SEC Form SC 13G/A filed by Ocugen Inc. (Amendment)

2/10/23 10:58:27 AM ET

Biotechnology: Biological Products (No Diagnostic Substances)

Health Care

Get the next $OCGN alert in real time by email

SC 13G/A 1 Ocugen_Inc.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 AMEMDED FILING OCUGEN INC (NAME OF ISSUER) COMMON STOCK (TITLE OF CLASS OF SECURITIES) 67577C105 (CUSIP NUMBER) 12/31/2022 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS FILED: (X) RULE 13D-1 (B) ( ) RULE 13D-1 (C) ( ) RULE 13D-1 (D) *THE REMAINDER OF THIS COVER PAGE SHALL BE FILLED OUT FOR A REPORTING PERSON`S INITIAL FILING ON THIS FORM WITH RESPECT TO THE SUBJECT CLASS OF SECURITIES, AND FOR ANY SUBSEQUENT AMENDMENT CONTAINING INFORMATION WHICH WOULD ALTER THE DISCLOSURES PROVIDED IN A PRIOR COVER PAGE. THE INFORMATION REQUIRED IN THE REMAINDER OF THIS COVER PAGE SHALL NOT BE DEEMED TO BE "FILED" FOR THE PURPOSE OF SECTION 18 OF THE SECURITIES EXCHANGE ACT OF 1934 ("ACT") OR OTHERWISE SUBJECT TO THE LIABILITIES OF THAT SECTION OF THE ACT BUT SHALL BE SUBJECT TO ALL OTHER PROVISIONS OF THE ACT (HOWEVER, SEE THE NOTES). CUSIP NO: 67577C105 13G PAGE 2 OF 7 PAGES 1. NAME OF REPORTING PERSON: STATE STREET CORPORATION I.R.S. IDENTIFICATION NO. OF THE ABOVE PERSON: 04-2456637 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP NOT APPLICABLE 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION BOSTON, MASSACHUSETTS 5. SOLE VOTING POWER 0 SHARES 6. SHARED VOTING POWER 29,602,329 7. SOLE DISPOSITIVE POWER 0 SHARES 8. SHARED DISPOSITIVE POWER 30,121,024 9. AGGREGATED AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 30,121,024 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES NOT APPLICABLE 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 13.76% 12. TYPE OF REPORTING PERSON HC CUSIP NO: 67577C105 13G PAGE 3 OF 7 PAGES 1. NAME OF REPORTING PERSON: SSGA FUNDS MANAGEMENT, INC. I.R.S. IDENTIFICATION NO. OF THE ABOVE PERSON: 04-3555193 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP NOT APPLICABLE 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION BOSTON, MASSACHUSETTS 5. SOLE VOTING POWER 0 SHARES 6. SHARED VOTING POWER 25,172,553 7. SOLE DISPOSITIVE POWER 0 SHARES 8. SHARED DISPOSITIVE POWER 25,215,653 9. AGGREGATED AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 25,215,653 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES NOT APPLICABLE 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11.52% 12. TYPE OF REPORTING PERSON IA CUSIP NO: 67577C105 13G PAGE 4 OF 7 PAGES ITEM 1. (A) NAME OF ISSUER OCUGEN INC (B) ADDRESS OF ISSUER`S PRINCIPAL EXECUTIVE OFFICES 5 GREAT VALLEY PARKWAY SUITE 160 MALVERN PA 19355 UNITED STATES ITEM 2. (A) NAME OF PERSON FILING STATE STREET CORPORATION SSGA FUNDS MANAGEMENT, INC. (B) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE STATE STREET FINANCIAL CENTER 1 LINCOLN STREET BOSTON, MA 02111 (FOR ALL REPORTING PERSONS) (C) CITIZENSHIP: SEE ITEM 4 (CITIZENSHIP OR PLACE OF ORGANIZATION) OF COVER PAGES (D) TITLE OF CLASS OF SECURITIES COMMON STOCK (E) CUSIP NUMBER: 67577C105 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B), OR 13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A: SEE ITEM 12(TYPE OF REPORTING PERSON) OF THE COVER PAGE FOR EACH REPORTING PERSON AND THE TABLE BELOW, WHICH EXPLAINS THE MEANING OF THE TWO LETTER SYMBOLS APPEARING IN ITEM 12 OF THE COVER PAGES. SYMBOL CATEGORY BK BANK AS DEFINED IN SECTION 3(A) (6) OF THE ACT. IC INSURANCE COMPANY AS DEFINED IN SECTION 3 (A) (19) OF THE ACT IC INVESTMENT COMPANY REGISTERED UNDER SECTION 8 OF THE INVESTMENT COMPANY ACT OF 1940. IA AN INVESTMENT ADVISOR IN ACCORDANCE WITH RULE 13D-1(B) (1) (II) (E). EP AN EMPLOYEE BENEFIT PLAN OR ENDOWMENT FUND IN ACCORDANCE WITH RULE 13D-1(B) (1) (II) (F) . HC A PARENT HOLDING COMPANY OR CONTROL PERSON IN ACCORDANCE WITH RULE 13D-1(B)(1)(II) (G). SA A SAVINGS ASSOCIATIONS AS DEFINED IN SECTION 3(B) OF THE FEDERAL DEPOSIT INSURANCE ACT (12 U.S.C. 1813). CP A CHURCH PLAN THAT IS EXCLUDED FROM THE DEFINITION OF AN INVESTMENT COMPANY UNDER SECTION 3(C)(14) OF THE INVESTMENT COMPANY ACT OF 1940. CUSIP NO: 67577C105 13G PAGE 5 OF 7 PAGES ITEM 4. OWNERSHIP THE INFORMATION SET FORTH IN ROWS 5 THROUGH 11 OF THE COVER PAGE HERETO FOR EACH OF THE REPORTING PERSONS IS INCORPORATED HEREIN BY REFERENCE. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF CLASS NOT APPLICABLE ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON NOT APPLICABLE ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON SEE EXHIBIT 1 ATTACHED HERETO ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP NOT APPLICABLE ITEM 9. NOTICE OF DISSOLUTION OF GROUP NOT APPLICABLE CUSIP NO: 67577C105 13G PAGE 6 OF 7 PAGES ITEM 10. CERTIFICATION BY SIGNING BELOW I CERTIFY THAT, TO THE BEST OF MY KNOWLEDGE AND BELIEF, THE SECURITIES REFERRED TO ABOVE WERE ACQUIRED AND ARE HELD IN THE ORDINARY COURSE OF BUSINESS AND WERE NOT ACQUIRED AND ARE NOT HELD FOR THE PURPOSE OR WITH THE EFFECT OF CHANGING OR INFLUENCING THE CONTROL OF THE ISSUER OF THE SECURITIES AND WERE NOT ACQUIRED AND ARE NOT HELD IN CONNECTION WITH OR AS A PARTICIPANT IN ANY TRANSACTION HAVING THAT PURPOSE OR EFFECT. SIGNATURES AFTER REASONABLE INQUIRY AND TO THE BEST OF HIS KNOWLEDGE AND BELIEF, EACH OF THE UNDERSIGNED CERTIFIES THAT THE INFORMATION SET FORTH IN THIS STATEMENT IS TRUE, COMPLETE AND CORRECT. STATE STREET CORPORATION ELIZABETH SCHAEFER SENIOR VICE PRESIDENT, DEPUTY CONTROLLER SSGA FUNDS MANAGEMENT, INC. JACLYN COLLIER CHIEF COMPLIANCE OFFICER EXHIBIT 1 THE FOLLOWING TABLE LISTS THE IDENTITY AND ITEM 3 CLASSIFICATION OF EACH SUBSIDIARY OF STATE STREET CORPORATION, THE PARENT HOLDING COMPANY, THAT BENEFICIALLY OWNS THE ISSUER`S SECURITIES. PLEASE REFER TO ITEM 3 OF THE ATTACHED SCHEDULE 13G FOR A DESCRIPTION OF EACH OF THE TWO-LETTER SYMBOLS REPRESENTING THE ITEM 3 CLASSIFICATION BELOW. SUBSIDIARY ITEM 3 CLASSIFICATION SSGA FUNDS MANAGEMENT, INC. IA STATE STREET GLOBAL ADVISORS EUROPE LIMITED IA STATE STREET GLOBAL ADVISORS LIMITED IA STATE STREET GLOBAL ADVISORS TRUST COMPANY IA STATE STREET GLOBAL ADVISORS, AUSTRALIA, LIMITED IA NOTE: ALL OF THE LEGAL ENTITIES ABOVE ARE DIRECT OR INDIRECT SUBSIDIARIES OF STATE STREET CORPORATION. CUSIP NO: 67577C105 13G PAGE 7 OF 7 PAGES JOINT FILING AGREEMENT IN ACCORDANCE WITH RULE 13D-1(K)(1) UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED (THE EXCHANGE ACT), EACH UNDERSIGNED ENTITY (EACH A COMPANY) HEREBY AGREES TO ANY AND ALL JOINT FILINGS REQUIRED TO BE MADE ON THE COMPANY`S BEHALF ON SCHEDULE 13G (INCLUDING AMENDMENTS THERETO) UNDER THE EXCHANGE ACT, WITH RESPECT TO SECURITIES WHICH MAY BE DEEMED TO BE BENEFICIALLY OWNED BY THE COMPANY UNDER THE EXCHANGE ACT, AND THAT THIS AGREEMENT BE INCLUDED AS AN EXHIBIT TO ANY SUCH JOINT FILING. THIS AGREEMENT MAY BE EXECUTED IN ANY NUMBER OF COUNTERPARTS ALL OF WHICH TAKEN TOGETHER SHALL CONSTITUTE ONE AND THE SAME INSTRUMENT. IN WITNESS WHEREOF, EACH COMPANY HEREBY EXECUTES THIS AGREEMENT EFFECTIVE AS OF THE DATE SET FORTH BELOW. STATE STREET CORPORATION ELIZABETH SCHAEFER SENIOR VICE PRESIDENT, DEPUTY CONTROLLER SSGA FUNDS MANAGEMENT, INC. JACLYN COLLIER CHIEF COMPLIANCE OFFICER

Get the next $OCGN alert in real time by email

Recent Analyst Ratings for

$OCGN

Date	Price Target	Rating	Analyst
10/15/2024	$4.00	Buy	Maxim Group
3/1/2023	$3.50	Neutral → Buy	Chardan Capital Markets
8/23/2022	$5.00	Buy	Mizuho
6/15/2022	$8.00	Buy	ROTH Capital
6/2/2022	$4.50	Overweight	Cantor Fitzgerald
2/28/2022	$10.00 → $8.00	Buy	HC Wainwright & Co.
7/26/2021		Outperform	Noble Capital Markets

More analyst ratings

SEC Form SC 13G/A filed by Ocugen Inc. (Amendment)

Chat with this insight

Recent Analyst Ratings for $OCGN

$OCGN SEC Filings

SEC Form EFFECT filed by Ocugen Inc.

Ocugen Inc. filed SEC Form 8-K: Other Events, Financial Statements and Exhibits

Amendment: Ocugen Inc. filed SEC Form 8-K: Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation, Unregistered Sales of Equity Securities, Other Events, Financial Statements and Exhibits

$OCGN Insider Trading

Insider transactions reveal critical sentiment about the company from key stakeholders. See them live in this feed.

SEC Form 4 filed by Chief Accounting Officer Ramachandran Ramesh

Officer Upadhyay Arun covered exercise/tax liability with 41,633 shares, decreasing direct ownership by 12% to 306,197 units (SEC Form 4)

Chief Executive Officer Musunuri Shankar covered exercise/tax liability with 177,146 shares, decreasing direct ownership by 9% to 1,832,723 units (SEC Form 4)

$OCGN Analyst Ratings

Analyst ratings in real time. Analyst ratings have a very high impact on the underlying stock. See them live in this feed.

$OCGN Leadership Updates

Live Leadership Updates

Maxim Group initiated coverage on Ocugen with a new price target

Ocugen upgraded by Chardan Capital Markets with a new price target

Mizuho initiated coverage on Ocugen with a new price target

Ocugen Chairman, CEO & Co-founder, Dr. Shankar Musunuri, to Speak During U.S.-India Initiative on Critical and Emerging Technology Workshop

Ocugen Set to Join Russell 3000® Index Effective June 28, 2024

Ocugen, Inc. investors: Please contact the Portnoy Law Firm to recover your losses; June 10, 2024 deadline

$OCGN Financials

Live finance-specific insights

Ocugen Provides Business Update with Third Quarter 2024 Financial Results

Ocugen to Host Conference Call on Friday, November 8 at 8:30 A.M. ET to Discuss Business Updates and Third Quarter 2024 Financial Results

Ocugen to Host Conference Call on Thursday, August 8 at 8:30 A.M. ET to Discuss Business Updates and Second Quarter 2024 Financial Results

$OCGN Press Releases

Fastest customizable press release news feed in the world

Ocugen, Inc. Announces Dosing Completion in the Phase 2 ArMaDa Clinical Trial for OCU410—a Multifunctional Modifier Gene Therapy for the Treatment of Geographic Atrophy Secondary to Dry Age-Related Macular Degeneration

Ocugen Announces Positive Opinion of European Medicines Agency's Committee for Advanced Therapies for Advanced Therapy Medicinal Product Classification for Modifier Gene Therapy Candidate OCU400 for Retinitis Pigmentosa

Ocugen, Inc. Announces Investigational New Drug Application in Effect After Review by FDA to Initiate Phase 1 Clinical Trial Evaluating First-in-Class OCU500 Inhaled Vaccine Candidate for COVID-19

$OCGN Large Ownership Changes

This live feed shows all institutional transactions in real time.

Amendment: SEC Form SC 13G/A filed by Ocugen Inc.

Amendment: SEC Form SC 13G/A filed by Ocugen Inc.

SEC Form SC 13G filed by Ocugen Inc.

$OCGN Insider Purchases

Insider purchases reveal critical bullish sentiment about the company from key stakeholders. See them live in this feed.

Director Fernandes Prabhavathi bought $9,095 worth of shares (10,000 units at $0.91) (SEC Form 4)

Director Castillo Kirsten bought $22,848 worth of shares (25,000 units at $0.91), increasing direct ownership by 50% to 75,000 units (SEC Form 4)

Recent Analyst Ratings for
$OCGN

$OCGN
SEC Filings

$OCGN
Insider Trading

$OCGN
Analyst Ratings

$OCGN
Leadership Updates

$OCGN
Financials

$OCGN
Press Releases

$OCGN
Large Ownership Changes

$OCGN
Insider Purchases