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Filing Details

Accession Number:: 0001181431-14-027876
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-07-31 16:14:13
Reporting Period:: 2014-07-30

Filing Date:: 2014-07-31
Accepted Time:: 2014-07-31 16:14:13
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1393434	Ocular Therapeutix Inc	OCUL	Pharmaceutical Preparations (2834)	000000000

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1367381	Sv Life Sciences Fund Iv, L.p.	One Boston Place 201 Washington Street, Suite 3900 Boston MA 02108	No	No	Yes	No
1392309	Sv Life Sciences Fund Iv Strategic Partners, L. P.	One Boston Place 201 Washington Street, Suite 3900 Boston MA 02108	No	No	Yes	No
1422339	Svlsf Iv, Llc	One Boston Place 201 Washington Street, Suite 3900 Boston MA 02108	No	No	Yes	No
1422340	Sv Life Sciences Fund Iv (Gp), L.p.	One Boston Place 201 Washington Street, Suite 3900 Boston MA 02108	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-07-30	2,347,147	$0.00	2,347,147	No	4	C	Indirect	See footnote.
Common Stock	Acquisiton	2014-07-30	2,347,147	$0.00	2,347,147	No	4	C	Indirect	See footnote.
Common Stock	Acquisiton	2014-07-30	2,282,349	$0.00	2,282,349	No	4	C	Direct
Common Stock	Acquisiton	2014-07-30	64,798	$0.00	64,798	No	4	C	Direct
Common Stock	Acquisiton	2014-07-30	238,460	$13.00	2,585,607	No	4	P	Indirect	See footnote.
Common Stock	Acquisiton	2014-07-30	238,460	$13.00	2,585,607	No	4	P	Indirect	See footnote.
Common Stock	Acquisiton	2014-07-30	231,877	$13.00	2,514,226	No	4	P	Direct
Common Stock	Acquisiton	2014-07-30	6,583	$13.00	71,381	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote.
No	4	C	Indirect	See footnote.
No	4	C	Direct
No	4	C	Direct
No	4	P	Indirect	See footnote.
No	4	P	Indirect	See footnote.
No	4	P	Direct
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series B Preferred Stock	Disposition	2014-07-30	479,909	$0.00	479,909	$0.00
Common Stock	Series C Preferred Stock	Disposition	2014-07-30	661,929	$0.00	661,929	$0.00
Common Stock	Series D Preferred Stock	Disposition	2014-07-30	1,140,510	$0.00	1,140,510	$0.00
Common Stock	Series B Preferred Stock	Disposition	2014-07-30	13,625	$0.00	13,625	$0.00
Common Stock	Series C Preferred Stock	Disposition	2014-07-30	18,793	$0.00	18,793	$0.00
Common Stock	Series D Preferred Stock	Disposition	2014-07-30	32,379	$0.00	32,379	$0.00
Common Stock	Series B Preferred Stock	Disposition	2014-07-30	493,534	$0.00	493,534	$0.00
Common Stock	Series C Preferred Stock	Disposition	2014-07-30	680,722	$0.00	680,722	$0.00
Common Stock	Series D Preferred Stock	Disposition	2014-07-30	1,172,889	$0.00	1,172,889	$0.00
Common Stock	Series B Preferred Stock	Disposition	2014-07-30	493,534	$0.00	493,534	$0.00
Common Stock	Series C Preferred Stock	Disposition	2014-07-30	680,722	$0.00	680,722	$0.00
Common Stock	Series D Preferred Stock	Disposition	2014-07-30	1,172,889	$0.00	1,172,889	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Footnotes

These shares are owned directly by SV Life Sciences Fund IV, L.P. ("SVLS IV LP") and SV Life Sciences Fund IV Strategic Partners, L.P. ("Strategic Partners"). SV Life Sciences Fund IV (GP), L.P. ("SVLS IV GP"), the general partner of SVLS IV LP and Strategic Partners, may be deemed to share voting and dispositive power over the shares held by SVLS IV LP and Strategic Partners. SVLS IV GP disclaims beneficial ownership of shares held by SVLS IV LP and Strategic Partners except to the extent of any pecuniary interest therein.
These shares are owned directly by SVLS IV LP and Strategic Partners. SVLSF IV, LLC, the general partner of SVLS IV GP, may be deemed to share voting and dispositive power over the shares held by SVLS IV LP and Strategic Partners. SVLSF IV, LLC disclaims beneficial ownership of shares held by SVLS IV LP and Strategic Partners except to the extent of any pecuniary interest therein.
These shares are held directly by SVLS IV LP.
These shares are held directly by Strategic Partners.
SVLS IV LP and Strategic Partners (each a "Fund", or collectively the "Funds") may be deemed to beneficially own the shares held by each other Fund because of certain contractual relationships among the Funds and their affiliates. The Funds disclaim beneficial ownership of shares held by any other Fund except to the extent of any pecuniary interest therein.
On July 30, 2014, in connection with the closing of the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, all Series B Preferred Stock held by SVLS IV LP converted into 479,909 shares of Common Stock.
On July 30, 2014, in connection with the closing of the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, all Series C Preferred Stock held by SVLS IV LP converted into 661,929 shares of Common Stock.
On July 30, 2014, in connection with the closing of the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, all Series D Preferred Stock held by SVLS IV LP converted into 1,140,510 shares of Common Stock.
On July 30, 2014, in connection with the closing of the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, all Series B Preferred Stock held by Strategic Partners converted into 13,625 shares of Common Stock.
On July 30, 2014, in connection with the closing of the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, all Series C Preferred Stock held by Strategic Partners converted into 18,793 shares of Common Stock.
On July 30, 2014, in connection with the closing of the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, all Series D Preferred Stock held by Strategic Partners converted into 32,379 shares of Common Stock.
SVLS IV LP acquired 231,877 shares of Common Stock in connection with the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended.
Strategic Partners acquired 6,583 shares of Common Stock in connection with the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended.
The Series B Preferred Stock was convertible by the holder at any time and had no expiration date.
The Series C Preferred Stock was convertible by the holder at any time and had no expiration date.
The Series D Preferred Stock was convertible by the holder at any time and had no expiration date.
Common Stock share equivalent numbers on this line are rounded down to the nearest whole share number. Pursuant to the issuer's certificate of incorporation, all shares of the issuer's preferred stock were aggregated across series for purposes of conversion to Common Stock, resulting in additional whole shares being issued as a result of the aggregation of fractional shares across series.