Form 4 for OCUL OCULAR THERAPEUTIX, INC
Accepted 2024-07-26 00:00:00 ET · period of report 2024-02-27 · accession 0001104659-24-083104 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2024-07-26 | 2024-02-27 | OCUL | LINDSTROM RICHARD L MD | Dir | M - OptEx | $8.80 | +30.3K | 150.7K | +25% | +$266.7K |
| D | 2024-07-26 | 2024-07-24 | OCUL | LINDSTROM RICHARD L MD | Dir | A - Grant | $0.00 | +12.0K | 162.7K | +8% | $0 |
| D | 2024-07-26 | 2024-07-24 | OCUL | LINDSTROM RICHARD L MD | Dir | A - Grant | $0.00 | +36.0K | 36.0K | New | $0 |
| DM | 2024-07-26 | 2024-02-27 | OCUL | LINDSTROM RICHARD L MD | Dir | M - OptEx | $0.00 | -30.3K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2024-02-27 | M | A | 18,939 | $8.80 | 139,341 | D | — | — | |
| 2 | Common | Common Stock | 2024-02-27 | M | A | 11,363 | $8.80 | 150,704 | D | — | — | |
| 3 | Common | Common Stock | 2024-07-24 | A | A | 12,000 | $0.00 | 162,704 | D | — | — | (F1) On July 24, 2024, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan, as amended, of Ocular Therapeutix, Inc. (the "Company"). Each RSU represents a right to receive one share of the Company's common stock. Subject to the reporting person's continued service on the Company's board of directors, the RSUs will vest with respect to 100% of the shares underlying the RSUs on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date. |
| 4 | Derivative | Stock Option (Right to Buy) | 2024-07-24 | A | A | 36,000 | $0.00 | 36,000 | D | $7.91 · — to 2034-07-23 | 36,000 Common Stock | (F4) Subject to the reporting person's continued service on the Company's board of directors, the options will vest with respect to 100% of the shares underlying the options on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date. |
| 5 | Derivative | Stock Option (Right to Buy) | 2024-02-27 | M | D | 11,363 | $0.00 | 0 | D | $8.80 · — to 2024-04-13 | 11,363 Common Stock | (F3) On February 27, 2024, the reporting person exercised an option to purchase 11,363 shares of the Company's common stock. The option was granted on April 14, 2014, and vested over three years, vesting monthly beginning on the one-month anniversary of the Company's initial public offering. |
| 6 | Derivative | Stock Option (Right to Buy) | 2024-02-27 | M | D | 18,939 | $0.00 | 0 | D | $8.80 · — to 2024-04-13 | 18,939 Common Stock | (F2) On February 27, 2024, the reporting person exercised an option to purchase 18,939 shares of the Company's common stock. The option was granted on April 14, 2014, and vested over four years, with 25% of the shares underlying the option vesting on April 11, 2015, and vesting monthly thereafter. |