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OCULAR THERAPEUTIX, INC — Director's Dealing 2014
Jul 25, 2014
31615_dirs_2014-07-24_9b8acccb-6fdc-4b0a-aa13-caf35d7d98e4.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: Warden Charles M (Director)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Preferred Stock | $ | Common Stock (75313) | Indirect | ||
| Series A Preferred Stock | $ | Common Stock (445) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (613296) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (3622) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (921900) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (5444) | Indirect | ||
| Series D Preferred Stock | $ | Common Stock (1334484) | Indirect | ||
| Series D Preferred Stock | $ | Common Stock (7880) | Indirect | ||
| Stock Option (right to buy) | $8.80 | 2024-04-13 | Common Stock (11363) | Direct |
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: The securities are directly held by Versant Venture Capital III, L.P. Versant Ventures III, LLC is the general partner of Versant Venture Capital III, L.P. The Reporting Person is a managing member of Versant Ventures III, LLC. and disclaims beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein.
F6: The securities are directly held by Versant Side Fund III, L.P. Versant Ventures III, LLC is the general partner of Versant Side Fund III, L.P. The Reporting Person is a managing member of Versant Ventures III, LLC. and disclaims beneficial ownership of all shares except to the extent of his pecuniary interest, if any, therein.
F7: This option was granted on April 14, 2014 and vests over three years, vesting 2.778% monthly beginning on the one month anniversary of the Issuer's initial public offering.