,672 Direct -0.26% Disposed 1.8% (price as of 2026-08-20)
Jan. 3, 2024 OCGN F 41,633 $0.65 $27,061 349,589 Direct -10.64% Disposed 122.3% (price as of 2026-08-20)
Jan. 2, 2024 OCGN A 137,795 — — 137,795 Direct — Acquired (price as of 2026-08-20)
Sept. 16, 2023 OCGN F 842 $0.41 $345 391,222 Direct -0.21% Disposed 252.4% (price as of 2026-08-20)
June 16, 2023 OCGN F 917 $0.51 $468 392,064 Direct -0.23% Disposed 183.3% (price as of 2026-08-20)
Jan. 3, 2023 OCGN F 7,102 $1.25 $8,878 392,981 Direct -1.78% Disposed 15.6% (price as of 2026-08-20)
Jan. 3, 2023 OCGN A 379,357 — — 379,357 Direct — Acquired (price as of 2026-08-20)
Jan. 3, 2023 OCGN A 315,924 — — 400,083 Direct +375.39% Acquired (price as of 2026-08-20)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date Ticker Security Underlying Exercise price Expiration Shares A/D
Jan. 2, 2025 OCGN Option (Right to Buy) Common Stock (730,994) $0.90 Jan. 2, 2035 730,994 Acquired
Jan. 2, 2024 OCGN Option (Right to Buy) Common Stock (137,795) $0.66 Jan. 2, 2034 137,795 Acquired
Jan. 3, 2023 OCGN Option (Right to Buy) Common Stock (379,357) $1.25 Jan. 3, 2033 379,357 Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 13 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date Ticker Security Shares Ownership
Jan. 5, 2023 OCGN Common Stock 84,159 Direct
Jan. 5, 2023 OCGN Option (Right to Buy) [F2]→ Common Stock (1,918) 1,918 Direct
Jan. 5, 2023 OCGN Option (Right to Buy) [F3]→ Common Stock (1,103) 1,103 Direct
Jan. 5, 2023 OCGN Option (Right to Buy) [F4]→ Common Stock (2,397) 2,397 Direct
Jan. 5, 2023 OCGN Option (Right to Buy) [F5]→ Common Stock (4,315) 4,315 Direct
Jan. 5, 2023 OCGN Option (Right to Buy) [F6]→ Common Stock (479) 479 Direct
Jan. 5, 2023 OCGN Option (Right to Buy) [F7]→ Common Stock (10,000) 10,000 Direct
Jan. 5, 2023 OCGN Option (Right to Buy) [F8]→ Common Stock (10,000) 10,000 Direct
Jan. 5, 2023 OCGN Option (Right to Buy) [F9]→ Common Stock (246,000) 246,000 Direct
Jan. 5, 2023 OCGN Option (Right to Buy) [F10,F11,F12]→ Common Stock (31,120) 31,120 Direct
Jan. 5, 2023 OCGN Option (Right to Buy) [F13]→ Common Stock (234,993) 234,993 Direct
Jan. 5, 2023 OCGN Option (Right to Buy) [F14]→ Common Stock (30,000) 30,000 Direct
Jan. 5, 2023 OCGN Option (Right to Buy) [F15]→ Common Stock (33,818) 33,818 Direct

Compensation (DEF 14A)

Matched by name from proxy statements (DEF 14A) — verify against the filing.

OCGN

Ph.D. (6) Chief Scientific Officer
Fiscal year Salary Bonus Stock awards Option awards Non-equity incentive Pension change Other Total
2025 $480,146 $209,601 $877,778 $554,500 — — $14,004 $2,136,069
2024 $466,200 $169,720 $145,738 $75,501 — — $13,710 $870,869
2023 $466,200 $126,398 $394,905 $391,115 — — $5,458 $1,384,076

Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.