Donald Notman - Jan 30, 2023 Form 4 Insider Report for OCULAR THERAPEUTIX, INC (OCUL)

Role
Chief Financial Officer
Signature
/s/ Donald Notman
Stock symbol
OCUL
Transactions as of
Jan 30, 2023
Transactions value $
$0
Form type
4
Date filed
2/1/2023, 06:33 PM
Previous filing
Feb 7, 2022
Next filing
Feb 8, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction OCUL Common Stock Award $0 +55.6K +61.52% $0.00 146K Jan 30, 2023 Direct F1, F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction OCUL Stock Option (Right to Buy) Award $0 +167K $0.00 167K Jan 30, 2023 Common Stock 167K $3.88 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 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 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.
F3 Vests over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.