0001104659-23-014678.txt : 20230208 0001104659-23-014678.hdr.sgml : 20230208 20230208192942 ACCESSION NUMBER: 0001104659-23-014678 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230206 FILED AS OF DATE: 20230208 DATE AS OF CHANGE: 20230208 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Mattessich Antony C. CENTRAL INDEX KEY: 0001709900 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36554 FILM NUMBER: 23600618 MAIL ADDRESS: STREET 1: C/O OCULAR THERAPEUTIX, INC. STREET 2: 34 CROSBY DR., SUITE 105 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: 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 tm235900-1_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2023-02-06 0 0001393434 OCULAR THERAPEUTIX, INC OCUL 0001709900 Mattessich Antony C. C/O OCULAR THERAPEUTIX, INC. 24 CROSBY DRIVE BEDFORD MA 01730 1 1 0 0 President and CEO Common Stock 2023-02-06 4 S 0 19669 4.24 D 446281 D Represents shares of common stock sold, pursuant to a durable automatic sales instruction letter effecting the sell-to-cover election of the reporting person to satisfy tax withholding obligations, in connection with the vesting of restricted stock units on February 3, 2023. The reporting person structured the durable automatic sales instructions to constitute a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1. The sales do not represent a discretionary trade by the reporting person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.18 to $4.32, inclusive. The reporting person undertakes to provide to 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 (2) to this Form 4. /s/ Donald Notman, Attorney-in-Fact for Antony C. Mattessich 2023-02-08