SEC Form 4 · accession 0000899243-15-008453
OCULAR THERAPEUTIX, INC · OCUL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Amarpreet Sawhney
Officer — President and CEO · Director · 10% Owner
Period of report
Nov 17, 2015
Accepted (ET)
Nov 18, 2015 · 8:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001393434
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 17, 2015 | P | 10,000 | $8.25 | A | 563,733 | D | |
| Common StockF1 | holding | — | — | — | 846,377 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 471,784 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 379,419 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 71,969 | I | See Footnote | |
| Common StockF5 | holding | — | — | — | 189,393 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.
- F2The 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.
- F3The 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.
- F4The 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.
- F5The 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.