0001567619-20-006975.txt : 20200324 0001567619-20-006975.hdr.sgml : 20200324 20200324214208 ACCESSION NUMBER: 0001567619-20-006975 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200320 FILED AS OF DATE: 20200324 DATE AS OF CHANGE: 20200324 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SUMMER ROAD LLC CENTRAL INDEX KEY: 0001604873 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36554 FILM NUMBER: 20739847 BUSINESS ADDRESS: STREET 1: 207 6TH STREET CITY: WEST PALM BEACH STATE: FL ZIP: 33401 BUSINESS PHONE: C MAIL ADDRESS: STREET 1: 207 6TH STREET CITY: WEST PALM BEACH STATE: FL ZIP: 33401 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 doc1.xml FORM 4 X0306 4 2020-03-20 0 0001393434 OCULAR THERAPEUTIX, INC OCUL 0001604873 SUMMER ROAD LLC 207 6TH STREET WEST PALM BEACH FL 33401 0 0 1 0 Common Stock, $0.0001 par value per share 2020-03-20 4 P 0 9100 4.5186 A 5154788 I By Family Client Common Stock, $0.0001 par value per share 2020-03-23 4 P 0 64948 4.6555 A 5219736 I By Family Client Common Stock, $0.0001 par value per share 2020-03-24 4 P 0 35052 4.8703 A 5254788 I By Family Client Reporting Person is a family office of the same family under Investment Advisers Act of 1940 Rule 202(a)(11)(G)-1 (the "Family Office Rule"). Pursuant to investment management agreements ("IMAs") between itself and its "Family Clients" (as defined in the Family Office Rule), Reporting Person exercises voting and dispositive power with respect to the Issuer's common stock, par value $0.0001 per share, held by each of the Family Clients. The Reporting Person also reports beneficial ownership pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D previously filed with the Securities and Exchange Commission on March 4, 2019, as amended. Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities as to which this Form 4 is filed by Reporting Person are owned of record by Cap 1 LLC, a Family Client of Reporting Person ("Cap 1"). Cap 1 is wholly owned by Crystal Fiduciary Company, LLC, as Trustee of the AR Irrevocable Trust. Reporting Person has no pecuniary interest in the securities beneficially owned by the Family Clients of Reporting Person. Represents the weighted average set forth in this line item. On March 20, 2020, the Reporting Person acquired 9,100 shares of Common Stock at a weighted average price of $4.5186 (ranging from a low of $4.15 and a high of $5.13). Upon request by the SEC staff, the issuer or a security holder of the issuer, the Reporting Person will provide full information regarding the number of shares of Common Stock purchased or sold at each separate price. Represents the weighted average set forth in this line item. On March 23, 2020, the Reporting Person acquired 64,948 shares of Common Stock at a weighted average price of $4.6555 (ranging from a low of $4.09 and a high of $4.94). Upon request by the SEC staff, the issuer or a security holder of the issuer, the Reporting Person will provide full information regarding the number of shares of Common Stock purchased or sold at each separate price. Represents the weighted average set forth in this line item. On March 24, 2020, the Reporting Person acquired 35,052 shares of Common Stock at a weighted average price of $4.8703 (ranging from a low of $4.59 and a high of $5.18). Upon request by the SEC staff, the issuer or a security holder of the issuer, the Reporting Person will provide full information regarding the number of shares of Common Stock purchased or sold at each separate price. /s/ Richard A. Silberberg, Chief Operating Officer 2020-03-24