InsiderTrades

Form 4 for OCUL OCULAR THERAPEUTIX, INC

Accepted 2021-12-14 00:00:00 ET · period of report 2021-12-10 · accession 0001567619-21-022066 · 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
MI 2021-12-14 2021-12-10+ OCUL SUMMER ROAD LLC 10% P - Purchase $6.61 +40.5K 5.71M +0.7% +$267.8K

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Common Stock, $0.0001 par value per share 2021-12-13 P A 10,510 $6.50 5,720,271 I By Family Client — — (F1) These shares of Common Stock, $0.0001 par value per share (the "Shares"), were purchased in an open market transaction. (F5) Represents the weighted average set forth in this line item. On December 13, 2021, the Reporting Person acquired 10,510 shares of Common Stock at a weighted average price of $ 6.4988 (ranging from a low of $6.44 and a high of $6.745). Upon request by the SEC staff, the issuer or a security holder of the issuer, the Reporting Person will provide full information regarding the number of shares of Common Stock purchased or sold at each separate price. (F3) Represents securities beneficially owned by Reporting Person through an IMA entered into with Family Clients. The securities acquired 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 owned over 90% 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. (F2) 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 May 19, 2020, as amended from time to time.
2 Common Common Stock, $0.0001 par value per share 2021-12-10 P A 30,000 $6.65 5,709,761 I By Family Client — — (F1) These shares of Common Stock, $0.0001 par value per share (the "Shares"), were purchased in an open market transaction. (F4) Represents the weighted average set forth in this line item. On December 10, 2021, the Reporting Person acquired 30,000 shares of Common Stock at a weighted average price of $ 6.6498(ranging from a low of $6.50 and a high of $6.945). Upon request by the SEC staff, the issuer or a security holder of the issuer, the Reporting Person will provide full information regarding the number of shares of Common Stock purchased or sold at each separate price. (F3) Represents securities beneficially owned by Reporting Person through an IMA entered into with Family Clients. The securities acquired 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 owned over 90% 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. (F2) 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 May 19, 2020, as amended from time to time.