0001104659-23-072408.txt : 20230616 0001104659-23-072408.hdr.sgml : 20230616 20230616190932 ACCESSION NUMBER: 0001104659-23-072408 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230614 FILED AS OF DATE: 20230616 DATE AS OF CHANGE: 20230616 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Warden Charles M CENTRAL INDEX KEY: 0001354802 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36554 FILM NUMBER: 231022840 MAIL ADDRESS: STREET 1: ONE SANSOME STREET STREET 2: SUITE 1650 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: OCULAR THERAPEUTIX, INC CENTRAL INDEX KEY: 0001393434 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 24 CROSBY DRIVE CITY: BEDFORD STATE: MA ZIP: 01730 BUSINESS PHONE: 781-895-3235 MAIL ADDRESS: STREET 1: 24 CROSBY DRIVE CITY: BEDFORD STATE: MA ZIP: 01730 FORMER COMPANY: FORMER CONFORMED NAME: I-THERAPEUTIX INC DATE OF NAME CHANGE: 20070315 4 1 tm2318782-6_4seq1.xml OWNERSHIP DOCUMENT X0407 4 2023-06-14 0 0001393434 OCULAR THERAPEUTIX, INC OCUL 0001354802 Warden Charles M C/O OCULAR THERAPEUTIX, INC. 24 CROSBY DRIVE BEDFORD MA 01730 1 0 0 0 0 Common Stock 2023-06-14 4 A 0 12000 0 A 60464 D Stock Option (Right to Buy) 5.31 2023-06-14 4 A 0 36000 0 A 2033-06-13 Common Stock 36000 36000 D On June 14, 2023, 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. 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. /s/ Donald Notman, Attorney-in-Fact for Charles M. Warden 2023-06-16