Richard L. Lindstrom MD - 27 Feb 2024 Form 4 Insider Report for OCULAR THERAPEUTIX, INC (OCUL)

Role: Director
Signature: /s/Donald Notman, Attorney-in-Fact for Richard L. Lindstrom, M.D.
Issuer symbol: OCUL
Transactions as of: 27 Feb 2024
Net transactions value: +$266,658
Form type: 4
Filing time: 26 Jul 2024, 19:30:15 UTC
Previous filing: 16 Jun 2023
Next filing: 09 May 2024
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	OCUL	Common Stock	Options Exercise	$166,663	+18,939	+16%	$8.80	139,341	27 Feb 2024	Direct
transaction	OCUL	Common Stock	Options Exercise	$99,994	+11,363	+8.2%	$8.80	150,704	27 Feb 2024	Direct
transaction	OCUL	Common Stock	Award	$0	+12,000	+8%	$0.000000	162,704	24 Jul 2024	Direct	F1

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)	Options Exercise	$0	-18,939	-100%	$0.000000^*	0	27 Feb 2024	Common Stock	18,939	$8.80	Direct	F2
transaction	OCUL	Stock Option (Right to Buy)	Options Exercise	$0	-11,363	-100%	$0.000000^*	0	27 Feb 2024	Common Stock	11,363	$8.80	Direct	F3
transaction	OCUL	Stock Option (Right to Buy)	Award	$0	+36,000		$0.000000	36,000	24 Jul 2024	Common Stock	36,000	$7.91	Direct	F4

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	On July 24, 2024, 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.
F2	On February 27, 2024, the reporting person exercised an option to purchase 18,939 shares of the Company's common stock. The option was granted on April 14, 2014, and vested over four years, with 25% of the shares underlying the option vesting on April 11, 2015, and vesting monthly thereafter.
F3	On February 27, 2024, the reporting person exercised an option to purchase 11,363 shares of the Company's common stock. The option was granted on April 14, 2014, and vested over three years, vesting monthly beginning on the one-month anniversary of the Company's initial public offering.
F4	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.