Filing Details

Accession Number:
0001567619-22-019384
Form Type:
4
Zero Holdings:
No
Publication Time:
2022-11-09 16:48:15
Reporting Period:
2022-11-07
Accepted Time:
2022-11-09 16:48:15
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 2022-11-07 7,328 $3.50 6,122,089 No 4 P Indirect By Family Client
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Family Client
Footnotes
  1. These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased in an open market transaction.
  2. 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 Common Stock, 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 SEC on May 19, 2020, as amended from time to time.
  3. Represents securities beneficially owned by Reporting Person through an IMA entered into with Family Clients. The securities acquired 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 owned over 90% 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.
  4. Represents the weighted average set forth in this line item. On November 7, 2022, the Reporting Person acquired 7,328 shares of Common Stock at a weighted average price of $3.50 (all shares were purchased at a price of $3.50 and therefore no range has been provided). 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.