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
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 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 Explanation
No 4 C Direct
No 4 C Direct
No 4 P Direct
Reported Derivative Transactions
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
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. The Series D Preferred Stock was convertible by the holder at any time and had no expiration date.
  6. The Series D-1 Preferred Stock was convertible by the holder at any time and had no expiration date.