---
title: "Ocugen (OCGN) news: class action, offering and convertible notes"
url: "https://aibio.space/companies/ocugen/"
publisher: "aibio.space (Biotech Investor Relations News)"
summary: "OCGN class action, offering, convertible notes and Nasdaq notice news: Ocugen awaits Third Circuit ruling in dismissed securities suit as derivative suits…"
---

OCGN Ocugen, Inc. NASDAQ · United States

# Ocugen (OCGN) news OCGN class action, offering and convertible notes news

Legal · 2026-08-06

## [Ocugen awaits Third Circuit ruling in dismissed securities suit as derivative suits remain stayed](https://aibio.space/news/ocugen-awaits-third-circuit-ruling-dismissed-securities-suit/)

The 10-Q says the defendants in the Pennsylvania class action are the company and "certain of its agents" and names none. Derivative suits in two courts are stayed, and a Delaware class action over the charter was dismissed as moot.

## Latest Ocugen news

1. 2026-05-14 Debt Financing [Ocugen closes $130.0 million of 6.75% convertible notes](https://aibio.space/news/ocugen-closes-130-0-million-6-75-percent-convertible-notes/) The notes include the full exercise of a $15.0 million over-allotment option. Ocugen used approximately $32.7 million of the proceeds to repay its Avenue loan.
2. 2026-05-05 Debt Financing [Ocugen plans $115 million convertible senior notes offering](https://aibio.space/news/ocugen-plans-115-million-convertible-senior-notes-offering/) Ocugen plans $115 million of 6.75% convertible senior notes due 2034, with an option that takes the total to $130 million. Proceeds include $32.7 million to retire Avenue debt at 12.5%.
3. 2025-08-11 Financings [Ocugen agrees to sell $20,000,000 of stock and warrants to Janus Henderson at $1.00](https://aibio.space/news/ocugen-agrees-sell-20-000-000-stock-warrants-janus-henderson-1-00/) The registered direct offering covers 20,000,000 shares and warrants for 20,000,000 more at $1.50. Full warrant exercise could bring up to $30 million more.
4. 2025-07-29 Listings [Ocugen regains compliance with Nasdaq $1.00 minimum bid price rule](https://aibio.space/news/ocugen-regains-compliance-nasdaq-1-00-minimum-bid-price-rule/) Ocugen's stock closed at or above $1.00 for ten business days from July 8, 2025 to July 25, 2025. Nasdaq said on July 28, 2025, that the matter is closed.
5. 2025-07-01 Listings [Ocugen gets 180 more days from Nasdaq to meet minimum bid price, until December 29, 2025](https://aibio.space/news/ocugen-gets-180-more-days-nasdaq-meet-minimum-bid-price-until-december/) Nasdaq granted Ocugen (Nasdaq: OCGN) an additional 180 calendar days to regain compliance with the $1.00 minimum closing bid price requirement. The first period ended June 30, 2025.
6. 2025-06-23 Mergers [Ocugen unit OrthoCellix to merge with Carisma alongside planned $25.0 million financing](https://aibio.space/news/ocugen-unit-orthocellix-merge-carisma-alongside-planned-25-0-million/) OrthoCellix's stockholder and the concurrent financing investors are expected to own about 90% of the combined company, with Carisma holders at about 10%. The deal is all stock and needs approval from both companies' stockholders.
7. 2025-01-03 Listings [Ocugen gets Nasdaq minimum bid price deficiency notice, has until June 30, 2025](https://aibio.space/news/ocugen-gets-nasdaq-minimum-bid-price-deficiency-notice-has-until-june/) Ocugen received a Nasdaq deficiency notice because its stock closed below $1.00 for 30 consecutive business days. It has until June 30, 2025 to regain compliance and may qualify for a second 180-day period.

## Ocugen at a glance

- **Ticker**: OCGN

- **Listing**: NASDAQ

- **Country**: United States

- **Cash, Jun 30, 2026**: $100.1 million

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## What Ocugen does

Ocugen is aiming to redefine the future of vision through gene therapies. Its platform is a modifier gene therapy approach based on nuclear hormone receptors, which the company says has the potential to address blindness diseases with a gene-agnostic approach. Its lead program, OCU400, is intended for retinitis pigmentosa (RP), has completed enrollment in the Phase 3 liMeliGhT trial, and is on track for a rolling BLA submission in the third quarter of 2026, with topline Phase 3 data expected in the first quarter of 2027. OCU410ST targets Stargardt disease in the Phase 2/3 GARDian3 pivotal confirmatory trial, where dosing began in July 2025, and a BLA is planned for the first half of 2027. OCU410 is being developed for geographic atrophy secondary to dry age-related macular degeneration, and dosing in Phase 2 of the Phase 1/2 ArMaDa trial has been completed. The company says its programs use the RORA gene delivered by subretinal AAV5.

| Product or program | What it is | Stage |
|---|---|---|
| OCU400 | Modifier gene therapy for retinitis pigmentosa | Phase 3 |
| OCU410ST | Modifier gene therapy for Stargardt disease (ABCA4-associated retinopathies) | Phase 2/3 |
| OCU410 | Modifier gene therapy for geographic atrophy secondary to dry AMD | Phase 1/2, dosing completed |

Summarised from the company's [10-K filed Mar 4, 2026](https://www.sec.gov/Archives/edgar/data/1372299/000162828026014435/ocgn-20251231.htm).

## Ocugen annual financials

| Line | FY2025 | FY2024 |
|---|---|---|
| Research and development | [$39.8 million](https://www.sec.gov/Archives/edgar/data/1372299/000162828026014435/) | [$32.1 million](https://www.sec.gov/Archives/edgar/data/1372299/000162828026014435/) |
| Net income (loss) | [-$67.8 million](https://www.sec.gov/Archives/edgar/data/1372299/000162828026014435/) | [-$54.1 million](https://www.sec.gov/Archives/edgar/data/1372299/000162828026014435/) |
| Cash from operations | [-$57.0 million](https://www.sec.gov/Archives/edgar/data/1372299/000162828026014435/) | [-$42.1 million](https://www.sec.gov/Archives/edgar/data/1372299/000162828026014435/) |
| Cash and equivalents | [$18.6 million](https://www.sec.gov/Archives/edgar/data/1372299/000162828026054057/) | [$58.8 million](https://www.sec.gov/Archives/edgar/data/1372299/000162828026054057/) |

Latest balance sheet, Jun 30, 2026 (10-Q): cash and equivalents $100.1 million.

Figures as reported to the SEC in XBRL; each one links to its filing. Not adjusted, not investment advice.

## Questions about Ocugen

Is there a class action against Ocugen?

Our latest story on this, dated Aug 6, 2026: "Ocugen awaits Third Circuit ruling in dismissed securities suit as derivative suits remain stayed". The story links the filing or release it is based on. [Read the story](https://aibio.space/news/ocugen-awaits-third-circuit-ruling-dismissed-securities-suit/).

Has Ocugen raised money recently?

Our latest story on this, dated May 5, 2026: "Ocugen plans $115 million convertible senior notes offering". The story links the filing or release it is based on. [Read the story](https://aibio.space/news/ocugen-plans-115-million-convertible-senior-notes-offering/).

Has Ocugen sold convertible notes?

Our latest story on this, dated May 14, 2026: "Ocugen closes $130.0 million of 6.75% convertible notes". The story links the filing or release it is based on. [Read the story](https://aibio.space/news/ocugen-closes-130-0-million-6-75-percent-convertible-notes/).

Has Ocugen received a Nasdaq deficiency notice?

Our latest story on this, dated Jan 3, 2025: "Ocugen gets Nasdaq minimum bid price deficiency notice, has until June 30, 2025". The story links the filing or release it is based on. [Read the story](https://aibio.space/news/ocugen-gets-nasdaq-minimum-bid-price-deficiency-notice-has-until-june/).

What is the ticker symbol of Ocugen?

Ocugen, Inc. trades under the ticker OCGN on NASDAQ.

Where is Ocugen listed?

Ocugen, Inc. is listed on NASDAQ. Our directory also records these other listings: BIVA:OCGN; BMV:OCGN; DUS:2H51; FWB:2H51; GETTEX:2H51; HAM:2H51; HAN:2H51; LS:A2PSZH; LSX:A2PSZH; MUN:2H51; SWB:2H51; TRADEGATE:2H51; XETR:2H51.

What is the SEC CIK of Ocugen?

The SEC Central Index Key (CIK) for Ocugen, Inc. is 1372299. Its filings are on SEC EDGAR.

How many shares does Ocugen have outstanding?

339,110,401 shares as of 2026-07-31, per the cover page of its 10-Q filed 2026-08-06.

Which country or territory is Ocugen listed under?

Our directory records Ocugen, Inc. under United States.

What does Ocugen do?

Our directory classifies Ocugen, Inc. as: Pharmaceuticals: Major. This is a directory classification, not a description of the pipeline.

What is the ISIN of Ocugen?

The ISIN recorded for Ocugen, Inc. is US67577C1053.

Does aibio.space cover Ocugen?

aibio.space lists Ocugen, Inc. among 2,820 public biotech companies and publishes its news here as stories appear.

Where is Ocugen incorporated?

SEC records list its state or country of incorporation as DE.

What does Ocugen develop?

Ocugen is aiming to redefine the future of vision through gene therapies. Its platform is a modifier gene therapy approach based on nuclear hormone receptors, which the company says has the potential to address blindness diseases with a gene-agnostic approach.

What is OCU400 from Ocugen?

OCU400: Modifier gene therapy for retinitis pigmentosa Stage: Phase 3.

## Investor discussion: Ocugen

Members talk about Ocugen (OCGN). Reader posts, not aibio.space reporting, and not investment advice.

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## Capital-markets timeline

Financings, listing notices, splits, legal actions and other investor events at Ocugen, newest first. Each line links the filing it comes from.

1. 2026-10-06 Listings Reported a shareholder vote on a reverse stock split or more authorized shares. SEC Form 8-K (Items 5.07). [Source](https://www.sec.gov/Archives/edgar/data/1372299/000162828026065077/ocgn-20261005.htm)
2. 2026-09-23 Listings Reported a shareholder vote on a reverse stock split or more authorized shares. SEC Form 8-K (Items 5.07). [Source](https://www.sec.gov/Archives/edgar/data/1372299/000162828026063084/ocgn-20260921.htm)
3. 2026-04-17 Listings Asked shareholders to approve a reverse stock split. SEC Form PRE 14A. [Source](https://www.sec.gov/Archives/edgar/data/1372299/000114036126015407/edge20066654x1_pre14a.htm)
4. 2026-03-20 Financings Reported a financing. SEC Form 8-K (Items 8.01). [Source](https://www.sec.gov/Archives/edgar/data/1372299/000110465926032442/tm269444d1_8k.htm)
5. 2026-03-04 Legal Disclosed a shareholder lawsuit, subpoena or other legal matter. SEC Form 8-K (Items 8.01,9.01). [Source](https://www.sec.gov/Archives/edgar/data/1372299/000110465926023290/tm267679d1_ex99-1.htm)
6. 2026-01-21 Financings Reported a financing. SEC Form 424B5. [Source](https://www.sec.gov/Archives/edgar/data/1372299/000110465926005452/tm263710d1_424b5.htm)
7. 2025-09-18 Distress Reported the end of a material agreement. SEC Form 8-K (Items 1.02). [Source](https://www.sec.gov/Archives/edgar/data/1372299/000110465925091097/tm2526448d1_8k.htm)
8. 2025-08-11 Financings Reported a financing. SEC Form 424B5. [Source](https://www.sec.gov/Archives/edgar/data/1372299/000110465925075953/tm2523075d1_424b5.htm)
9. 2025-07-29 Listings Reported a notice from its stock exchange about continued listing requirements. SEC Form 8-K (Items 8.01). [Source](https://www.sec.gov/Archives/edgar/data/1372299/000110465925071374/tm2521942d1_8k.htm)
10. 2025-07-01 Listings Reported a notice from its stock exchange about continued listing requirements. SEC Form 8-K (Items 3.01). [Source](https://www.sec.gov/Archives/edgar/data/1372299/000110465925064695/tm2519606d1_8k.htm)
11. 2025-06-23 Mergers Reported a merger or acquisition agreement. SEC Form 8-K (Items 1.01,7.01,9.01). [Source](https://www.sec.gov/Archives/edgar/data/1372299/000110465925061435/tm2518642d1_ex99-1.htm)
12. 2025-05-09 Legal Disclosed a shareholder lawsuit, subpoena or other legal matter. SEC Form 10-Q. [Source](https://www.sec.gov/Archives/edgar/data/1372299/000162828025024093/ocgn-20250331.htm)
13. 2025-01-03 Listings Reported a notice from its stock exchange about continued listing requirements. SEC Form 8-K (Items 3.01). [Source](https://www.sec.gov/Archives/edgar/data/1372299/000110465925000827/tm251676d1_8k.htm)
14. 2024-11-08 Financings Reported an unregistered sale of its securities. SEC Form 8-K (Items 1.01,2.03,3.02,8.01,9.01). [Source](https://www.sec.gov/Archives/edgar/data/1372299/000110465924115900/tm2427800d1_ex99-1.htm)

## Stock chart

Price chart and quote supplied by TradingView, delayed as the exchange requires. It loads only if you choose to show it. Information only, not investment advice. [Open NASDAQ:OCGN on TradingView](https://www.tradingview.com/symbols/NASDAQ-OCGN/).

## SEC filings and registration

- **SEC name**: Ocugen, Inc.

- **CIK**: 1372299

- **Industry (SIC)**: Biological Products, (No Diagnostic Substances) (2836)

- **US tickers**: OCGN (Nasdaq)

- **State or country of incorporation**: DE

- **Fiscal year ends**: December 31

- **Filer category**: Non-accelerated filer<br>Smaller reporting company

- **Business address**: 11 GREAT VALLEY PARKWAY, MALVERN, PA, 19355

- **Phone**: 484-328-4701

- **Shares outstanding**: 339,110,401 as of 2026-07-31 (10-Q filed 2026-08-06)

- **Former names**: HISTOGENICS CORP

### Recent filings (8-K and 6-K are the company's own announcements)

- [8-K](https://www.sec.gov/Archives/edgar/data/1372299/000110465926115970/tm2627592d2_8k.htm) filed 2026-10-15
- [8-K](https://www.sec.gov/Archives/edgar/data/1372299/000110465926115921/tm2627592d1_8k.htm) filed 2026-10-15
- [8-K](https://www.sec.gov/Archives/edgar/data/1372299/000162828026065077/ocgn-20261005.htm) filed 2026-10-06
- [8-K](https://www.sec.gov/Archives/edgar/data/1372299/000162828026063084/ocgn-20260921.htm) filed 2026-09-23
- [8-K](https://www.sec.gov/Archives/edgar/data/1372299/000110465926105968/tm2624985d1_8k.htm) filed 2026-09-08
- [10-Q](https://www.sec.gov/Archives/edgar/data/1372299/000162828026054057/ocgn-20260630.htm) filed 2026-08-06
- [8-K](https://www.sec.gov/Archives/edgar/data/1372299/000110465926091691/tm2622368d1_8k.htm) filed 2026-08-06
- [DEF 14A](https://www.sec.gov/Archives/edgar/data/1372299/000114036126030258/ny20077846x2_def14a.htm) filed 2026-07-30

Source: [SEC EDGAR](https://www.sec.gov/cgi-bin/browse-edgar?action=getcompany&CIK=0001372299), retrieved October 23, 2026. Shares outstanding is the cover-page figure from the latest periodic report. The SEC does not publish share prices.

## Listing details

Ocugen, Inc. is a public biotech or pharmaceutical company listed on NASDAQ under the ticker OCGN, recorded under United States. The directory classifies it as Pharmaceuticals: Major. aibio.space tracks 2,820 public biotech companies worldwide and publishes investor news on them.

- **Company**: Ocugen, Inc.

- **Ticker**: OCGN

- **Listing**: NASDAQ

- **Country or territory**: United States

- **Business scope**: Pharmaceuticals: Major

- **ISIN**: US67577C1053

- **Other listed symbols**: BIVA:OCGN; BMV:OCGN; DUS:2H51; FWB:2H51; GETTEX:2H51; HAM:2H51; HAN:2H51; LS:A2PSZH; LSX:A2PSZH; MUN:2H51; SWB:2H51; TRADEGATE:2H51; XETR:2H51

- **Last quote in directory**: 2026-10-21

- **Directory source**: [Listing page](https://www.tradingview.com/symbols/NASDAQ-OCGN/)

Listing facts come from our company directory, researched on October 22, 2026. A listing record does not certify that a security currently trades. [Tell us about a change](https://aibio.space/reputation/#update). Work at this company? [Claim this page](https://aibio.space/claim/).

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---
Source page: https://aibio.space/companies/ocugen/. Facts in aibio.space stories are checked against company filings and releases; opinion is labelled. Cite as: aibio.space, "Ocugen (OCGN) news: class action, offering and convertible notes", 2026-10-31, https://aibio.space/companies/ocugen/