Welcome to our dedicated page for Ocugen SEC filings (Ticker: OCGN), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Ocugen, Inc. filings document the regulatory record for a Nasdaq-listed biotechnology company developing modifier gene therapies for retinal diseases. Form 8-K disclosures cover clinical and Regulation FD updates for programs including OCU410, capital-structure events such as warrant exercises and 6.75% convertible senior notes due 2034, and material agreements tied to the note indenture and loan repayment.
Proxy materials describe annual meeting proposals, shareholder voting matters, and governance practices. Other filings identify the company's common stock on The Nasdaq Capital Market, preliminary financial information, authorized-share validation matters, and furnished investor presentations containing forward-looking clinical-development statements.
Janus Henderson Group Ltd. reports beneficial ownership of Ocugen, Inc. common stock on a passive basis through its asset management subsidiaries. The asset managers may be deemed the beneficial owner of 10,000,000 Ocugen common stock, including 10,000,000 warrants, representing 3.0% of the common stock class as of June 30, 2026.
All voting and dispositive authority over these securities is held on a shared basis, with no sole voting or dispositive power reported. Economic benefits belong to the underlying managed portfolios, which receive all dividends and sale proceeds, and none of those individual portfolios holds more than five percent of Ocugen’s common stock.
State Street Corporation reported a significant ownership stake in Ocugen Inc. common stock. State Street beneficially owns 21,469,307 shares of Ocugen common stock, representing 6.3% of the class as of June 30, 2026.
State Street reports no sole voting or dispositive power over these shares. It has shared voting power over 21,055,589 shares and shared dispositive power over 21,469,307 shares, largely through its asset management subsidiaries SSGA Funds Management, Inc., State Street Global Advisors Europe Limited, and State Street Global Advisors Trust Company.
Ocugen, Inc., a gene therapy biotechnology company, reported continued operating losses and significant financing activity for the quarter ended June 30, 2026. Collaborative arrangement revenue was modest at $1.5 million for the quarter and $3.0 million for the first half of 2026, while research and development and general and administrative expenses drove a quarterly net loss of $24.9 million and a year-to-date net loss of $44.1 million.
Cash and cash equivalents increased to $100.1 million from $18.6 million at year-end, primarily due to a January underwritten offering, warrant exercises, and a May private offering of $130.0 million aggregate principal amount of 6.75% Convertible Senior Notes due 2034. About $32.7 million of the note proceeds were used to fully repay and terminate a prior term loan; the remainder is for general corporate purposes. The new convertible notes, together with an associated $33.7 million derivative liability, are classified as current liabilities pending shareholder approval to increase authorized shares.
Despite the strengthened cash position, Ocugen has an accumulated deficit of $452.1 million, negative stockholders’ equity of $16.6 million, and used $34.0 million of cash in operating activities in the first half of 2026. Management concluded there is substantial doubt about the company’s ability to continue as a going concern within one year after the financial statements’ issuance and is evaluating additional capital raises, spending adjustments, and strategic options.
Ocugen, Inc. reported second quarter 2026 results and provided a business update. Collaborative arrangement revenue was $1,488 thousand for the quarter and $3,022 thousand for the first half of 2026, compared with $1,373 thousand and $2,854 thousand in the prior-year periods.
The company recorded a net loss of $24,877 thousand for Q2 2026 and $44,054 thousand for the first six months of 2026, versus $14,739 thousand and $30,089 thousand a year earlier. As of June 30, 2026, cash was $100,051 thousand and total assets were $124,206 thousand, with negative stockholders' equity of $16,556 thousand.
Management highlighted closing a $130 million convertible senior notes financing, which added convertible notes and a derivative liability of $82,359 thousand and $33,708 thousand, respectively, and stated that this financing extends Ocugen’s cash runway into 2028. The update also emphasized late-stage gene therapy programs OCU410, OCU410ST, and OCU400 targeting serious retinal diseases.
Ocugen, Inc. is asking stockholders to approve an amendment to its charter to increase authorized common stock by 250,000,000 shares, from 390,000,000 to 640,000,000, at a virtual special meeting on September 21, 2026. As of the July 27, 2026 record date, 339,110,401 common shares were outstanding, each entitled to one vote.
The Board cites needs for future equity financing, business combinations, and equity incentives, and to support potential share settlement of $130.0 million of 6.75% convertible senior notes due 2034, which require sufficient authorized but unissued shares by September 30, 2026. Ocugen acknowledges that issuing additional shares could dilute earnings per share and voting power and may have anti-takeover effects, though it states the proposal is not intended as a takeover defense. A second proposal would allow adjournment of the meeting to solicit additional proxies if votes for the share increase are initially insufficient.
BlackRock, Inc. reports beneficial ownership of 26,952,492 shares of Ocugen, Inc. common stock, representing 8.0% of the class. These shares correspond to the CUSIP 67577C105 and are held across certain reporting business units of BlackRock and its subsidiaries.
BlackRock has sole voting power over 26,625,805 shares and sole dispositive power over 26,952,492 shares, with no shared voting or dispositive power. Various underlying clients have rights to dividends and sale proceeds, but no single person holds more than 5% of Ocugen’s outstanding common shares.
Ocugen, Inc. is asking stockholders at a September 21, 2026 virtual special meeting to approve an amendment to its charter increasing authorized common stock by 250,000,000 shares, from 390,000,000 to 640,000,000, while keeping 10,000,000 preferred shares authorized. The board unanimously approved and recommends this change.
The company states the added capacity is intended to support potential equity and convertible financings, business combinations, collaborations, and equity incentive compensation, and to help fund its pipeline, including plans for three BLA submissions by 2028. Ocugen highlights that issuing new shares later could dilute earnings per share and voting power and could under some circumstances have anti-takeover effects, though it says the proposal is not in response to any takeover effort.
The filing also notes $130.0 million of 6.75% convertible senior notes due 2034, with covenants requiring a stockholder vote by September 30, 2026 to ensure sufficient authorized and unissued shares for potential conversion; absent approval, conversions must initially be settled in cash. A second proposal would allow adjournment of the meeting to solicit additional proxies if votes for the share increase are insufficient.
Ocugen, Inc. has signed a binding term sheet with Roots Pharmaceutical and its strategic partner Al-Dhow International Holding to negotiate an exclusive license for OCU400 modifier gene therapy for Retinitis Pigmentosa in the Middle East and North Africa. Under the contemplated license, Ocugen expects upfront and near-term development milestone payments totaling up to $4 million, potential sales milestone payments up to $255 million, and a 22% royalty on net sales of OCU400 in the territory. Ocugen would also supply commercial product under a related supply agreement. A definitive agreement is expected within 90 days. OCU400 is being evaluated in the Phase 3 liMeliGhT program, with topline data anticipated in 1Q 2027 followed by a planned BLA submission.
Ocugen, Inc. Chief Financial Officer Treerita Essalima Johnson-Greene bought 21,000 shares of Common Stock in an open-market purchase at $1.23 per share. Following this transaction, she directly holds 521,000 shares and has indirect ownership of 350 shares held by her spouse.
Ocugen, Inc. director Uday Kompella received a grant of stock options covering 170,100 shares of common stock. The options have an exercise price of $1.22 per share and expire on June 11, 2036.
The award vests upon the earlier of June 11, 2027 or Ocugen’s next annual meeting of stockholders, provided he continues serving through the vesting date. Following this grant, Kompella holds 170,100 options directly.