# EDGAR Filing Document

**Accession Number:** 0001372299
**File Stem:** 0001062993-23-006667
**Filing Date:** 2023-3
**Character Count:** 8368
**Document Hash:** a545b786fc1896f7d147f9a604205f70
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001062993-23-006667.hdr.sgml**: 20230310

**ACCESSION NUMBER**: 0001062993-23-006667

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230306

**FILED AS OF DATE**: 20230310

**DATE AS OF CHANGE**: 20230310

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Vu Quan Anh
- **CENTRAL INDEX KEY:** 0001892297

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36751
- **FILM NUMBER:** 23725302

**MAIL ADDRESS:**
- **STREET 1:** 22616 ERWIN STREET
- **CITY:** WOODLAND HILLS
- **STATE:** CA
- **ZIP:** 91367
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Ocugen, Inc.
- **CENTRAL INDEX KEY:** 0001372299
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 11 GREAT VALLEY PARKWAY
- **CITY:** MALVERN
- **STATE:** PA
- **ZIP:** 19355
- **BUSINESS PHONE:** 484-328-4701

**MAIL ADDRESS:**
- **STREET 1:** 11 GREAT VALLEY PARKWAY
- **CITY:** MALVERN
- **STATE:** PA
- **ZIP:** 19355

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** HISTOGENICS CORP
- **DATE OF NAME CHANGE:** 20060810

## Exhibit 24.1

```

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

```

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Vu Quan Anh<br><sub>(Last) (First) (Middle)</sub><br>C/O OCUGEN, INC.<br>11 GREAT VALLEY PARKWAY<br><sub>(Street)</sub><br>MALVERN, PA 19355<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Ocugen, Inc. [ OCGN ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-03-06 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_CFO/CBO_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Common Stock | 165934<sup>(1)</sup> | D |  |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Option (Right to Buy)<sup>(2)</sup> | <sup>(2)</sup> | 2033-02-16 | Common Stock | 196850 | $1.04 | D |  |

---

### Footnotes:

(1) Includes 163,934 restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of common stock of Ocugen, Inc. (the "Company"). The RSUs vest annually in equal installments over three years commencing on February 16, 2024, in each case subject to continued service with the Company on the applicable vesting dates. The RSUs will be settled on each applicable vesting date in shares of the Company's common stock.

(2) The option vests annually in equal installments over three years commencing on February 16, 2024, subject to continued service with the Company on the applicable vesting dates.

**Remarks:**
Exhibit List: Exhibit 24.1 - Power of Attorney.

**Signature:** /s/ Quan Anh Vu  
**Date:** 2023-03-10

### Remarks:

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 4 (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.**