Stephen Richard Kennedy

CIK 1625830 · View on SEC EDGAR ↗

Insider

First SEC filing: Dec. 2, 2014 · Latest: Dec. 2, 2014

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Insider at

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 22 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
Oct. 1, 2018 OCGN D 30,000 — — 0 Direct -100.00% Disposed (price as of 2026-08-21)
Oct. 1, 2018 OCGN A 115,000 — — 115,000 Direct — Acquired (price as of 2026-08-21)
Oct. 1, 2018 OCGN D 115,000 — — 0 Direct -100.00% Disposed (price as of 2026-08-21)
Oct. 1, 2018 OCGN A 50,000 — — 50,000 Direct — Acquired (price as of 2026-08-21)
Oct. 1, 2018 OCGN D 50,000 — — 0 Direct -100.00% Disposed (price as of 2026-08-21)
Oct. 1, 2018 OCGN A 75,000 — — 75,000 Direct — Acquired (price as of 2026-08-21)
Oct. 1, 2018 OCGN D 75,000 — — 0 Direct -100.00% Disposed (price as of 2026-08-21)
Oct. 1, 2018 OCGN A 25,000 — — 25,000 Direct — Acquired (price as of 2026-08-21)
Oct. 1, 2018 OCGN D 25,000 — — 0 Direct -100.00% Disposed (price as of 2026-08-21)
Oct. 1, 2018 OCGN A 50,000 — — 50,000 Direct — Acquired (price as of 2026-08-21)
Oct. 1, 2018 OCGN D 50,000 — — 0 Direct -100.00% Disposed (price as of 2026-08-21)
Oct. 1, 2018 OCGN A 49,100 — — 49,100 Direct — Acquired (price as of 2026-08-21)
Oct. 1, 2018 OCGN D 49,100 — — 0 Direct -100.00% Disposed (price as of 2026-08-21)
Oct. 1, 2018 OCGN A 27,767 — — 27,767 Direct — Acquired (price as of 2026-08-21)
Oct. 1, 2018 OCGN D 27,767 — — 0 Direct -100.00% Disposed (price as of 2026-08-21)
Feb. 16, 2018 OCGN A 115,000 — — 115,000 Direct — Acquired (price as of 2026-08-21)
Oct. 10, 2017 OCGN A 50,000 — — 50,000 Direct — Acquired (price as of 2026-08-21)
Feb. 14, 2017 OCGN A 75,000 — — 75,000 Direct — Acquired (price as of 2026-08-21)
Feb. 26, 2016 OCGN A 25,000 — — 25,000 Direct — Acquired (price as of 2026-08-21)
July 29, 2015 OCGN A 50,000 — — 50,000 Direct — Acquired (price as of 2026-08-21)
Feb. 26, 2015 OCGN A 30,000 — — 30,000 Direct — Acquired (price as of 2026-08-21)
Feb. 26, 2015 OCGN A 49,100 — — 49,100 Direct — Acquired (price as of 2026-08-21)

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
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (30,000) $9.96 Feb. 25, 2025 30,000 Disposed
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (115,000) $0.57 Feb. 15, 2028 115,000 Acquired
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (115,000) $2.63 Feb. 15, 2028 115,000 Disposed
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (50,000) $0.57 Oct. 9, 2027 50,000 Acquired
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (50,000) $2.12 Oct. 9, 2027 50,000 Disposed
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (75,000) $0.57 Feb. 13, 2027 75,000 Acquired
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (75,000) $1.72 Feb. 13, 2027 75,000 Disposed
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (25,000) $0.57 Feb. 25, 2026 25,000 Acquired
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (25,000) $2.56 Feb. 25, 2026 25,000 Disposed
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (50,000) $0.57 July 28, 2015 50,000 Acquired
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (50,000) $6.11 July 28, 2015 50,000 Disposed
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (49,100) $0.57 Feb. 25, 2025 49,100 Acquired
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (49,100) $9.96 Feb. 25, 2025 49,100 Disposed
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (27,767) $0.57 Dec. 10, 2023 27,767 Acquired
Oct. 1, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (27,767) $7.13 Dec. 10, 2023 27,767 Disposed
Feb. 16, 2018 OCGN Employee Stock Option (Right to Buy) Common Stock (115,000) $2.63 Feb. 15, 2028 115,000 Acquired
Oct. 10, 2017 OCGN Employee Stock Option (Right to Buy) Common Stock (50,000) $2.12 Oct. 9, 2027 50,000 Acquired
Feb. 14, 2017 OCGN Employee Stock Option (Right to Buy) Common Stock (75,000) $1.72 Feb. 14, 2027 75,000 Acquired
Feb. 26, 2016 OCGN Employee Stock Option (Right to Buy) Common Stock (25,000) $2.56 Feb. 26, 2026 25,000 Acquired
July 29, 2015 OCGN Employee Stock Option (Right to Buy) Common Stock (50,000) $6.11 July 29, 2025 50,000 Acquired
Feb. 26, 2015 OCGN Employee Stock Option (Right to Buy) Common Stock (30,000) $9.96 Feb. 26, 2025 30,000 Acquired
Feb. 26, 2015 OCGN Employee Stock Option (Right to Buy) Common Stock (49,100) $9.96 Feb. 26, 2025 49,100 Acquired

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

Initial ownership (Form 3) 1 holding

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

Date Ticker Security Shares Ownership
Dec. 2, 2014 OCGN Employee Stock Option (Right to Buy)→ Common Stock — Direct

Compensation (DEF 14A)

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

OCGN

Fiscal year Salary Bonus Stock awards Option awards Non-equity incentive Pension change Other Total
2018 $391,875 — — $74,156 — — — $466,031
2017 $352,914 $240,438 — $138,729 — — — $732,081
2016 $330,240 $130,321 — — — — — $496,172

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