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