Filing Details

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

 

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ 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).

 

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*Summer Road LLC is a family office under the Investment Advisers Act Rule 202(a)(11)(G)-1 (the "Family Office Rule"). Pursuant to investment management agreements ("IMA") between itself and each of two "Family Clients" (as defined in the Family Office Rule), Summer Road LLC exercises voting and dispositive power with respect to the shares of Common Stock of the Company held by each of the Family Clients.

**Represents shares beneficially owned by Reporting Person through two IMAs entered into with two Family Clients.

***This calculation is rounded to the nearest tenth and is based upon 36,158,202 shares of common stock to be outstanding as of January 29, 2017 as reported in the Company's Prospectus Supplement filed pursuant to Rule 424(b)(5) on January 25, 2018.

 

 

Item 1(a).

Name of Issuer:

Ocular Therapeutix, Inc., a Delaware Corporation (the "Company").

 

Item 1(b).

Address of Issuer's Principal Executive Offices:

Item 2(a).

Name of Person Filing:

The Statement is filed on behalf of the following persons (the "Reporting Person"):

Summer Road LLC   The Reporting Person is a family office

Item 2(b).

Address of Principal Business Office or, if none, Residence:

Item 2(c).

Citizenship:

Summer Road LLC is a Delaware limited liability company.

Item 2(d).

Title of Class of Securities:

Item 2(e).

CUSIP Number:   67576A100

 

 

 

            Summer Road LLC

 

 

 

Item 5.

Ownership of Five Percent or Less of a Class.   Not applicable.

 

Item 6.

Ownership of More Than Five Percent on Behalf of Another Person.   The securities as to which this Schedule is filed by the Reporting Person are owned of record by two Family Clients of the Reporting Person. The following Family Client is the owner of record of more than five percent of the Common Stock of the issuer: Cap 1 LLC

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.   Not applicable.

 

Item 8.

Identification and Classification of Members of the Group.   Not applicable.

 

Item 9.

Notice of Dissolution of Group.   Not applicable.

 

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 of 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.

 

 

CUSIP No. 67576A100

13G

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