Home > Insider Trading > Filing (0000893838-24-000022)

Filing Details

Accession Number:: 0000893838-24-000022
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2024-02-27 16:43:51
Reporting Period:: 2024-02-26

Accepted Time:: 2024-02-27 16:43:51
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	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

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	2024-02-26	930,851	$7.52	8,591,401	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

These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased by the Reporting Person at a price of $7.52 per share (the "Acquired Shares") through a private placement that closed on February 26, 2024 (the "Private Placement"), pursuant to a Securities Purchase Agreement, dated February 21, 2024, a copy of which was filed as Exhibit 10.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission (the "SEC") on February 22, 2024. In connection with the Private Placement, the Reporting Person also entered into a Registration Rights Agreement, dated February 21, 2024, a copy of which was filed as Exhibit 10.2 to the Issuer's Form 8-K filed with the SEC on February 22, 2024, pursuant to which the Issuer agreed to register for resale the Acquired Shares no later than 30 days following the closing of the Private Placement.
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.
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.