0001104659-19-034633.txt : 20190610
0001104659-19-034633.hdr.sgml : 20190610
20190610165559
ACCESSION NUMBER: 0001104659-19-034633
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190606
FILED AS OF DATE: 20190610
DATE AS OF CHANGE: 20190610
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: 19889081
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
2019-06-06
0
0001393434
OCULAR THERAPEUTIX, INC
OCUL
0001614417
Sawhney Amarpreet
C/O OCULAR THERAPEUTIX, INC.
15 CROSBY DRIVE
BEDFORD
MA
01730
1
1
0
0
Chairman of the Board
Common Stock
2019-06-06
4
P
0
59000
2.80
A
990563
D
Common Stock
2019-06-07
4
P
0
65468
3.02
A
1056031
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
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.73 to $2.88, inclusive. The reporting person undertakes to provide to Ocular Therapeutix, Inc., any security holder of Ocular Therapeutix, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.85 to $3.20, inclusive. The reporting person undertakes to provide to Ocular Therapeutix, Inc., any security holder of Ocular Therapeutix, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
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.
/s/ Donald Notman, as Attorney-in-Fact for Amarpreet Sawhney
2019-06-10