OCUL

SEC source: 0001104659-23-014685 · tm235900-5_4seq1.xml · nonDerivative · entry 1

Ozden Rabia Gurses · CIK 0001814883 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,363

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 $4.30, 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.

SEC source: 0001104659-23-014684 · tm235900-4_4seq1.xml · nonDerivative · entry 1

Notman Donald · CIK 0001718019 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,387

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 $4.31, 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: 0001104659-23-014683 · tm235900-3_4seq1.xml · nonDerivative · entry 1

Strassburger Philip C. · CIK 0001825592 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,071

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 $4.29, 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: 0001104659-23-009410 · tm235116-1_4seq1.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 536,900

Underlying: Common Stock · 536,900 shares

Expires 2033-01-29

F3 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-23-009410 · tm235116-1_4seq1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 465,950

F1 · shares: On January 30, 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 to the Company, 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.

F2 · balance_after: Includes 363,050 shares of common stock of the Company underlying unvested RSUs.

SEC source: 0001104659-23-009418 · tm235116-5_4seq1.xml · derivative · entry 2

White Christopher G · CIK 0001537668 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,333

Underlying: Common Stock · 133,333 shares

Expires 2033-01-29

F3 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-23-009418 · tm235116-5_4seq1.xml · nonDerivative · entry 1

White Christopher G · CIK 0001537668 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,595

F1 · shares: On January 30, 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 to the Company, 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.

F2 · balance_after: Includes (i) 94,444 shares of common stock of the Company underlying unvested RSUs and (ii) 4,024 shares of the Company's common stock acquired under the 2014 Ocular Therapeutix, Inc. Employee Stock Purchase Plan on December 31, 2022.

SEC source: 0001104659-23-009416 · tm235116-4_4seq1.xml · derivative · entry 2

Strassburger Philip C. · CIK 0001825592 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,667

Underlying: Common Stock · 166,667 shares

Expires 2033-01-29

F3 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-23-009416 · tm235116-4_4seq1.xml · nonDerivative · entry 1

Strassburger Philip C. · CIK 0001825592 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,252

F1 · shares: On January 30, 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 to the Company, 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.

F2 · balance_after: Includes (i) 105,556 shares of common stock of the Company underlying unvested RSUs (ii) 3,244 shares of the Company's common stock acquired under the 2014 Ocular Therapeutix, Inc. Employee Stock Purchase Plan (the "2014 ESPP") on June 30, 2022 and (iii) 4,642 shares of the Company's common stock acquired under the 2014 ESPP on December 31, 2022.

SEC source: 0001104659-23-009414 · tm235116-3_4seq1.xml · derivative · entry 3

Ozden Rabia Gurses · CIK 0001814883 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2033-01-29

F4 · derivative.exercise_date: Vests over two years, vesting 1/24 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-23-009414 · tm235116-3_4seq1.xml · derivative · entry 2

Ozden Rabia Gurses · CIK 0001814883 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,667

Underlying: Common Stock · 166,667 shares

Expires 2033-01-29

F3 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-23-009414 · tm235116-3_4seq1.xml · nonDerivative · entry 1

Ozden Rabia Gurses · CIK 0001814883 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,779

F1 · shares: On January 30, 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 to the Company, 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.

F2 · balance_after: Includes 62,223 shares of common stock of the Company underlying unvested RSUs.

SEC source: 0001104659-23-009412 · tm235116-2_4seq1.xml · derivative · entry 2

Notman Donald · CIK 0001718019 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,667

Underlying: Common Stock · 166,667 shares

Expires 2033-01-29

F3 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-23-009412 · tm235116-2_4seq1.xml · nonDerivative · entry 1

Notman Donald · CIK 0001718019 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,863

F1 · shares: On January 30, 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 to the Company, 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.

F2 · balance_after: Includes (i) 111,112 shares of common stock of the Company underlying unvested RSUs, (ii) 3,654 shares of the Company's common stock acquired under the 2014 Ocular Therapeutix, Inc. Employee Stock Purchase Plan (the "2014 ESPP") on June 30, 2022 and (iii) 5,021 shares of the Company's common stock acquired under the 2014 ESPP on December 31, 2022.

SEC source: 0001567619-22-019384 · doc1.xml · nonDerivative · entry 1

SUMMER ROAD LLC · CIK 0001604873 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Client

Disclosed balance after: 6,122,089

F1 · shares: These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased in an open market transaction.

F4 · price: Represents the weighted average set forth in this line item. On November 7, 2022, the Reporting Person acquired 7,328 shares of Common Stock at a weighted average price of $3.50 (all shares were purchased at a price of $3.50 and therefore no range has been provided). Upon request by the SEC staff, the issuer or a security holder of the issuer, the Reporting Person will provide full information regarding the number of shares of Common Stock purchased or sold at each separate price.

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: 0001104659-22-109735 · tm2228420-1_4seq1.xml · derivative · entry 1

Heier Jeffrey S. · CIK 0001653082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2032-10-16

F1 · derivative.exercise_date: Vests over four years, with 1/48 of the shares underlying the option vesting monthly beginning on August 1, 2022.

SEC source: 0001104659-22-108976 · tm2228232-1_4seq1.xml · derivative · entry 1

White Christopher G · CIK 0001537668 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 7,000 shares

Expires 2032-10-12

F1 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001567619-22-018444 · doc1.xml · nonDerivative · entry 2

SUMMER ROAD LLC · CIK 0001604873 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Client

Disclosed balance after: 6,114,761

F1 · shares: These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased in an open market transaction.

F5 · price: Represents the weighted average set forth in this line item. On October 11, 2022, the Reporting Person acquired 10,000 shares of Common Stock at a weighted average price of $3.8993 (ranging from a low of $3.89 and a high of $3.90). Upon request by the SEC staff, the issuer or a security holder of the issuer, the Reporting Person will provide full information regarding the number of shares of Common Stock purchased or sold at each separate price.

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: 0001567619-22-018444 · doc1.xml · nonDerivative · entry 1

SUMMER ROAD LLC · CIK 0001604873 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Client

Disclosed balance after: 6,104,761

F1 · shares: These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased in an open market transaction.

F4 · price: Represents the weighted average set forth in this line item. On October 10, 2022, the Reporting Person acquired 10,000 shares of Common Stock at a weighted average price of $3.9982 (ranging from a low of $3.98 and a high of $4.00). Upon request by the SEC staff, the issuer or a security holder of the issuer, the Reporting Person will provide full information regarding the number of shares of Common Stock purchased or sold at each separate price.

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: 0001567619-22-017965 · doc1.xml · nonDerivative · entry 3

SUMMER ROAD LLC · CIK 0001604873 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Client

Disclosed balance after: 6,094,761

F1 · shares: These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased in an open market transaction.

F6 · price: Represents the weighted average set forth in this line item. On September 29, 2022, the Reporting Person acquired 18,800 shares of Common Stock at a weighted average price of $4.0419 (ranging from a low of $4.00 and a high of $4.10). Upon request by the SEC staff, the issuer or a security holder of the issuer, the Reporting Person will provide full information regarding the number of shares of Common Stock purchased or sold at each separate price.

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: 0001567619-22-017965 · doc1.xml · nonDerivative · entry 2

SUMMER ROAD LLC · CIK 0001604873 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Client

Disclosed balance after: 6,075,961

F1 · shares: These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased in an open market transaction.

F5 · price: Represents the weighted average set forth in this line item. On September 28, 2022, the Reporting Person acquired 1,200 shares of Common Stock at a weighted average price of $4.10 (all shares were purchased at a price of $4.10 and therefore no range has been provided).

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: 0001567619-22-017965 · doc1.xml · nonDerivative · entry 1

SUMMER ROAD LLC · CIK 0001604873 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Client

Disclosed balance after: 6,074,761

F1 · shares: These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased in an open market transaction.

F4 · price: Represents the weighted average set forth in this line item. On September 27, 2022, the Reporting Person acquired 130,000 shares of Common Stock at a weighted average price of $4.6794 (ranging from a low of $4.20 and a high of $5.31). Upon request by the SEC staff, the issuer or a security holder of the issuer, the Reporting Person will provide full information regarding the number of shares of Common Stock purchased or sold at each separate price.

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: 0001104659-22-080288 · tm2221230-1_4seq1.xml · derivative · entry 4

Ozden Rabia Gurses · CIK 0001814883 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2032-07-13

F4 · derivative.exercise_date: On July 14, 2022, the reporting person was granted an option to purchase 10,000 shares of the Company's common stock, vesting over thirty months, with 1/30 of the shares underlying the option vesting monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-22-080288 · tm2221230-1_4seq1.xml · derivative · entry 3

Ozden Rabia Gurses · CIK 0001814883 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 20,000 shares

Expires 2031-01-31

F3 · derivative.exercise_date: As previously reported, on February 1, 2021, the reporting person was granted an option to purchase 50,000 shares of the Company's common stock. The option vests in four installments based on the Company's satisfaction of certain performance criteria. The performance criteria for the first two installments were met on or prior to December 31, 2021, resulting in the vesting of the option as to 20,000 shares. The performance criteria for the third installment were not met on or prior to March 31, 2022, resulting in the termination of the option as to 10,000 shares. The option was amended by the Company and the reporting person to eliminate the performance criteria for the fourth installment, effective July 1, 2022, such that the fourth installment of the option vests over four years, with 17/48 of the shares underlying the option vesting upon July 1, 2022, and 1/48 of the shares underlying the option vesting monthly thereafter.

SEC source: 0001104659-22-080288 · tm2221230-1_4seq1.xml · derivative · entry 2

Ozden Rabia Gurses · CIK 0001814883 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-30

F2 · derivative.exercise_date: On July 1, 2022, the reporting person was granted an option to purchase 20,000 shares of the Company's common stock, vesting over four years, with 1/48 of the shares underlying the option vesting monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-22-080288 · tm2221230-1_4seq1.xml · nonDerivative · entry 1

Ozden Rabia Gurses · CIK 0001814883 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,223

F1 · shares: On July 1, 2022, 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 to the Company, the RSUs will vest over three years, with 1/3 of the shares underlying the RSUs vesting on July 1, 2023, and an additional 1/3 of the shares underlying the RSUs vesting at the end of each successive one-year period thereafter.

SEC source: 0001104659-22-073152 · tm2218958-6_4seq1.xml · derivative · entry 2

RAINES MERILEE · CIK 0001023869 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,800

Underlying: Common Stock · 26,800 shares

Expires 2032-06-15

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: 0001104659-22-073152 · tm2218958-6_4seq1.xml · nonDerivative · entry 1

RAINES MERILEE · CIK 0001023869 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,933

F1 · shares: On June 16, 2022, 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: 0001104659-22-073148 · tm2218958-3_4seq1.xml · derivative · entry 2

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,800

Underlying: Common Stock · 26,800 shares

Expires 2032-06-15

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: 0001104659-22-073148 · tm2218958-3_4seq1.xml · nonDerivative · entry 1

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,402

F1 · shares: On June 16, 2022, 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: 0001104659-22-073149 · tm2218958-4_4seq1.xml · derivative · entry 2

Warden Charles M · CIK 0001354802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,800

Underlying: Common Stock · 26,800 shares

Expires 2032-06-15

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: 0001104659-22-073149 · tm2218958-4_4seq1.xml · nonDerivative · entry 1

Warden Charles M · CIK 0001354802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,464

F1 · shares: On June 16, 2022, 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: 0001104659-22-073150 · tm2218958-5_4seq1.xml · derivative · entry 2

Williams Leslie J. · CIK 0001770465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,800

Underlying: Common Stock · 26,800 shares

Expires 2032-06-15

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: 0001104659-22-073150 · tm2218958-5_4seq1.xml · nonDerivative · entry 1

Williams Leslie J. · CIK 0001770465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,433

F1 · shares: On June 16, 2022, 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: 0001104659-22-073147 · tm2218958-2_4seq1.xml · derivative · entry 2

Hong Seung Suh · CIK 0001774271 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,800

Underlying: Common Stock · 26,800 shares

Expires 2032-06-15

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: 0001104659-22-073147 · tm2218958-2_4seq1.xml · nonDerivative · entry 1

Hong Seung Suh · CIK 0001774271 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,933

F1 · shares: On June 16, 2022, 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: 0001104659-22-073146 · tm2218958-1_4seq1.xml · derivative · entry 2

Heier Jeffrey S. · CIK 0001653082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,800

Underlying: Common Stock · 26,800 shares

Expires 2032-06-15

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: 0001104659-22-073146 · tm2218958-1_4seq1.xml · nonDerivative · entry 1

Heier Jeffrey S. · CIK 0001653082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,933

F1 · shares: On June 16, 2022, 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: 0001104659-22-061322 · tm2215653-2_4seq1.xml · derivative · entry 2

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,469 shares

Expires 2022-10-11

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.

F1 · derivative.exercise_date: The option, representing a right to purchase a total of 9,469 shares, became exercisable over four years, with 25% of the shares underlying the option vesting on November 1, 2013 and 2.0833% vesting monthly thereafter.

SEC source: 0001104659-22-061322 · tm2215653-2_4seq1.xml · nonDerivative · entry 1

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,469

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: 0001104659-22-061314 · tm2215653-1_4seq1.xml · nonDerivative · entry 1

Heier Jeffrey S. · CIK 0001653082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.015 to $3.05, inclusive. The reporting person undertakes to provide to Ocular Therapeutix, Inc., any security holder of 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 range set forth in this footnote.

SEC source: 0001567619-22-005374 · doc1.xml · nonDerivative · entry 2

SUMMER ROAD LLC · CIK 0001604873 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Client

Disclosed balance after: 5,944,761

F1 · shares: These shares of Common Stock, $0.0001 par value per share (the "Shares"), were purchased in an open market transaction.

F5 · price: Represents the weighted average set forth in this line item. On February 23, 2022, the Reporting Person acquired 10,000 shares of Common Stock at a weighted average price of $4.7986 (ranging from a low of $4.75 and a high of $4.98). Upon request by the SEC staff, the issuer or a security holder of the issuer, the Reporting Person will provide full information regarding the number of shares of Common Stock purchased or sold at each separate price.

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 Issuer's common stock, par value $0.0001 per share, 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 Issuer's common stock, par value $0.0001 per share, 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 Issuer's common stock, par value $0.0001 per share, 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 Issuer's common stock, par value $0.0001 per share, 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: 0001567619-22-005374 · doc1.xml · nonDerivative · entry 1

SUMMER ROAD LLC · CIK 0001604873 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Client

Disclosed balance after: 5,934,761

F1 · shares: These shares of Common Stock, $0.0001 par value per share (the "Shares"), were purchased in an open market transaction.

F4 · price: Represents the weighted average set forth in this line item. On February 18, 2022, the Reporting Person acquired 40,000 shares of Common Stock at a weighted average price of $4.9985 (ranging from a low of $4.89 and a high of $5.26). Upon request by the SEC staff, the issuer or a security holder of the issuer, the Reporting Person will provide full information regarding the number of shares of Common Stock purchased or sold at each separate price.

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 Issuer's common stock, par value $0.0001 per share, 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 Issuer's common stock, par value $0.0001 per share, 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 Issuer's common stock, par value $0.0001 per share, 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 Issuer's common stock, par value $0.0001 per share, 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: 0001104659-22-012918 · tm225652-1_4seq1.xml · derivative · entry 2

Mattessich Antony C. · CIK 0001709900 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 560,200

Underlying: Common Stock · 560,200 shares

Expires 2032-02-02

F3 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-22-012918 · tm225652-1_4seq1.xml · nonDerivative · entry 1

Mattessich Antony C. · CIK 0001709900 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,650

F1 · shares: On February 3, 2022, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan 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 to the Company, 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.

F2 · balance_after: Includes 186,750 shares of common stock of the Company underlying unvested RSUs.

SEC source: 0001104659-22-012919 · tm225652-2_4seq1.xml · derivative · entry 2

Goldstein Michael H. · CIK 0001691259 · President, Ophthalmology & CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,000

Underlying: Common Stock · 190,000 shares

Expires 2032-02-02

F3 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-22-012919 · tm225652-2_4seq1.xml · nonDerivative · entry 1

Goldstein Michael H. · CIK 0001691259 · President, Ophthalmology & CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,335

F1 · shares: On February 3, 2022, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan 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 to the Company, 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.

F2 · balance_after: Includes (i) 63,333 shares of common stock of the Company underlying unvested RSUs and (ii) 2 shares of the Company's common stock acquired under the 2014 Ocular Therapuetix, Inc. Employee Stock Purchase Plan on December 31, 2021.

SEC source: 0001104659-22-012922 · tm225652-5_4seq1.xml · derivative · entry 2

Notman Donald · CIK 0001718019 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,667

Underlying: Common Stock · 166,667 shares

Expires 2032-02-02

F3 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.

SEC source: 0001104659-22-012922 · tm225652-5_4seq1.xml · nonDerivative · entry 1

Notman Donald · CIK 0001718019 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,632

F1 · shares: On February 3, 2022, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan 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 to the Company, 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.

F2 · balance_after: Includes (i) 55,556 shares of common stock of the Company underlying unvested RSUs and (ii) 2,027 shares of the Company's common stock acquired under the 2014 Ocular Therapuetix, Inc. Employee Stock Purchase Plan on December 31, 2021.

SEC source: 0001104659-22-012921 · tm225652-4_4seq1.xml · derivative · entry 2

Strassburger Philip C. · CIK 0001825592 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2032-02-02

F3 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.