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Filing Details

Accession Number:: 0001209191-14-051456
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-08-08 17:03:21
Reporting Period:: 2014-07-30

Filing Date:: 2014-08-08
Accepted Time:: 2014-08-08 17:03:21
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
1615604	Ascension Health Ventures Ii, Llc	D/B/A Ascension Ventures Ii, Llc 101 South Hanley Road, Suite 200 Clayton MO 63105		No	No	Yes	No
1615761	Chv Ii, L.p.	101 South Hanley Road, Suite 200 Clayton MO 63105		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
Common Stock	Acquisiton	2014-07-30	1,693,767	$0.00	1,693,767	No	4	C	Direct
Common Stock	Acquisiton	2014-07-30	252,525	$0.00	252,525	No	4	C	Direct
Common Stock	Acquisiton	2014-07-30	153,846	$13.00	2,100,138	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	C	Direct
No	4	C	Direct
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series D Preferred Stock	Disposition	2014-07-30	1,693,767	$0.00	1,693,767	$0.00
Common Stock	Series D-1 Preferred Stock	Disposition	2014-07-30	252,525	$0.00	252,525	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	C	Direct
0			No	4	C	Direct

Footnotes

In connection with the closing of the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, all shares of Series D Preferred Stock held by CHV II, L.P. ("CHV II") converted into 1,693,767 shares of Common Stock.
In connection with the closing of the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, all shares of Series D-1 Preferred Stock held by CHV II converted into 252,525 shares of Common Stock.
These shares are owned directly by CHV II. Ascension Health Ventures II, LLC ("AHV II") is the general partner of CHV II and may be deemed to beneficially own the shares held by CHV II. AHV II disclaims beneficial ownership of shares held by CHV II except to the extent of any pecuniary interest therein.
AHV II is a wholly owned subsidiary of AHV Holding Company, LLC ("Holding"), which is a wholly owned subsidiary of Ascension. Voting and dispositive power over the shares held by CHV II investment activity resides with the Board of Managers of AHV II and is not influenced by Holding or Ascension. As such, Holding and Ascension are not reporting entities for this filing and disclaim beneficial ownership of shares held by CHV II, except to the extent of any pecuniary interest therein.
The Series D Preferred Stock was convertible by the holder at any time and had no expiration date.
The Series D-1 Preferred Stock was convertible by the holder at any time and had no expiration date.