SEC Form 4 · accession 0001209191-15-030912
OCULAR THERAPEUTIX, INC · OCUL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard L Lindstrom M.D.
Director
Period of report
Feb 27, 2015
Accepted (ET)
Apr 1, 2015 · 6:10 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 | Feb 27, 2015 | M | 18,939 | $0.14 | A | 37,878 | D | |
| Common StockF1 | Feb 27, 2015 | M | 5,681 | $0.96 | A | 43,559 | D |
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)F2 | $0.14 | Feb 27, 2015 | M | 18,939 | D | — | Jan 1, 2017 | Common Stock | 18,939 | 0 | D |
| Stock Option (right to buy)F3 | $0.96 | Feb 27, 2015 | M | 5,681 | D | — | Nov 11, 2018 | Common Stock | 5,681 | 0 | D |
Explanation of responses
- F1Total amount of common stock owned as of 2/27/15.
- F2This option was granted on January 2, 2007 and vested over four years, with 25% of the shares underlying the option vesting on January 2, 2008, and 2.0833% vesting monthly thereafter.
- F3This option was granted on November 13, 2008 and vested over four years, with 25% of the shares underlying the option vesting on November 13, 2009, and 2.0833% vesting monthly thereafter.