OCUL

SEC source: 0001104659-20-077449 · a4.xml · derivative · entry 1

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2030-06-24

F1 · derivative.exercise_date: Vests with respect to 100% of the securities on the first anniversary of the grant date.

SEC source: 0001104659-20-077440 · a4.xml · derivative · entry 1

PEACOCK BRUCE · CIK 0001228459 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2030-06-24

F1 · derivative.exercise_date: Vests with respect to 100% of the securities on the first anniversary of the grant date.

SEC source: 0001104659-20-077446 · a4.xml · derivative · entry 1

Williams Leslie J. · CIK 0001770465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2030-06-24

F1 · derivative.exercise_date: Vests with respect to 100% of the securities on the first anniversary of the grant date.

SEC source: 0001104659-20-077448 · a4.xml · derivative · entry 1

Hong Seung Suh · CIK 0001774271 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2030-06-24

F1 · derivative.exercise_date: Vests with respect to 100% of the securities on the first anniversary of the grant date.

SEC source: 0001104659-20-077441 · a4.xml · derivative · entry 1

Heier Jeffrey S. · CIK 0001653082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2030-06-24

F1 · derivative.exercise_date: Vests with respect to 100% of the securities on the first anniversary of the grant date.

SEC source: 0001567619-20-010898 · 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: 5,618,424

F1 · shares: These shares of Common Stock, $0.0001 par value per share (the "Shares"), were purchased directly from the underwriters in an underwritten public offering conducted by the Issuer on May 19, 2020 (the "Offering"). Pursuant to the Offering, the Reporting Person agreed to purchase the Shares at a public offering price of $5.50 per share. The Issuer's Rule 424(b)(5) prospectus supplement (File No. 333-229085) in connection with the Offering was filed with the Securities and Exchange Commission (the "SEC") on May 20, 2020.

F1 · price: These shares of Common Stock, $0.0001 par value per share (the "Shares"), were purchased directly from the underwriters in an underwritten public offering conducted by the Issuer on May 19, 2020 (the "Offering"). Pursuant to the Offering, the Reporting Person agreed to purchase the Shares at a public offering price of $5.50 per share. The Issuer's Rule 424(b)(5) prospectus supplement (File No. 333-229085) in connection with the Offering was filed with the Securities and Exchange Commission (the "SEC") on May 20, 2020.

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 March 4, 2019, as amended from time to time.

F3 · balance_after: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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 March 4, 2019, as amended from time to time.

F3 · ownership.direct: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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 March 4, 2019, as amended from time to time.

F3 · ownership.nature: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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: 0001567619-20-006975 · 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: 5,254,788

F5 · price: Represents the weighted average set forth in this line item. On March 24, 2020, the Reporting Person acquired 35,052 shares of Common Stock at a weighted average price of $4.8703 (ranging from a low of $4.59 and a high of $5.18). 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · balance_after: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.direct: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.nature: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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: 0001567619-20-006975 · 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: 5,219,736

F4 · price: Represents the weighted average set forth in this line item. On March 23, 2020, the Reporting Person acquired 64,948 shares of Common Stock at a weighted average price of $4.6555 (ranging from a low of $4.09 and a high of $4.94). 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · balance_after: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.direct: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.nature: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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: 0001567619-20-006975 · 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: 5,154,788

F3 · price: Represents the weighted average set forth in this line item. On March 20, 2020, the Reporting Person acquired 9,100 shares of Common Stock at a weighted average price of $4.5186 (ranging from a low of $4.15 and a high of $5.13). 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · balance_after: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.direct: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.nature: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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: 0001567619-20-006870 · 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: 5,145,688

F4 · price: Represents the weighted average set forth in this line item. On March 19, 2020, the Reporting Person acquired 40,900 shares of Common Stock at a weighted average price of $4.6265 (ranging from a low of $4.40 and a high of $4.81). 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · balance_after: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.direct: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.nature: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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: 0001567619-20-006870 · 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: 5,104,788

F3 · price: Represents the weighted average set forth in this line item. On March 18, 2020, the Reporting Person acquired 344,938 shares of Common Stock at a weighted average price of $4.6217 (ranging from a low of $4.14 and a high of $5.24). 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · balance_after: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.direct: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.nature: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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: 0001567619-20-006639 · 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: 4,759,850

F3 · price: Represents the weighted averages set forth in this line item. On March 13, 2020, the Reporting Person acquired 210,800 shares of Common Stock at a weighted average price of $4.6299. On March 16, 2020, the Reporting Person acquired 194,262 shares of Common Stock at a weighted average price of $4.1553. On March 17, 2020, the Reporting Person acquired 550,000 shares of Common Stock at a weighted average price of $4.6598. 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, and the range of prices for the transactions reported on this Form 4.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · balance_after: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.direct: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.nature: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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: 0001567619-20-006639 · 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: 4,209,850

F3 · price: Represents the weighted averages set forth in this line item. On March 13, 2020, the Reporting Person acquired 210,800 shares of Common Stock at a weighted average price of $4.6299. On March 16, 2020, the Reporting Person acquired 194,262 shares of Common Stock at a weighted average price of $4.1553. On March 17, 2020, the Reporting Person acquired 550,000 shares of Common Stock at a weighted average price of $4.6598. 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, and the range of prices for the transactions reported on this Form 4.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · balance_after: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.direct: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.nature: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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: 0001567619-20-006639 · 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: 4,015,588

F3 · price: Represents the weighted averages set forth in this line item. On March 13, 2020, the Reporting Person acquired 210,800 shares of Common Stock at a weighted average price of $4.6299. On March 16, 2020, the Reporting Person acquired 194,262 shares of Common Stock at a weighted average price of $4.1553. On March 17, 2020, the Reporting Person acquired 550,000 shares of Common Stock at a weighted average price of $4.6598. 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, and the range of prices for the transactions reported on this Form 4.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · balance_after: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.direct: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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.

F1 · 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 Securities and Exchange Commission on March 4, 2019, as amended.

F2 · ownership.nature: Represents securities beneficially owned by Reporting Person through an IMA entered into with a Family Client. The securities 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 wholly owned 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: 0001104659-20-009945 · a4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 360,000

Underlying: Common Stock · 360,000 shares

Expires 2030-01-29

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: 0001104659-20-009939 · a4.xml · derivative · entry 1

Goldstein Michael H. · CIK 0001691259 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,000

Underlying: Common Stock · 215,000 shares

Expires 2020-01-29

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: 0001104659-20-009943 · a4.xml · derivative · entry 1

Kitchen Patricia · CIK 0001781346 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,000

Underlying: Common Stock · 215,000 shares

Expires 2030-01-29

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: 0001104659-20-009941 · a4.xml · derivative · entry 1

Notman Donald · CIK 0001718019 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,000

Underlying: Common Stock · 215,000 shares

Expires 2030-01-29

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: 0001493152-20-000167 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 4,918,500

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $3.9005. The range of purchase prices on the transaction date was $3.895 to $3.94 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001493152-20-000059 · ownership.xml · nonDerivative · entry 2

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managed Account

Disclosed balance after: 207,500

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $3.9705. The range of purchase prices on the transaction date was $3.93 to $3.98 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F3 · ownership.nature: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.

SEC source: 0001493152-20-000059 · ownership.xml · nonDerivative · entry 1

Opaleye Management Inc. · CIK 0001595855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Opaleye, L.P.

Disclosed balance after: 4,903,500

F1 · price: The common stock was purchased by the reporting person in open market transactions on the transaction date, with a volume weighted average purchase price of $3.9705. The range of purchase prices on the transaction date was $3.93 to $3.98 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each price.

F2 · ownership.nature: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. ("Opaleye") may be deemed to beneficially own the securities owned directly by the Fund.

SEC source: 0001104659-19-039308 · a4.xml · derivative · entry 1

Kitchen Patricia · CIK 0001781346 · Chief Operations Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-06-30

F1 · derivative.exercise_date: Vests over four years, with 25% of the shares underlying the option vesting on the one-year anniversary of the reporting person's first date of employment and 2.0833% of the shares vesting monthly thereafter.

SEC source: 0001104659-19-036009 · a4.xml · nonDerivative · entry 1

Notman Donald · CIK 0001718019 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,049

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.31 to $4.33, 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 ranges set forth in footnote (1) to this Form 4.

F2 · balance_after: Includes 4,249 shares acquired under the 2014 Ocular Therapeutix, Inc. Employee Stock Purchase Plan on December 31, 2018.

SEC source: 0001104659-19-036008 · a4.xml · nonDerivative · entry 1

Williams Leslie J. · CIK 0001770465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.32 to $4.44, 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 ranges set forth in footnote (1) to this Form 4.

SEC source: 0001104659-19-035410 · a4.xml · derivative · entry 1

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2029-06-10

F1 · derivative.exercise_date: Vests with respect to 100% of the securities on the first anniversary of the grant date.

SEC source: 0001104659-19-035412 · a4.xml · derivative · entry 1

PEACOCK BRUCE · CIK 0001228459 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2029-06-10

F1 · derivative.exercise_date: Vests with respect to 100% of the securities on the first anniversary of the grant date.

SEC source: 0001104659-19-035413 · a4.xml · derivative · entry 1

Warden Charles M · CIK 0001354802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2029-06-10

F1 · derivative.exercise_date: Vests with respect to 100% of the securities on the first anniversary of the grant date.

SEC source: 0001104659-19-035414 · a4.xml · derivative · entry 1

Hong Seung Suh · CIK 0001774271 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Common Stock · 36,000 shares

Expires 2029-06-10

F1 · derivative.exercise_date: Vests over three years, vesting 1/3 on each yearly anniversary of the date of grant.

SEC source: 0001104659-19-035411 · a4.xml · derivative · entry 1

Heier Jeffrey S. · CIK 0001653082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2029-06-10

F1 · derivative.exercise_date: Vests with respect to 100% of the securities on the first anniversary of the grant date.

SEC source: 0001104659-19-034633 · a4.xml · nonDerivative · entry 2

Sawhney Amarpreet · CIK 0001614417 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,056,031

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.85 to $3.20, 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 ranges set forth in footnote (1) to this Form 4.

SEC source: 0001104659-19-034632 · a4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,900

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.79 to $2.82, 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 ranges set forth in footnote (1) to this Form 4.

SEC source: 0001104659-19-034633 · a4.xml · nonDerivative · entry 1

Sawhney Amarpreet · CIK 0001614417 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 990,563

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.73 to $2.88, 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 ranges set forth in footnote (1) to this Form 4.

SEC source: 0001104659-19-034353 · a4.xml · nonDerivative · entry 2

Sawhney Amarpreet · CIK 0001614417 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 931,563

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.87 to $2.97, 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 ranges set forth in footnote (1) to this Form 4.

SEC source: 0001104659-19-034353 · a4.xml · nonDerivative · entry 1

Sawhney Amarpreet · CIK 0001614417 · Director · Chairman of the Board

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 898,711

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.89 to $2.95, 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 ranges set forth in footnote (1) to this Form 4.

SEC source: 0001104659-19-032741 · a4.xml · nonDerivative · entry 1

Goldstein Michael H. · CIK 0001691259 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,686

SEC source: 0001104659-19-016898 · a4.xml · derivative · entry 1

Williams Leslie J. · CIK 0001770465 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,000

Underlying: Common Stock · 36,000 shares

Expires 2029-03-19

F1 · derivative.exercise_date: Vests over three years, vesting 1/3 on each yearly anniversary of the date of grant.

SEC source: 0001104659-19-015691 · a4.xml · nonDerivative · entry 1

Goldstein Michael H. · CIK 0001691259 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,686

F1 · balance_after: Includes 2,986 shares acquired under the 2014 Ocular Therapeutix, Inc. Employee Stock Purchase Plan on December 31, 2018.

SEC source: 0001104659-19-015692 · a4.xml · nonDerivative · entry 1

Heier Jeffrey S. · CIK 0001653082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.15 to $4.16, 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 ranges set forth in footnote (1) to this Form 4.

SEC source: 0001104659-19-014844 · a4.xml · nonDerivative · entry 1

LINDSTROM RICHARD L MD · CIK 0001242177 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

SEC source: 0001104659-19-000889 · a4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2029-01-01

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: 0001104659-19-000887 · a4.xml · derivative · entry 1

Goldstein Michael H. · CIK 0001691259 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-01-01

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: 0001104659-19-000894 · a4.xml · derivative · entry 1

Bollag Daniel M · CIK 0001461612 · Sr. VP Reg. Affairs & Quality

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,000

Underlying: Common Stock · 180,000 shares

Expires 2029-01-01

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: 0001104659-19-000892 · a4.xml · derivative · entry 1

Hanley Kevin F. · CIK 0001727629 · Sr. VP Technical Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-01-01

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: 0001104659-19-000891 · a4.xml · derivative · entry 1

Sawhney Amarpreet · CIK 0001614417 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2029-01-01

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: 0001104659-19-000890 · a4.xml · derivative · entry 1

Notman Donald · CIK 0001718019 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-01-01

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: 0001104659-18-073444 · a4.xml · nonDerivative · entry 1

Hanley Kevin F. · CIK 0001727629 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

SEC source: 0001104659-18-072563 · a4.xml · nonDerivative · entry 1

Hanley Kevin F. · CIK 0001727629 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001104659-18-072100 · a4.xml · nonDerivative · entry 1

Bollag Daniel M · CIK 0001461612 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,100

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.75 to $5.79, 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 ranges set forth in footnote (1) to this Form 4.

SEC source: 0001104659-18-053039 · a4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,900

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.93 to $5.97, 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 ranges set forth in footnote (1) to this Form 4.

SEC source: 0001104659-18-052308 · a4.xml · nonDerivative · entry 1

Notman Donald · CIK 0001718019 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,300