0001104659-24-011200.txt : 20240206 0001104659-24-011200.hdr.sgml : 20240206 20240206183558 ACCESSION NUMBER: 0001104659-24-011200 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240203 FILED AS OF DATE: 20240206 DATE AS OF CHANGE: 20240206 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Strassburger Philip C. CENTRAL INDEX KEY: 0001825592 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36554 FILM NUMBER: 24601565 MAIL ADDRESS: STREET 1: 24 CROSBY DRIVE CITY: BEDFORD STATE: MA ZIP: 01730 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: OCULAR THERAPEUTIX, INC CENTRAL INDEX KEY: 0001393434 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences 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 tm245295-4_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-02-03 0 0001393434 OCULAR THERAPEUTIX, INC OCUL 0001825592 Strassburger Philip C. C/O OCULAR THERAPEUTIX, INC. 24 CROSBY DRIVE BEDFORD MA 01730 0 1 0 0 General Counsel 0 Common Stock 2024-02-03 4 A 0 58304 0 A 167522 D Common Stock 2024-02-05 4 S 0 6029 4.86 A 161493 D Stock Option (Right to Buy) 5.18 2024-02-03 4 A 0 175000 0 A 2034-02-02 Common Stock 175000 175000 D On February 3, 2024, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan, as amended, of Ocular Therapeutix, Inc. (the "Corporation"). Each RSU represents a right to receive one share of the Corporation 's common stock. Subject to the reporting person's continued service to the Corporation, the RSUs will vest over three years, with 1/3 of the shares underlying the RSUs vesting on the one-year anniversary of the date of grant and an additional 1/3 of the shares underlying the RSUs vesting at the end of each successive one-year period thereafter. Represents shares of common stock of the Corporation sold, pursuant to a durable automatic sales instruction letter effecting the sell-to-cover election of the reporting person to satisfy tax withholding obligations, in connection with the vesting of restricted stock units on February 3, 2024. The sales do not represent a discretionary trade by the reporting person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.73 to $4.94, inclusive. The reporting person undertakes to provide to the Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4. Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant. /s/ Donald Notman, Attorney-in-Fact for Philip C. Strassburger 2024-02-06