0001209191-15-043279.txt : 20150515
0001209191-15-043279.hdr.sgml : 20150515
20150515160914
ACCESSION NUMBER: 0001209191-15-043279
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150513
FILED AS OF DATE: 20150515
DATE AS OF CHANGE: 20150515
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: 15869384
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
2015-05-13
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
2015-05-13
4
M
0
51491
1.35
A
538733
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
2015-05-13
4
M
0
51491
0.00
D
2016-08-11
Common Stock
51491
58357
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
2015-05-15