0000893838-23-000086.txt : 20231218 0000893838-23-000086.hdr.sgml : 20231218 20231218165233 ACCESSION NUMBER: 0000893838-23-000086 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231214 FILED AS OF DATE: 20231218 DATE AS OF CHANGE: 20231218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SUMMER ROAD LLC CENTRAL INDEX KEY: 0001604873 ORGANIZATION NAME: STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36554 FILM NUMBER: 231494462 BUSINESS ADDRESS: STREET 1: 207 6TH STREET CITY: WEST PALM BEACH STATE: FL ZIP: 33401 BUSINESS PHONE: C MAIL ADDRESS: STREET 1: 207 6TH STREET CITY: WEST PALM BEACH STATE: FL ZIP: 33401 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: OCULAR THERAPEUTIX, INC CENTRAL INDEX KEY: 0001393434 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences 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 form4.xml X0508 4 2023-12-14 0001393434 OCULAR THERAPEUTIX, INC OCUL 0001604873 SUMMER ROAD LLC 207 6TH STREET WEST PALM BEACH FL 33401 true false Common Stock, $0.0001 par value per share 2023-12-14 4 P 0 1538461 3.25 A 7660550 I By Family Client These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased in connection with a public offering consummated by the registrant on December 14, 2023 pursuant to a Rule 424(b)(5) prospectus supplement filed with the Securities and Exchange Commission on December 14, 2023. 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 Common Stock, 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. 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. /s/ Richard A. Silberberg, Chief Operating Officer 2023-12-18