New insider Saroj Namrata claimed ownership of 200,000 shares (SEC Form 3)
$OCUL
Biotechnology: Pharmaceutical Preparations
Health Care
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/11/2025 |
3. Issuer Name and Ticker or Trading Symbol
OCULAR THERAPEUTIX, INC [ OCUL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 200,000(1) | D | |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Option (Right to Buy) | (2) | 02/27/2034 | Common Stock | 50,000 | $9.95 | D | |
| Stock Option (Right to Buy) | (3) | 02/27/2034 | Common Stock | 100,000 | $9.95 | D | |
| Stock Option (Right to Buy) | (4) | 11/03/2034 | Common Stock | 316,000 | $10.27 | D | |
| Explanation of Responses: |
| 1. Includes 200,000 restricted stock units ("RSUs") remaining unvested pursuant to an award of 200,000 RSUs granted under the 2021 Stock Incentive Plan, as amended, of Ocular Therapeutix, Inc. (the "Corporation") on November 4, 2024. Each RSU represents a right to receive one share of the Corporation's common stock. Subject to the reporting person's continued service to the Corporation, the RSUs will vest over three years, with 1/3 of the shares underlying the RSUs vesting on the one-year anniversary of the reporting person's first date of employment and an additional 1/3 of the shares underlying the RSUs vesting at the end of each successive one-year period thereafter. |
| 2. This option is fully vested and exercisable. |
| 3. This option was granted on February 28, 2024 and vests over four years, with 1/4 of the shares underlying the option having vested on February 28, 2025 and 1/48 of the shares vesting monthly thereafter. |
| 4. This option was granted on November 4, 2024 and vests over four years, with 1/4 of the shares underlying the option vesting on the one-year anniversary of the reporting person's first date of employment and 1/48 of the shares vesting monthly thereafter. |
| Remarks: |
| Exhibit 24 - Power of Attorney |
| /s/ Todd Anderman, Attorney-in-Fact for Namrata Saroj | 06/23/2025 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||