Filing Details
- Accession Number:
- 0001209191-14-051456
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-08 17:03:21
- Reporting Period:
- 2014-07-30
- Filing Date:
- 2014-08-08
- Accepted Time:
- 2014-08-08 17:03:21
- 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 | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1615604 | Ascension Health Ventures Ii, Llc | D/B/A Ascension Ventures Ii, Llc 101 South Hanley Road, Suite 200 Clayton MO 63105 | No | No | Yes | No | |
| 1615761 | Chv Ii, L.p. | 101 South Hanley Road, Suite 200 Clayton MO 63105 | No | No | Yes | No |
Reported Non-Derivative Transactions
| 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 | 1,693,767 | $0.00 | 1,693,767 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-07-30 | 252,525 | $0.00 | 252,525 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-07-30 | 153,846 | $13.00 | 2,100,138 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series D Preferred Stock | Disposition | 2014-07-30 | 1,693,767 | $0.00 | 1,693,767 | $0.00 |
| Common Stock | Series D-1 Preferred Stock | Disposition | 2014-07-30 | 252,525 | $0.00 | 252,525 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- 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 shares of Series D Preferred Stock held by CHV II, L.P. ("CHV II") converted into 1,693,767 shares of Common Stock.
- 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 shares of Series D-1 Preferred Stock held by CHV II converted into 252,525 shares of Common Stock.
- These shares are owned directly by CHV II. Ascension Health Ventures II, LLC ("AHV II") is the general partner of CHV II and may be deemed to beneficially own the shares held by CHV II. AHV II disclaims beneficial ownership of shares held by CHV II except to the extent of any pecuniary interest therein.
- AHV II is a wholly owned subsidiary of AHV Holding Company, LLC ("Holding"), which is a wholly owned subsidiary of Ascension. Voting and dispositive power over the shares held by CHV II investment activity resides with the Board of Managers of AHV II and is not influenced by Holding or Ascension. As such, Holding and Ascension are not reporting entities for this filing and disclaim beneficial ownership of shares held by CHV II, except to the extent of any pecuniary interest therein.
- The Series D Preferred Stock was convertible by the holder at any time and had no expiration date.
- The Series D-1 Preferred Stock was convertible by the holder at any time and had no expiration date.
Billionaire Hedge Funds
