Home > Insider Trading > Filing (0001567619-20-010898)

Filing Details

Accession Number:: 0001567619-20-010898
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-05-21 16:15:39
Reporting Period:: 2020-05-19

Accepted Time:: 2020-05-21 16:15:39
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

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	2020-05-19	363,636	$5.50	5,618,424	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 "Shares"), were purchased directly from the underwriters in an underwritten public offering conducted by the Issuer on May 19, 2020 (the "Offering"). Pursuant to the Offering, the Reporting Person agreed to purchase the Shares at a public offering price of $5.50 per share. The Issuer's Rule 424(b)(5) prospectus supplement (File No. 333-229085) in connection with the Offering was filed with the Securities and Exchange Commission (the "SEC") on May 20, 2020.
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 Issuer's common stock, par value $0.0001 per share, 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 March 4, 2019, as amended from time to time.
Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.