SEC Form 4 · accession 0001209191-15-052371
OCULAR THERAPEUTIX, INC · OCUL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
SV LIFE SCIENCES FUND IV, L.P.
10% Owner
SVLSF IV, LLC
10% Owner
SV Life Sciences Fund IV (GP), L.P.
10% Owner
Period of report
Jun 10, 2015
Accepted (ET)
Jun 11, 2015 · 5:29 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 StockF1,F5 | Jun 10, 2015 | S | 373,000 | $22.00 | D | 2,212,607 | I | See Footnotes |
| Common StockF2,F5 | Jun 10, 2015 | S | 373,000 | $22.00 | D | 2,212,607 | I | See Footnotes |
| Common StockF3 | Jun 10, 2015 | S | 362,703 | $22.00 | D | 2,151,523 | D | |
| Common StockF4 | Jun 10, 2015 | S | 10,297 | $22.00 | D | 61,084 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are owned directly by SV Life Sciences Fund IV, L.P. ("SVLS IV LP") and SV Life Sciences Fund IV Strategic Partners, L.P. ("Strategic Partners"). SV Life Sciences Fund IV (GP), L.P. ("SVLS IV GP"), the general partner of SVLS IV LP and Strategic Partners, may be deemed to share voting and dispositive power over the shares held by SVLS IV LP and Strategic Partners. SVLS IV GP disclaims beneficial ownership of shares held by SVLS IV LP and Strategic Partners except to the extent of any pecuniary interest therein.
- F2These shares are owned directly by SVLS IV LP and Strategic Partners. SVLSF IV, LLC, the general partner of SVLS IV GP, may be deemed to share voting and dispositive power over the shares held by SVLS IV LP and Strategic Partners. SVLSF IV, LLC disclaims beneficial ownership of shares held by SVLS IV LP and Strategic Partners except to the extent of any pecuniary interest therein.
- F3These shares are held directly by SVLS IV LP.
- F4These shares are held directly by Strategic Partners.
- F5SVLS IV LP and Strategic Partners (each a "Fund", or collectively the "Funds") may be deemed to beneficially own the shares held by each other Fund because of certain contractual relationships among the Funds and their affiliates. The Funds disclaim beneficial ownership of shares held by any other Fund except to the extent of any pecuniary interest therein.