0001104659-17-074880.txt : 20171222
0001104659-17-074880.hdr.sgml : 20171222
20171222163713
ACCESSION NUMBER: 0001104659-17-074880
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171221
FILED AS OF DATE: 20171222
DATE AS OF CHANGE: 20171222
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: 171273048
MAIL ADDRESS:
STREET 1: C/O OCULAR THERAPEUTIX, INC.
STREET 2: 36 CROSBY DRIVE, SUITE 101
CITY: BEDFORD
STATE: MA
ZIP: 01730
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: 15 CROSBY DRIVE
CITY: BEDFORD
STATE: MA
ZIP: 01730
BUSINESS PHONE: 781-895-3235
MAIL ADDRESS:
STREET 1: 15 CROSBY DRIVE
CITY: BEDFORD
STATE: MA
ZIP: 01730
FORMER COMPANY:
FORMER CONFORMED NAME: I-THERAPEUTIX INC
DATE OF NAME CHANGE: 20070315
4
1
a4.xml
4
X0306
4
2017-12-21
0
0001393434
OCULAR THERAPEUTIX, INC
OCUL
0001614417
Sawhney Amarpreet
C/O OCULAR THERAPEUTIX, INC.
15 CROSBY DRIVE
BEDFORD
MA
01730
1
1
1
0
Exec Chairman of the Board
Common Stock
2017-12-21
4
M
0
83011
2.49
A
779401
D
Common Stock
2017-12-21
4
M
0
106382
2.73
A
885783
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)
2.49
2017-12-21
4
M
0
83011
0
D
2023-01-30
Common Stock
83011
0
D
Stock Option (Right to Buy)
2.73
2017-12-21
4
M
0
106382
0
D
2018-01-30
Common Stock
106382
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 January 31, 2013, and vested over four years with (i) approximately 24.7% of the shares underlying the option vesting on February 1, 2014, (ii) approximately 4.8% vesting monthly from March 1, 2014 to December 1, 2014, (iii) approximately 0.3% vesting on August 1, 2015, (iv) approximately 4.8% vesting monthly from September 1, 2015 to December 1, 2015, (v) approximately 3.7% vesting on November 1, 2016, and (vi) approximately 4.8% vesting on December 1, 2016.
This option was granted on January 31, 2013, and vested over four years with (i) approximately 25.2% of the shares underlying the option vesting on February 1, 2014, (ii) approximately 3.7% vesting monthly from January 1, 2015 to July 1, 2015, (iii) approximately 3.5% vesting on August 1, 2015, (iv) approximately 3.7% vesting monthly from January 1, 2016 to October 1, 2016, (v) approximately 0.8% vesting on November 1, 2016, and (vi) approximately 3.7% vesting monthly from January 1, 2017 to February 1, 2017.
/s/ Donald Notman, as Attorney-in-Fact for Amarpreet Sawhney
2017-12-22