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.
Ocugen, Inc. reported first quarter 2026 results and priced $115.0 million of 6.75% Convertible Senior Notes due 2034 in a private offering. Net proceeds are expected to be about $99.5 million, rising to $112.6 million if the initial purchaser’s option for an additional $15.0 million is fully exercised.
Ocugen plans to use approximately $32.7 million of the proceeds to fully repay its higher-cost Avenue loan and terminate that facility, with the remaining cash supporting general corporate purposes and extending its cash runway into 2028. For Q1 2026, the company generated $1.533 million in collaborative revenue and recorded a net loss of $19.2 million, with cash, cash equivalents, and restricted cash of $32.2 million as of March 31, 2026. After the offering and debt payoff, Ocugen expects cash, cash equivalents, and restricted cash of $112.1 million at closing, and potentially $127.1 million if remaining Janus Henderson warrants are exercised.
Ocugen, Inc. plans a private offering of $115 million aggregate principal amount of convertible senior notes due 2034 to qualified institutional buyers, with an expected 13‑day option for the initial purchaser to buy up to an additional $15 million of notes. The notes will be unsecured senior obligations, convertible into cash, common stock, or a combination at Ocugen’s election, with the interest rate and conversion rate set at pricing. Ocugen intends to use approximately $32.7 million of net proceeds to fully repay its loan under the Avenue Loan Agreement, including accrued interest and fees, and use the remaining proceeds for general corporate purposes. The company estimates unaudited cash, cash equivalents, and restricted cash of about $32.2 million as of March 31, 2026, and had 338,318,899 common shares outstanding as of that date.
Ocugen, Inc. is asking stockholders to vote at its June 11, 2026 virtual annual meeting on four items: electing two Class III directors, ratifying PwC as auditor for 2026, approving executive pay on an advisory basis, and choosing the preferred frequency for future say‑on‑pay votes.
The proxy also highlights major 2025 progress in Ocugen’s modifier gene therapy pipeline, including completion of enrollment in the 140‑patient Phase 3 OCU400 liMeliGhT trial for retinitis pigmentosa, positive Phase 2 OCU410 data in geographic atrophy, and rapid enrollment in the Phase 2/3 GARDian3 trial of OCU410ST for Stargardt disease. Ocugen reports a strong balance sheet supported by a $22.5 million underwritten offering in January 2026 and $15 million from warrant exercises, and details a heavily performance‑based executive compensation program tied to clinical, financial, and talent objectives.
Ocugen, Inc. files an amended preliminary proxy statement for its virtual Annual Meeting on June 11, 2026, updating Proposal 5 to set the reverse stock split range at not less than 1-for-2 and not greater than 1-for-8 (final ratio determined by the Board). The Proxy Statement aussi recaps 2025 program and corporate progress, including completion of enrollment for the OCU400 Phase 3 liMeliGhT trial (140 patients randomized 2:1), topline Phase 3 data expected in Q1 2027, positive Phase 2 OCU410 results (optimal dose: 31% lesion growth reduction, 27% ellipsoid zone preservation, 55% of treated patients ≥30% lesion reduction), and completion of dosing in the GARDian3 Phase 2/3 study (63 participants). The company reports financing activity: $22.5M gross from a January 2026 registered direct offering and an additional $15M gross from exercise of warrants for 10M shares, with proceeds projected to extend cash runway into Q1 2027.
The Proxy Statement also presents governance items: election of two Class III directors (Kirsten Castillo and Satish Chandran), ratification of PwC as independent auditor, advisory votes on executive compensation, and adjournment authority to solicit additional proxies if needed. It describes Board composition (six directors, five independent), committee memberships, director and executive compensation practices, related-party and indemnification arrangements, and certain audit fees for PwC and prior auditor Ernst & Young.
Ocugen, Inc. files a definitive proxy for its virtual Annual Meeting on June 11, 2026 and reviews 2025 progress across clinical, business development, financing, and governance fronts. The company completed enrollment in the Phase 3 liMeliGhT trial for OCU400 with 140 patients (2:1 randomized) and targets topline data in Q1 2027. OCU400 is positioned as a modifier gene therapy intended to address broad retinitis pigmentosa mutations; Ocugen executed a regional license for Korea with Kwangdong Pharmaceutical.
OCU410 reported Phase 2 results showing a 31% statistically significant reduction in lesion growth (optimal dose), 27% ellipsoid zone preservation, and 55% of treated patients with ≥30% lesion reduction. A planned pivotal Phase 3 cohort may enroll up to 300 subjects. The GARDian3 Phase 2/3 trial for OCU410ST enrolled 63 participants. Financing actions included a $22.5M registered direct offering in January 2026 and a $15M warrant exercise (10 million shares), which Ocugen says extends cash runway into Q1 2027. Leadership additions include a new CFO and senior commercial and operations hires. Proxy items include election of two Class III directors and a proposed reverse stock split in the range 1-for-4 to 1-for-8.
Ocugen, Inc. disclosed a Schedule 13G showing that Millennium Management LLC, Millennium Group Management LLC and Israel A. Englander report shared voting and dispositive power over 17,074,584 shares of Common Stock (CUSIP 67577C105), representing 5.2% of the class. The filing is a joint filing and is signed April 13, 2026.
Ocugen, Inc. director Zhang Junge exercised stock options to acquire additional common shares. On April 1, 2026, he exercised options covering 194,134 shares of common stock at exercise prices of $0.51, $0.46, and $1.42 per share. Following these exercises, he directly owns 1,359,316 common shares. The options had previously vested and become exercisable between January 2020 and June 2025.
Ocugen Inc common stock ownership filing shows The Vanguard Group reports zero beneficial ownership and 0% of the class. The filing explains an internal realignment of Vanguard effective January 12, 1998 that led certain subsidiaries to report separately. The form is signed by Ashley Grim on 03/27/2026.
Ocugen, Inc. furnished an investor presentation outlining progress in its gene therapy pipeline for blinding retinal diseases. The company is targeting three biologics license applications over three years for retinitis pigmentosa, Stargardt disease, and geographic atrophy.
OCU400 for retinitis pigmentosa is in Phase 3 with enrollment completed; Phase 1/2 data showed durable visual function gains over three years and no related severe adverse events, with 88% of treated evaluable subjects showing improvement or preservation versus untreated eyes. OCU410ST for Stargardt disease has initiated a pivotal Phase 2/3 trial after Phase 1 data showed atrophic lesion growth 54% slower and visual function stabilized or improved in all treated eyes.
OCU410 for geographic atrophy delivered positive preliminary 12‑month Phase 2 results, including a 31% reduction in lesion size and 27% slower ellipsoid zone loss at the medium dose compared with controls, with no serious or special-interest adverse events deemed related to OCU410. Ocugen plans to start a global Phase 3 GA trial and progress rolling BLA submissions as key upcoming milestones.