Richard L. Md Lindstrom - Feb 27, 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.
Stock symbol
OCUL
Transactions as of
Feb 27, 2024
Transactions value $
$266,658
Form type
4
Date filed
7/26/2024, 07:30 PM
Previous filing
Jun 16, 2023
Next filing
May 9, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction OCUL Common Stock Options Exercise $167K +18.9K +15.73% $8.80 139K Feb 27, 2024 Direct
transaction OCUL Common Stock Options Exercise $100K +11.4K +8.15% $8.80 151K Feb 27, 2024 Direct
transaction OCUL Common Stock Award $0 +12K +7.96% $0.00 163K Jul 24, 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 -18.9K -100% $0.00* 0 Feb 27, 2024 Common Stock 18.9K $8.80 Direct F2
transaction OCUL Stock Option (Right to Buy) Options Exercise $0 -11.4K -100% $0.00* 0 Feb 27, 2024 Common Stock 11.4K $8.80 Direct F3
transaction OCUL Stock Option (Right to Buy) Award $0 +36K $0.00 36K Jul 24, 2024 Common Stock 36K $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.