Summer Road Llc - Nov 7, 2022 Form 4 Insider Report for OCULAR THERAPEUTIX, INC (OCUL)

Role
10%+ Owner
Signature
/s/ Richard A. Silberberg, Chief Operating Officer
Stock symbol
OCUL
Transactions as of
Nov 7, 2022
Transactions value $
$25,648
Form type
4
Date filed
11/9/2022, 03:48 PM
Previous filing
Oct 12, 2022
Next filing
Dec 18, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction OCUL Common Stock, $0.0001 par value per share Purchase $25.6K +7.33K +0.12% $3.50 6.12M Nov 7, 2022 By Family Client F1, F2, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased in an open market transaction.
F2 Reporting Person is a family office of the same family under Investment Advisers Act of 1940 Rule 202(a)(11)(G)-1 (the "Family Office Rule"). Pursuant to investment management agreements ("IMAs") between itself and its "Family Clients" (as defined in the Family Office Rule), Reporting Person exercises voting and dispositive power with respect to the Common Stock, held by each of the Family Clients. The Reporting Person also reports beneficial ownership pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D previously filed with the SEC on May 19, 2020, as amended from time to time.
F3 Represents securities beneficially owned by Reporting Person through an IMA entered into with Family Clients. The securities acquired as to which this Form 4 is filed by Reporting Person are owned of record by Cap 1 LLC, a Family Client of Reporting Person ("Cap 1"). Cap 1 is owned over 90% by Crystal Fiduciary Company, LLC, as Trustee of the AR Irrevocable Trust. Reporting Person has no pecuniary interest in the securities beneficially owned by the Family Clients of Reporting Person.
F4 Represents the weighted average set forth in this line item. On November 7, 2022, the Reporting Person acquired 7,328 shares of Common Stock at a weighted average price of $3.50 (all shares were purchased at a price of $3.50 and therefore no range has been provided). Upon request by the SEC staff, the issuer or a security holder of the issuer, the Reporting Person will provide full information regarding the number of shares of Common Stock purchased or sold at each separate price.