0000899243-16-026609.txt : 20160809 0000899243-16-026609.hdr.sgml : 20160809 20160809163806 ACCESSION NUMBER: 0000899243-16-026609 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160805 FILED AS OF DATE: 20160809 DATE AS OF CHANGE: 20160809 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: 34 CROSBY DRIVE STREET 2: SUITE 105 CITY: BEDFORD STATE: MA ZIP: 01730 BUSINESS PHONE: 781-895-3235 MAIL ADDRESS: STREET 1: 34 CROSBY DRIVE STREET 2: SUITE 105 CITY: BEDFORD STATE: MA ZIP: 01730 FORMER COMPANY: FORMER CONFORMED NAME: I-THERAPEUTIX INC DATE OF NAME CHANGE: 20070315 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sawhney Amarpreet CENTRAL INDEX KEY: 0001614417 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36554 FILM NUMBER: 161818508 MAIL ADDRESS: STREET 1: C/O OCULAR THERAPEUTIX, INC. STREET 2: 36 CROSBY DRIVE, SUITE 101 CITY: BEDFORD STATE: MA ZIP: 01730 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-08-05 0 0001393434 OCULAR THERAPEUTIX, INC OCUL 0001614417 Sawhney Amarpreet C/O OCULAR THERAPEUTIX, INC. 34 CROSBY DRIVE, SUITE 105 BEDFORD MA 01730 1 1 1 0 President and CEO Common Stock 2016-08-05 4 M 0 58357 1.35 A 632090 D Common Stock 846377 I See Footnote Common Stock 471784 I See Footnote Common Stock 379419 I See Footnote Common Stock 71969 I See Footnote Common Stock 189393 I See Footnote Stock Option (Right to Buy) 1.35 2016-08-05 4 M 0 58357 0.00 D 2016-08-11 Common Stock 58357 0 D The securities are directly held by Incept, LLC. The Reporting Person is a general partner of Incept, LLC. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein. The securities are directly held by the Sangam Trust. The Reporting Person and his immediate family members are beneficiaries of the Sangam Trust. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein. The securities are directly held by the SAFIGS Trust. The Reporting Person's immediate family members are beneficiaries of the SAFIGS Trust. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein. The securities are directly held by the Sawhney Family Dynasty Trust. The Reporting Person's immediate family members are beneficiaries of the Sawhney Family Dynasty Trust. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein. The securities are directly held by the Amarpreet S. Sawhney 2014 GRAT. The Reporting Person and his immediate family members are beneficiaries of the Amar S. Sawhney 2014 GRAT. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein. This option was granted on August 12, 2011 and vests over four years, with 25% of the shares underlying the option vesting on August 12, 2012, and 2.0833% vesting monthly thereafter. /s/ W. Bradford Smith, as Attorney-in-Fact for Amarpreet Sawhney 2016-08-09