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Filing Details

Accession Number:: 0001567619-20-006975
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-03-24 21:42:08
Reporting Period:: 2020-03-20

Accepted Time:: 2020-03-24 21:42:08
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

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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, $0.0001 Par Value Per Share	Acquisiton	2020-03-20	9,100	$4.52	5,154,788	No	4	P	Indirect	By Family Client
Common Stock, $0.0001 Par Value Per Share	Acquisiton	2020-03-23	64,948	$4.66	5,219,736	No	4	P	Indirect	By Family Client
Common Stock, $0.0001 Par Value Per Share	Acquisiton	2020-03-24	35,052	$4.87	5,254,788	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 average set forth in this line item. On March 20, 2020, the Reporting Person acquired 9,100 shares of Common Stock at a weighted average price of $4.5186 (ranging from a low of $4.15 and a high of $5.13). 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.
Represents the weighted average set forth in this line item. On March 23, 2020, the Reporting Person acquired 64,948 shares of Common Stock at a weighted average price of $4.6555 (ranging from a low of $4.09 and a high of $4.94). 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.
Represents the weighted average set forth in this line item. On March 24, 2020, the Reporting Person acquired 35,052 shares of Common Stock at a weighted average price of $4.8703 (ranging from a low of $4.59 and a high of $5.18). 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.