OCUL

SEC source: 0001104659-24-065644 · tm2415610-1_4seq1.xml · nonDerivative · entry 1

Dugel Pravin · CIK 0001700917 · Director · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 833,353

F1 · kind: Represents shares of common stock of Ocular Therapeutix, Inc. (the "Corporation") sold, pursuant to a durable automatic sale instruction adopted by the reporting person on February 21, 2024, 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 May 22, 2024. The sales do not represent a discretionary trade by the reporting person.

F1 · shares: Represents shares of common stock of Ocular Therapeutix, Inc. (the "Corporation") sold, pursuant to a durable automatic sale instruction adopted by the reporting person on February 21, 2024, 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 May 22, 2024. The sales do not represent a discretionary trade by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.74 to $5.81, 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 (2) to this Form 4.

SEC source: 0001104659-24-083104 · tm2420266-5_4seq1.xml · derivative · entry 5

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,363 shares

Expires 2024-04-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: On February 27, 2024, the reporting person exercised an option to purchase 11,363 shares of the Company's common stock. The option was granted on April 14, 2014, and vested over three years, vesting monthly beginning on the one-month anniversary of the Company's initial public offering.

SEC source: 0001104659-24-083104 · tm2420266-5_4seq1.xml · derivative · entry 4

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,939 shares

Expires 2024-04-13

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: On February 27, 2024, the reporting person exercised an option to purchase 18,939 shares of the Company's common stock. The option was granted on April 14, 2014, and vested over four years, with 25% of the shares underlying the option vesting on April 11, 2015, and vesting monthly thereafter.

SEC source: 0001104659-24-083104 · tm2420266-5_4seq1.xml · nonDerivative · entry 2

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,704

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-24-083104 · tm2420266-5_4seq1.xml · nonDerivative · entry 1

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 139,341

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000893838-24-000022 · form4.xml · nonDerivative · entry 1

SUMMER ROAD LLC · CIK 0001604873 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Family Client

Disclosed balance after: 8,591,401

F1 · shares: These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased by the Reporting Person at a price of $7.52 per share (the "Acquired Shares") through a private placement that closed on February 26, 2024 (the "Private Placement"), pursuant to a Securities Purchase Agreement, dated February 21, 2024, a copy of which was filed as Exhibit 10.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission (the "SEC") on February 22, 2024. In connection with the Private Placement, the Reporting Person also entered into a Registration Rights Agreement, dated February 21, 2024, a copy of which was filed as Exhibit 10.2 to the Issuer's Form 8-K filed with the SEC on February 22, 2024, pursuant to which the Issuer agreed to register for resale the Acquired Shares no later than 30 days following the closing of the Private Placement.

F1 · price: These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased by the Reporting Person at a price of $7.52 per share (the "Acquired Shares") through a private placement that closed on February 26, 2024 (the "Private Placement"), pursuant to a Securities Purchase Agreement, dated February 21, 2024, a copy of which was filed as Exhibit 10.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission (the "SEC") on February 22, 2024. In connection with the Private Placement, the Reporting Person also entered into a Registration Rights Agreement, dated February 21, 2024, a copy of which was filed as Exhibit 10.2 to the Issuer's Form 8-K filed with the SEC on February 22, 2024, pursuant to which the Issuer agreed to register for resale the Acquired Shares no later than 30 days following the closing of the Private Placement.

F2 · acquired: Reporting Person is a family office of the same family under Investment Advisers Act of 1940 Rule 202(a)(11)(G)-1 (the "Family Office Rule"). Pursuant to investment management agreements ("IMAs") between itself and its "Family Clients" (as defined in the Family Office Rule), Reporting Person exercises voting and dispositive power with respect to the Common Stock, held by each of the Family Clients. The Reporting Person also reports beneficial ownership pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D previously filed with the SEC on May 19, 2020, as amended from time to time.

F2 · balance_after: Reporting Person is a family office of the same family under Investment Advisers Act of 1940 Rule 202(a)(11)(G)-1 (the "Family Office Rule"). Pursuant to investment management agreements ("IMAs") between itself and its "Family Clients" (as defined in the Family Office Rule), Reporting Person exercises voting and dispositive power with respect to the Common Stock, held by each of the Family Clients. The Reporting Person also reports beneficial ownership pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D previously filed with the SEC on May 19, 2020, as amended from time to time.

F3 · balance_after: Represents securities beneficially owned by Reporting Person through an IMA entered into with Family Clients. The securities acquired as to which this Form 4 is filed by Reporting Person are owned of record by Cap 1 LLC, a Family Client of Reporting Person ("Cap 1"). Cap 1 is owned over 90% by Crystal Fiduciary Company, LLC, as Trustee of the AR Irrevocable Trust. Reporting Person has no pecuniary interest in the securities beneficially owned by the Family Clients of Reporting Person.

F2 · ownership.direct: Reporting Person is a family office of the same family under Investment Advisers Act of 1940 Rule 202(a)(11)(G)-1 (the "Family Office Rule"). Pursuant to investment management agreements ("IMAs") between itself and its "Family Clients" (as defined in the Family Office Rule), Reporting Person exercises voting and dispositive power with respect to the Common Stock, held by each of the Family Clients. The Reporting Person also reports beneficial ownership pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D previously filed with the SEC on May 19, 2020, as amended from time to time.

F3 · ownership.direct: Represents securities beneficially owned by Reporting Person through an IMA entered into with Family Clients. The securities acquired as to which this Form 4 is filed by Reporting Person are owned of record by Cap 1 LLC, a Family Client of Reporting Person ("Cap 1"). Cap 1 is owned over 90% by Crystal Fiduciary Company, LLC, as Trustee of the AR Irrevocable Trust. Reporting Person has no pecuniary interest in the securities beneficially owned by the Family Clients of Reporting Person.

F2 · ownership.nature: Reporting Person is a family office of the same family under Investment Advisers Act of 1940 Rule 202(a)(11)(G)-1 (the "Family Office Rule"). Pursuant to investment management agreements ("IMAs") between itself and its "Family Clients" (as defined in the Family Office Rule), Reporting Person exercises voting and dispositive power with respect to the Common Stock, held by each of the Family Clients. The Reporting Person also reports beneficial ownership pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D previously filed with the SEC on May 19, 2020, as amended from time to time.

F3 · ownership.nature: Represents securities beneficially owned by Reporting Person through an IMA entered into with Family Clients. The securities acquired as to which this Form 4 is filed by Reporting Person are owned of record by Cap 1 LLC, a Family Client of Reporting Person ("Cap 1"). Cap 1 is owned over 90% by Crystal Fiduciary Company, LLC, as Trustee of the AR Irrevocable Trust. Reporting Person has no pecuniary interest in the securities beneficially owned by the Family Clients of Reporting Person.

SEC source: 0001104659-24-027724 · tm247229-3_4seq1.xml · derivative · entry 2

Nayak Sanjay · CIK 0002012715 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 244,550

Underlying: Common Stock · 244,550 shares

Expires 2024-02-21

F2 · derivative.exercise_date: Vests over four years, with 1/4 of the shares underlying the option vesting on the one-year anniversary of the date the reporting person commenced employment with the Corporation and 1/48 of the shares underlying the option vesting monthly thereafter.

SEC source: 0001104659-24-027724 · tm247229-3_4seq1.xml · nonDerivative · entry 1

Nayak Sanjay · CIK 0002012715 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,300

F1 · shares: On February 22, 2024, the reporting person was granted restricted stock units ("RSUs") under the 2019 Inducement 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, in equal quarterly installments, beginning on the date of grant.

SEC source: 0001104659-24-027726 · tm247229-4_4seq1.xml · derivative · entry 2

Dugel Pravin · CIK 0001700917 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,282,469

Underlying: Common Stock · 1,282,469 shares

Expires 2024-02-21

F2 · derivative.exercise_date: Vests over four years, vesting in equal monthly installments beginning on the date the reporting person commenced employment with the Corporation.

SEC source: 0001104659-24-027726 · tm247229-4_4seq1.xml · nonDerivative · entry 1

Dugel Pravin · CIK 0001700917 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 854,979

F1 · shares: On February 22, 2024, the reporting person was granted restricted stock units ("RSUs") under the 2019 Inducement 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, in equal quarterly installments, beginning on the date of grant.

SEC source: 0001104659-24-011195 · tm245295-1_4seq1.xml · nonDerivative · entry 2

Mattessich Antony C. · CIK 0001709900 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 588,701

F2 · shares: 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.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.72 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.

SEC source: 0001104659-24-011201 · tm245295-5_4seq1.xml · nonDerivative · entry 2

White Christopher G · CIK 0001537668 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 123,689

F2 · shares: 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.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.72 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.

SEC source: 0001104659-24-011200 · tm245295-4_4seq1.xml · nonDerivative · entry 2

Strassburger Philip C. · CIK 0001825592 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 161,493

F2 · shares: 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.

F3 · price: 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.

SEC source: 0001104659-24-011197 · tm245295-3_4seq1.xml · nonDerivative · entry 2

Ozden Rabia Gurses · CIK 0001814883 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 153,054

F2 · shares: 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.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.72 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.

SEC source: 0001104659-24-011196 · tm245295-2_4seq1.xml · nonDerivative · entry 2

Notman Donald · CIK 0001718019 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 195,356

F2 · shares: 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.

F3 · price: 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.

SEC source: 0001104659-24-011195 · tm245295-1_4seq1.xml · derivative · entry 4

Mattessich Antony C. · CIK 0001709900 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 549,400

Underlying: Common Stock · 549,400 shares

Expires 2034-02-02

F4 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-24-011195 · tm245295-1_4seq1.xml · nonDerivative · entry 1

Mattessich Antony C. · CIK 0001709900 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 608,343

F1 · shares: 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.

SEC source: 0001104659-24-011201 · tm245295-5_4seq1.xml · derivative · entry 3

White Christopher G · CIK 0001537668 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2034-02-02

F4 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-24-011201 · tm245295-5_4seq1.xml · nonDerivative · entry 1

White Christopher G · CIK 0001537668 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 129,599

F1 · shares: 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.

SEC source: 0001104659-24-011200 · tm245295-4_4seq1.xml · derivative · entry 3

Strassburger Philip C. · CIK 0001825592 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2034-02-02

F4 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-24-011200 · tm245295-4_4seq1.xml · nonDerivative · entry 1

Strassburger Philip C. · CIK 0001825592 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 167,522

F1 · shares: 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.

SEC source: 0001104659-24-011197 · tm245295-3_4seq1.xml · derivative · entry 3

Ozden Rabia Gurses · CIK 0001814883 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2034-02-02

F4 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-24-011197 · tm245295-3_4seq1.xml · nonDerivative · entry 1

Ozden Rabia Gurses · CIK 0001814883 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 159,400

F1 · shares: 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.

SEC source: 0001104659-24-011196 · tm245295-2_4seq1.xml · derivative · entry 3

Notman Donald · CIK 0001718019 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 185,000

Underlying: Common Stock · 185,000 shares

Expires 2034-02-02

F4 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-24-011196 · tm245295-2_4seq1.xml · nonDerivative · entry 1

Notman Donald · CIK 0001718019 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 201,568

F1 · shares: 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.

SEC source: 0001104659-24-010231 · tm245049-1_4seq1.xml · nonDerivative · entry 1

Mattessich Antony C. · CIK 0001709900 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 427,943

F1 · kind: Represents shares of common stock of Ocular Therapeutix, Inc. (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 January 30, 2024. The sales do not represent a discretionary trade by the reporting person.

F2 · kind: The reporting person's sale of shares of common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 6,500 shares, with the reporting person's indirect purchase of 6,500 shares of common stock at a price of $3.81 per share effected August 30, 2023. The reporting person has paid to the Corporation an aggregate amount of $7,401.55, representing the amount of the profit realized in connection with the short-swing transaction.

F1 · shares: Represents shares of common stock of Ocular Therapeutix, Inc. (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 January 30, 2024. The sales do not represent a discretionary trade by the reporting person.

F2 · shares: The reporting person's sale of shares of common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, to the extent of 6,500 shares, with the reporting person's indirect purchase of 6,500 shares of common stock at a price of $3.81 per share effected August 30, 2023. The reporting person has paid to the Corporation an aggregate amount of $7,401.55, representing the amount of the profit realized in connection with the short-swing transaction.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.82 to $5.06, 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) this Form 4.

SEC source: 0001104659-24-010238 · tm245049-5_4seq1.xml · nonDerivative · entry 1

Notman Donald · CIK 0001718019 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 139,932

F1 · kind: Represents shares of common stock of Ocular Therapeutix, Inc. (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 January 30, 2024. The sales do not represent a discretionary trade by the reporting person.

F1 · shares: Represents shares of common stock of Ocular Therapeutix, Inc. (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 January 30, 2024. The sales do not represent a discretionary trade by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.82 to $5.03, 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 (2) to this Form 4.

F3 · balance_after: Includes (i) 4,479 shares of common stock acquired under the 2014 Ocular Therapeutix, Inc. Employee Stock Purchase Plan (the "2014 ESPP") on June 30, 2023 and (ii) 2,499 shares of common stock acquired under the 2014 ESPP on December 31, 2023.

SEC source: 0001104659-24-010237 · tm245049-4_4seq1.xml · nonDerivative · entry 1

Ozden Rabia Gurses · CIK 0001814883 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,767

F1 · kind: Represents shares of common stock of Ocular Therapeutix, Inc. (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 January 30, 2024. The sales do not represent a discretionary trade by the reporting person.

F1 · shares: Represents shares of common stock of Ocular Therapeutix, Inc. (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 January 30, 2024. The sales do not represent a discretionary trade by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.83 to $5.04, 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 (2) to this Form 4.

SEC source: 0001104659-24-010235 · tm245049-3_4seq1.xml · nonDerivative · entry 1

Strassburger Philip C. · CIK 0001825592 · General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,218

F1 · kind: Represents shares of common stock of Ocular Therapeutix, Inc. (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 January 30, 2024. The sales do not represent a discretionary trade by the reporting person.

F1 · shares: Represents shares of common stock of Ocular Therapeutix, Inc. (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 January 30, 2024. The sales do not represent a discretionary trade by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.82 to $5.06, 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 (2) to this Form 4.

F3 · balance_after: Includes (i) 4,479 shares of common stock acquired under the 2014 Ocular Therapeutix, Inc. Employee Stock Purchase Plan (the "2014 ESPP") on June 30, 2023 and (ii) 2,499 shares of common stock acquired under the 2014 ESPP on December 31, 2023.

SEC source: 0001104659-24-010233 · tm245049-2_4seq1.xml · nonDerivative · entry 1

White Christopher G · CIK 0001537668 · Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,619

F1 · kind: Represents shares of common stock of Ocular Therapeutix, Inc. (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 January 30, 2024. The sales do not represent a discretionary trade by the reporting person.

F1 · shares: Represents shares of common stock of Ocular Therapeutix, Inc. (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 January 30, 2024. The sales do not represent a discretionary trade by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.83 to $5.04, 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 (2) to this Form 4.

SEC source: 0000893838-23-000086 · form4.xml · nonDerivative · entry 1

SUMMER ROAD LLC · CIK 0001604873 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Family Client

Disclosed balance after: 7,660,550

F1 · shares: These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased in connection with a public offering consummated by the registrant on December 14, 2023 pursuant to a Rule 424(b)(5) prospectus supplement filed with the Securities and Exchange Commission on December 14, 2023.

F1 · price: These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased in connection with a public offering consummated by the registrant on December 14, 2023 pursuant to a Rule 424(b)(5) prospectus supplement filed with the Securities and Exchange Commission on December 14, 2023.

F2 · acquired: Reporting Person is a family office of the same family under Investment Advisers Act of 1940 Rule 202(a)(11)(G)-1 (the "Family Office Rule"). Pursuant to investment management agreements ("IMAs") between itself and its "Family Clients" (as defined in the Family Office Rule), Reporting Person exercises voting and dispositive power with respect to the Common Stock, held by each of the Family Clients. The Reporting Person also reports beneficial ownership pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D previously filed with the SEC on May 19, 2020, as amended from time to time.

F2 · balance_after: Reporting Person is a family office of the same family under Investment Advisers Act of 1940 Rule 202(a)(11)(G)-1 (the "Family Office Rule"). Pursuant to investment management agreements ("IMAs") between itself and its "Family Clients" (as defined in the Family Office Rule), Reporting Person exercises voting and dispositive power with respect to the Common Stock, held by each of the Family Clients. The Reporting Person also reports beneficial ownership pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D previously filed with the SEC on May 19, 2020, as amended from time to time.

F3 · balance_after: Represents securities beneficially owned by Reporting Person through an IMA entered into with Family Clients. The securities acquired as to which this Form 4 is filed by Reporting Person are owned of record by Cap 1 LLC, a Family Client of Reporting Person ("Cap 1"). Cap 1 is owned over 90% by Crystal Fiduciary Company, LLC, as Trustee of the AR Irrevocable Trust. Reporting Person has no pecuniary interest in the securities beneficially owned by the Family Clients of Reporting Person.

F2 · ownership.direct: Reporting Person is a family office of the same family under Investment Advisers Act of 1940 Rule 202(a)(11)(G)-1 (the "Family Office Rule"). Pursuant to investment management agreements ("IMAs") between itself and its "Family Clients" (as defined in the Family Office Rule), Reporting Person exercises voting and dispositive power with respect to the Common Stock, held by each of the Family Clients. The Reporting Person also reports beneficial ownership pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D previously filed with the SEC on May 19, 2020, as amended from time to time.

F3 · ownership.direct: Represents securities beneficially owned by Reporting Person through an IMA entered into with Family Clients. The securities acquired as to which this Form 4 is filed by Reporting Person are owned of record by Cap 1 LLC, a Family Client of Reporting Person ("Cap 1"). Cap 1 is owned over 90% by Crystal Fiduciary Company, LLC, as Trustee of the AR Irrevocable Trust. Reporting Person has no pecuniary interest in the securities beneficially owned by the Family Clients of Reporting Person.

F2 · ownership.nature: Reporting Person is a family office of the same family under Investment Advisers Act of 1940 Rule 202(a)(11)(G)-1 (the "Family Office Rule"). Pursuant to investment management agreements ("IMAs") between itself and its "Family Clients" (as defined in the Family Office Rule), Reporting Person exercises voting and dispositive power with respect to the Common Stock, held by each of the Family Clients. The Reporting Person also reports beneficial ownership pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D previously filed with the SEC on May 19, 2020, as amended from time to time.

F3 · ownership.nature: Represents securities beneficially owned by Reporting Person through an IMA entered into with Family Clients. The securities acquired as to which this Form 4 is filed by Reporting Person are owned of record by Cap 1 LLC, a Family Client of Reporting Person ("Cap 1"). Cap 1 is owned over 90% by Crystal Fiduciary Company, LLC, as Trustee of the AR Irrevocable Trust. Reporting Person has no pecuniary interest in the securities beneficially owned by the Family Clients of Reporting Person.

SEC source: 0001104659-23-098019 · tm2325262d1_4seq1.xml · nonDerivative · entry 1

Mattessich Antony C. · CIK 0001709900 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By spouse

Disclosed balance after: 6,500

SEC source: 0001104659-23-093601 · tm2324202-1_4seq1.xml · derivative · entry 1

Heier Jeffrey S. · CIK 0001653082 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,350

Underlying: Common Stock · 17,350 shares

Expires 2033-08-01

F1 · derivative.exercise_date: Subject to the reporting person's continued service as a consultant to the Company, the option will vest over one year, with 1/12 of the shares underlying the option vesting monthly beginning on the one-month anniversary of the Vesting Commencement Date. The Vesting Commencement Date for this award is July 1, 2023.

SEC source: 0001104659-23-080407 · tm2321019-3_4seq1.xml · derivative · entry 2

Graves Adrienne L · CIK 0001326192 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,000

Underlying: Common Stock · 72,000 shares

Expires 2033-07-09

F2 · derivative.exercise_date: Subject to the reporting person's continued service on the Company's board of directors, the options will vest over three years, vesting 1/3 on each yearly anniversary of the date of grant.

SEC source: 0001104659-23-080407 · tm2321019-3_4seq1.xml · nonDerivative · entry 1

Graves Adrienne L · CIK 0001326192 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,000

F1 · shares: On July 10, 2023, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan, as amended, of Ocular Therapeutix, Inc. (the "Company"). Each RSU represents a right to receive one share of the Company's common stock. Subject to the reporting person's continued service on the Company's board of directors, the RSUs will vest over three years, vesting 1/3 on each yearly anniversary of the date of grant.

SEC source: 0001104659-23-080096 · tm2321019-1_4seq1.xml · nonDerivative · entry 1

Ozden Rabia Gurses · CIK 0001814883 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,531

F1 · kind: Represents shares of common stock 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 July 1, 2023. The sales do not represent a discretionary trade by the reporting person.

F1 · shares: Represents shares of common stock 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 July 1, 2023. The sales do not represent a discretionary trade by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.92 to $4.93, inclusive. The reporting person undertakes to provide to Ocular Therapeutix, Inc., 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 (2) to this Form 4.

SEC source: 0001104659-23-072403 · tm2318782-5_4seq1.xml · derivative · entry 2

RAINES MERILEE · CIK 0001023869 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Common Stock · 36,000 shares

Expires 2033-06-13

F2 · derivative.exercise_date: Subject to the reporting person's continued service on the Company's board of directors, the options will vest with respect to 100% of the shares underlying the options on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date.

SEC source: 0001104659-23-072403 · tm2318782-5_4seq1.xml · nonDerivative · entry 1

RAINES MERILEE · CIK 0001023869 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,933

F1 · shares: On June 14, 2023, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan, as amended, of Ocular Therapeutix, Inc. (the "Company"). Each RSU represents a right to receive one share of the Company's common stock. Subject to the reporting person's continued service on the Company's board of directors, the RSUs will vest with respect to 100% of the shares underlying the RSUs on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date.

SEC source: 0001104659-23-072402 · tm2318782-4_4seq1.xml · derivative · entry 2

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Common Stock · 36,000 shares

Expires 2033-06-13

F2 · derivative.exercise_date: Subject to the reporting person's continued service on the Company's board of directors, the options will vest with respect to 100% of the shares underlying the options on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date.

SEC source: 0001104659-23-072402 · tm2318782-4_4seq1.xml · nonDerivative · entry 1

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,402

F1 · shares: On June 14, 2023, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan, as amended, of Ocular Therapeutix, Inc. (the "Company"). Each RSU represents a right to receive one share of the Company's common stock. Subject to the reporting person's continued service on the Company's board of directors, the RSUs will vest with respect to 100% of the shares underlying the RSUs on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date.

SEC source: 0001104659-23-072408 · tm2318782-6_4seq1.xml · derivative · entry 2

Warden Charles M · CIK 0001354802 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Common Stock · 36,000 shares

Expires 2033-06-13

F2 · derivative.exercise_date: Subject to the reporting person's continued service on the Company's board of directors, the options will vest with respect to 100% of the shares underlying the options on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date.

SEC source: 0001104659-23-072408 · tm2318782-6_4seq1.xml · nonDerivative · entry 1

Warden Charles M · CIK 0001354802 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,464

F1 · shares: On June 14, 2023, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan, as amended, of Ocular Therapeutix, Inc. (the "Company"). Each RSU represents a right to receive one share of the Company's common stock. Subject to the reporting person's continued service on the Company's board of directors, the RSUs will vest with respect to 100% of the shares underlying the RSUs on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date.

SEC source: 0001104659-23-072405 · tm2318782-7_4seq1.xml · derivative · entry 2

Williams Leslie J. · CIK 0001770465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Common Stock · 36,000 shares

Expires 2033-06-13

F2 · derivative.exercise_date: Subject to the reporting person's continued service on the Company's board of directors, the options will vest with respect to 100% of the shares underlying the options on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date.

SEC source: 0001104659-23-072405 · tm2318782-7_4seq1.xml · nonDerivative · entry 1

Williams Leslie J. · CIK 0001770465 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,433

F1 · shares: On June 14, 2023, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan, as amended, of Ocular Therapeutix, Inc. (the "Company"). Each RSU represents a right to receive one share of the Company's common stock. Subject to the reporting person's continued service on the Company's board of directors, the RSUs will vest with respect to 100% of the shares underlying the RSUs on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date.

SEC source: 0001104659-23-072401 · tm2318782-3_4seq1.xml · derivative · entry 2

Hong Seung Suh · CIK 0001774271 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Common Stock · 36,000 shares

Expires 2033-06-13

F2 · derivative.exercise_date: Subject to the reporting person's continued service on the Company's board of directors, the options will vest with respect to 100% of the shares underlying the options on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date

SEC source: 0001104659-23-072401 · tm2318782-3_4seq1.xml · nonDerivative · entry 1

Hong Seung Suh · CIK 0001774271 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,933

F1 · shares: On June 14, 2023, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan, as amended, of Ocular Therapeutix, Inc. (the "Company"). Each RSU represents a right to receive one share of the Company's common stock. Subject to the reporting person's continued service on the Company's board of directors, the RSUs will vest with respect to 100% of the shares underlying the RSUs on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date.

SEC source: 0001104659-23-072400 · tm2318782-2_4seq1.xml · derivative · entry 2

Heier Jeffrey S. · CIK 0001653082 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Common Stock · 36,000 shares

Expires 2033-06-13

F2 · derivative.exercise_date: Subject to the reporting person's continued service on the Company's board of directors, the options will vest with respect to 100% of the shares underlying the options on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date.

SEC source: 0001104659-23-072400 · tm2318782-2_4seq1.xml · nonDerivative · entry 1

Heier Jeffrey S. · CIK 0001653082 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,933

F1 · shares: On June 14, 2023, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan, as amended, of Ocular Therapeutix, Inc. (the "Company"). Each RSU represents a right to receive one share of the Company's common stock. Subject to the reporting person's continued service on the Company's board of directors, the RSUs will vest with respect to 100% of the shares underlying the RSUs on the first anniversary of the grant date or, if earlier, immediately prior to the next annual meeting of stockholders occurring after the grant date.

SEC source: 0001104659-23-014678 · tm235900-1_4seq1.xml · nonDerivative · entry 1

Mattessich Antony C. · CIK 0001709900 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 446,281

F1 · kind: Represents shares of common stock 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, 2023. The reporting person structured the durable automatic sales instructions to constitute a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1. The sales do not represent a discretionary trade by the reporting person.

F1 · shares: Represents shares of common stock 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, 2023. The reporting person structured the durable automatic sales instructions to constitute a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1. The sales do not represent a discretionary trade by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.18 to $4.32, inclusive. The reporting person undertakes to provide to Ocular Therapeutix, Inc., 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 (2) to this Form 4.

SEC source: 0001104659-23-014686 · tm235900-2_4seq1.xml · nonDerivative · entry 1

White Christopher G · CIK 0001537668 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,766

F1 · kind: Represents shares of common stock 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, 2023. The reporting person structured the durable automatic sales instructions to constitute a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1. The sales do not represent a discretionary trade by the reporting person.

F1 · shares: Represents shares of common stock 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, 2023. The reporting person structured the durable automatic sales instructions to constitute a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1. The sales do not represent a discretionary trade by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.19 to $4.30, inclusive. The reporting person undertakes to provide to Ocular Therapeutix, Inc., 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 (2) to this Form 4.