Filing Details
- Accession Number:
- 0001567619-20-006639
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-17 21:35:06
- Reporting Period:
- 2020-03-13
- Accepted Time:
- 2020-03-17 21:35:06
- 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 |
---|---|---|---|---|---|---|---|
1604873 | Summer Road Llc | 207 6Th Street West Palm Beach FL 33401 | 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, $0.0001 Par Value Per Share | Acquisiton | 2020-03-13 | 210,800 | $4.63 | 4,015,588 | No | 4 | P | Indirect | By Family Client |
Common Stock, $0.0001 Par Value Per Share | Acquisiton | 2020-03-16 | 194,262 | $4.16 | 4,209,850 | No | 4 | P | Indirect | By Family Client |
Common Stock, $0.0001 Par Value Per Share | Acquisiton | 2020-03-17 | 550,000 | $4.66 | 4,759,850 | No | 4 | P | Indirect | By Family Client |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By Family Client |
No | 4 | P | Indirect | By Family Client |
No | 4 | P | Indirect | By Family Client |
Footnotes
- Reporting Person is a family office of the same family under Investment Advisers Act of 1940 Rule 202(a)(11)(G)-1 (the "Family Office Rule"). Pursuant to investment management agreements ("IMAs") between itself and its "Family Clients" (as defined in the Family Office Rule), Reporting Person exercises voting and dispositive power with respect to the Issuer's common stock, par value $0.0001 per share, held by each of the Family Clients. The Reporting Person also reports beneficial ownership pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D previously filed with the Securities and Exchange Commission on March 4, 2019, as amended.
- Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities as to which this Form 4 is filed by Reporting Person are owned of record by Cap 1 LLC, a Family Client of Reporting Person ("Cap 1"). Cap 1 is wholly owned by Crystal Fiduciary Company, LLC, as Trustee of the AR Irrevocable Trust. Reporting Person has no pecuniary interest in the securities beneficially owned by the Family Clients of Reporting Person.
- Represents the weighted averages set forth in this line item. On March 13, 2020, the Reporting Person acquired 210,800 shares of Common Stock at a weighted average price of $4.6299. On March 16, 2020, the Reporting Person acquired 194,262 shares of Common Stock at a weighted average price of $4.1553. On March 17, 2020, the Reporting Person acquired 550,000 shares of Common Stock at a weighted average price of $4.6598. Upon request by the SEC staff, the issuer or a security holder of the issuer, the Reporting Person will provide full information regarding the number of shares of Common Stock purchased or sold at each separate price, and the range of prices for the transactions reported on this Form 4.