Current Report Filing (8-k)
December 10 2019 - 08:31AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 8–K
CURRENT REPORT
Pursuant to Section 13 OR 15 (d)
of the Securities Exchange Act of 1934
Date of Report (Date of Earliest Event Reported): December
9, 2019
OCUGEN, INC.
(Exact Name of Registrant as Specified in
its Charter)
Delaware
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001-36751
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04-3522315
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(State or Other Jurisdiction of
Incorporation)
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(Commission
File Number)
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(I.R.S. Employer
Identification Number)
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5 Great Valley Parkway, Suite 160
Malvern, Pennsylvania 19355
(484) 328-4701
(Addresses, including zip code, and telephone
numbers, including area code, of principal executive offices)
N/A
(Former Name or Former Address, if Changed
Since Last Report)
Check the appropriate box below if the Form 8–K filing
is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General
Instruction A.2. below):
¨ Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨ Soliciting
material pursuant to Rule 14a–12 under the Exchange Act (17 CFR 240.14a–12)
¨ Pre–commencement
communications pursuant to Rule 14d–2(b) under the Exchange Act (17 CFR 240.14d–2(b))
¨ Pre–commencement
communications pursuant to Rule 13e–4(c) under the Exchange Act (17 CFR 240.13e–4(c))
Securities registered pursuant to Section
12(b) of the Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common Stock, $0.01 par value per share
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OCGN
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The Nasdaq Stock Market LLC
(The Nasdaq Capital Market)
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Indicate by check mark whether the registrant is an emerging
growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of
the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company x
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for
complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
Act. ¨
Item 8.01 Other
Events
Press Release
On December 9, 2019, Ocugen, Inc. (the “Company”)
issued a press release announcing that its Phase 3 BRAVO study for its product candidate OCU300 for patients with ocular Graft
Versus Host Disease (oGVHD) had reached 50% enrollment. A copy of the press release is filed as Exhibit 99.1 to this Current Report
on Form 8-K and is incorporated herein by reference.
Ocugen Warrant Update
As of December 9, 2019, there were 1000
Series B warrants and 1000 Series C warrants outstanding, which represented less than 0.005% of the total Series B and Series C
warrants issued by the Company. As of December 9, 2019, the Company had 52,625,228 shares of common stock issued and outstanding.
Item 9.01 Financial
Statements and Exhibits
The following exhibits are being filed herewith:
(d) Exhibits
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act
of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Date: December 10, 2019
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OCUGEN, INC.
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By:
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/s/ Shankar Musunuri
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Name: Shankar Musunuri
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Title: Chief Executive Officer and Chairman
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