SEC Form 4 · accession 0000899243-16-026609

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

Aug 5, 2016

Accepted (ET)

Aug 9, 2016 · 4:38 pm EDT

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	Aug 5, 2016	M	58,357	$1.35	A	632,090	D
Common Stock^F1	holding	—	—		—	846,377	I	See Footnote
Common Stock^F2	holding	—	—		—	471,784	I	See Footnote
Common Stock^F3	holding	—	—		—	379,419	I	See Footnote
Common Stock^F4	holding	—	—		—	71,969	I	See Footnote
Common Stock^F5	holding	—	—		—	189,393	I	See Footnote

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F6	$1.35	Aug 5, 2016	M	58,357	D	—	Aug 11, 2016	Common Stock	58,357	0	D

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.
F6This 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.