Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| OCULAR THERAPEUTIX, INCOCUL · Entity 273 | Director · Chairman of the Board | June 06, 2019 | June 10, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
OCULAR THERAPEUTIX, INC
Report date June 06, 2019 · Filed June 10, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,056,031 |
Ending reported balance
After 2019-06-07 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-06-06 · Purchase · Acquired 59,000 · Balance 990,563 F1: 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. Row 2 · 2019-06-07 · Purchase · Acquired 65,468 · Balance 1,056,031 F2: 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. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 846,377 |
Reported balance
Holding disclosure · report date 2019-06-06 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 846,377 F3: The securities are directly held by Incept, LLC. The Reporting Person is a general partner of Incept, LLC. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 471,784 |
Reported balance
Holding disclosure · report date 2019-06-06 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 471,784 F4: The securities are directly held by the Sangam Trust. The Reporting Person and his immediate family members are beneficiaries of the Sangam Trust. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 379,419 |
Reported balance
Holding disclosure · report date 2019-06-06 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 379,419 F5: The securities are directly held by the SAFIGS Trust. The Reporting Person's immediate family members are beneficiaries of the SAFIGS Trust. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 71,969 |
Reported balance
Holding disclosure · report date 2019-06-06 · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · Balance 71,969 F6: The securities are directly held by the Sawhney Family Dynasty Trust. The Reporting Person's immediate family members are beneficiaries of the Sawhney Family Dynasty Trust. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnote | 189,393 |
Reported balance
Holding disclosure · report date 2019-06-06 · row 7
Holding and transaction disclosures are not merged.
1 source rowRow 7 · Balance 189,393 F7: The securities are directly held by the Amarpreet S. Sawhney 2014 GRAT. The Reporting Person and his immediate family members are beneficiaries of the Amar S. Sawhney 2014 GRAT. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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.
F3: The securities are directly held by Incept, LLC. The Reporting Person is a general partner of Incept, LLC. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein.
F4: The securities are directly held by the Sangam Trust. The Reporting Person and his immediate family members are beneficiaries of the Sangam Trust. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein.
F5: The securities are directly held by the SAFIGS Trust. The Reporting Person's immediate family members are beneficiaries of the SAFIGS Trust. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein.
F6: The securities are directly held by the Sawhney Family Dynasty Trust. The Reporting Person's immediate family members are beneficiaries of the Sawhney Family Dynasty Trust. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein.
F7: The securities are directly held by the Amarpreet S. Sawhney 2014 GRAT. The Reporting Person and his immediate family members are beneficiaries of the Amar S. Sawhney 2014 GRAT. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 07, 2019 Filed Jun 10, 2019 20:55 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | PurchaseCommon Stock | 65,468 | $3.02 | $197,713.36 |
DisclosureSEC 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. Read SEC document |
| June 06, 2019 Filed Jun 10, 2019 20:55 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | PurchaseCommon Stock | 59,000 | $2.80 | $165,200.00 |
DisclosureSEC 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. Read SEC document |
| June 05, 2019 Filed Jun 6, 2019 22:09 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | PurchaseCommon Stock | 32,852 | $2.91 | $95,599.32 |
DisclosureSEC 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. Read SEC document |
| June 04, 2019 Filed Jun 6, 2019 22:09 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | PurchaseCommon Stock | 12,928 | $2.92 | $37,749.76 |
DisclosureSEC 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. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 23:28 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | GrantStock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $4.10 | $0.00 |
DisclosureSEC 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. Read SEC document |
| January 31, 2018 Filed Feb 2, 2018 21:33 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | GrantStock Option (Right to Buy) · Derivative | 130,000 | $0.00 Strike: $5.47 | $0.00 |
DisclosureSEC source: 0001104659-18-006256 · a4.xml · derivative · entry 1 Sawhney Amarpreet · CIK 0001614417 · Director · Exec Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,000 Underlying: Common Stock · 130,000 shares Expires 2028-01-30 F1 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant. Read SEC document |
| December 21, 2017 Filed Dec 22, 2017 21:37 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | Exercise / conversionStock Option (Right to Buy) · Derivative | 106,382 | $0.00 Strike: $2.73 | $0.00 |
DisclosureSEC source: 0001104659-17-074880 · a4.xml · derivative · entry 9 Sawhney Amarpreet · CIK 0001614417 · Director · Exec Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 106,382 shares Expires 2018-01-30 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. F7 · derivative.exercise_date: This option was granted on January 31, 2013, and vested over four years with (i) approximately 25.2% of the shares underlying the option vesting on February 1, 2014, (ii) approximately 3.7% vesting monthly from January 1, 2015 to July 1, 2015, (iii) approximately 3.5% vesting on August 1, 2015, (iv) approximately 3.7% vesting monthly from January 1, 2016 to October 1, 2016, (v) approximately 0.8% vesting on November 1, 2016, and (vi) approximately 3.7% vesting monthly from January 1, 2017 to February 1, 2017. Read SEC document |
| December 21, 2017 Filed Dec 22, 2017 21:37 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | Exercise / conversionStock Option (Right to Buy) · Derivative | 83,011 | $0.00 Strike: $2.49 | $0.00 |
DisclosureSEC source: 0001104659-17-074880 · a4.xml · derivative · entry 8 Sawhney Amarpreet · CIK 0001614417 · Director · Exec Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 83,011 shares Expires 2023-01-30 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. F6 · derivative.exercise_date: This option was granted on January 31, 2013, and vested over four years with (i) approximately 24.7% of the shares underlying the option vesting on February 1, 2014, (ii) approximately 4.8% vesting monthly from March 1, 2014 to December 1, 2014, (iii) approximately 0.3% vesting on August 1, 2015, (iv) approximately 4.8% vesting monthly from September 1, 2015 to December 1, 2015, (v) approximately 3.7% vesting on November 1, 2016, and (vi) approximately 4.8% vesting on December 1, 2016. Read SEC document |
| December 21, 2017 Filed Dec 22, 2017 21:37 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | Exercise / conversionCommon Stock | 106,382 | $2.73 | $290,422.86 |
DisclosureSEC source: 0001104659-17-074880 · a4.xml · nonDerivative · entry 2 Sawhney Amarpreet · CIK 0001614417 · Director · Exec Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 885,783 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. Read SEC document |
| December 21, 2017 Filed Dec 22, 2017 21:37 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | Exercise / conversionCommon Stock | 83,011 | $2.49 | $206,697.39 |
DisclosureSEC source: 0001104659-17-074880 · a4.xml · nonDerivative · entry 1 Sawhney Amarpreet · CIK 0001614417 · Director · Exec Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 779,401 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. Read SEC document |
| November 16, 2017 Filed Nov 20, 2017 13:04 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | PurchaseCommon Stock | 19,000 | $5.18 | $98,420.00 |
DisclosureSEC source: 0001104659-17-069533 · a4.xml · nonDerivative · entry 1 Sawhney Amarpreet · CIK 0001614417 · Director · Exec. Chairman of the Board · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 696,390 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.13 to $5.19, 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. Read SEC document |
| January 31, 2017 Filed Feb 10, 2017 21:34 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | GrantStock Option (Right to Buy) · Derivative | 235,000 | $0.00 Strike: $6.56 | $0.00 |
DisclosureSEC source: 0000899243-17-003490 · doc4.xml · derivative · entry 1 Sawhney Amarpreet · CIK 0001614417 · Director · President and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,000 Underlying: Common Stock · 235,000 shares Expires 2027-01-30 F1 · derivative.exercise_date: Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant. Read SEC document |
| December 15, 2016 Filed Dec 16, 2016 21:04 UTC | OCULAR THERAPEUTIX, INC OCUL · Entity 273 | PurchaseCommon Stock | 45,300 | $7.85 | $355,605.00 |
DisclosureSEC source: 0000899243-16-035752 · doc4.xml · nonDerivative · entry 1 Sawhney Amarpreet · CIK 0001614417 · Director · President and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 677,390 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.39 to $8.04, 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.