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OCULAR THERAPEUTIX, INC — Director's Dealing 2014
Jul 25, 2014
31615_dirs_2014-07-24_a2122684-8334-49f9-917a-eb6f8dd7757e.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: OCULAR THERAPEUTIX, INC (OCUL)
CIK: 0001393434
Period of Report: 2014-07-24
Reporting Person: Versant Venture Capital III, L.P. (10% Owner)
Reporting Person: Versant Side Fund III, L.P. (10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Preferred Stock | $ | Common Stock (75313) | Direct | ||
| Series A Preferred Stock | $ | Common Stock (445) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (613296) | Direct | ||
| Series B Preferred Stock | $ | Common Stock (3622) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (921900) | Direct | ||
| Series C Preferred Stock | $ | Common Stock (5444) | Indirect | ||
| Series D Preferred Stock | $ | Common Stock (1334484) | Direct | ||
| Series D Preferred Stock | $ | Common Stock (7880) | Indirect |
Footnotes
F1: The Series A Preferred Stock is convertible into Common Stock on a 2.64-for-one basis into the number of shares of Common Stock as shown in column 3 at any time at the holder's election, and automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
F2: The Series B Preferred Stock is convertible into Common Stock on a 2.64-for-one basis into the number of shares of Common Stock as shown in column 3 at any time at the holder's election, and automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
F3: The Series C Preferred Stock is convertible into Common Stock on a 2.64-for-one basis into the number of shares of Common Stock as shown in column 3 at any time at the holder's election, and automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
F4: The Series D Preferred Stock is convertible into Common Stock on a 2.64-for-one basis into the number of shares of Common Stock as shown in column 3 at any time at the holder's election, and automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
F5: Versant Ventures III, LLC is the general partner of Versant Venture Capital III, L.P. The managing members of Versant Ventures III, LLC are Brian G. Atwood, Bradley J. Bolzon, Samuel D. Colella, Ross A. Jaffe, William J. Link, Barbara N. Lubash, Donald B. Milder, Rebecca B. Robertson and Charles M. Warden. Each of these individuals exercises shared voting and investment power over the shares held of record by Versant Venture Capital III, L.P. and Versant Side Fund III, L.P. Each of the individuals listed above expressly disclaims beneficial ownership of the securities listed above except to the extent of any pecuniary interest therein.
F6: Held by Versant Side Fund III, L.P. Versant Ventures III, LLC is the general partner of Versant Side Fund III, L.P. The managing members of Versant Ventures III, LLC are Brian G. Atwood, Bradley J. Bolzon, Samuel D. Colella, Ross A. Jaffe, William J. Link, Barbara N. Lubash, Donald B. Milder, Rebecca B. Robertson and Charles M. Warden. Each of these individuals exercises shared voting and investment power over the shares held of record by Versant Venture Capital III, L.P. and Versant Side Fund III, L.P. Each of the individuals listed above expressly disclaims beneficial ownership of the securities listed above except to the extent of any pecuniary interest therein.