Filing Details
- Accession Number:
- 0001209191-14-049771
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-07-31 17:33:10
- Reporting Period:
- 2014-07-30
- Filing Date:
- 2014-07-31
- Accepted Time:
- 2014-07-31 17:33:10
- 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 |
|---|---|---|---|---|---|---|---|
| 1614417 | Amarpreet Sawhney | C/O Ocular Therapeutix, Inc. 36 Crosby Drive, Suite 101 Bedford MA 01730 | President And Ceo | Yes | Yes | 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 | 23,357 | $0.00 | 487,242 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-07-30 | 213,915 | $0.00 | 846,377 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2014-07-30 | 16,075 | $0.00 | 394,862 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2014-07-30 | 76,922 | $13.00 | 471,784 | No | 4 | P | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Preferred Stock | Disposition | 2014-07-30 | 320,836 | $0.00 | 121,528 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2014-07-30 | 61,664 | $0.00 | 23,357 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2014-07-30 | 243,902 | $0.00 | 92,387 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2014-07-30 | 42,440 | $0.00 | 16,075 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- Each share of Series A and Series C Preferred Stock converted into Common Stock on a 2.64-for-one basis upon the closing of the Issuer's initial public offering of common stock for no additional consideration. The preferred stock had no expiration date.
- The securities are directly held by Incept, LLC. The Reporting Person is a general partner of Incept, LLC. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein.
- The securities are directly held by the Sangam Trust. The Reporting Person and his immediate family members are beneficiaries of the Sangam Trust. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein.
Billionaire Hedge Funds
