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OCULAR THERAPEUTIX, INC — Director's Dealing 2014
Jul 25, 2014
31615_dirs_2014-07-24_717fc6b2-facf-4f7a-b6c8-618517ba0ab2.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: Chadha Jaswinder (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 37878 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Preferred Stock | $ | Common Stock (37878) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (10282) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (44410) | Indirect | ||
| Stock Option (right to buy) | $2.49 | 2023-09-11 | Common Stock (9469) | Direct | |
| Stock Option (right to buy) | $8.80 | 2024-04-13 | Common Stock (18939) | Direct | |
| Stock Option (right to buy) | $8.80 | 2024-04-13 | Common Stock (11363) | Direct |
Footnotes
F1: The securities are directly held by the Jaswinder Chadha 2007 Delaware Trust. The Reporting Person is the beneficiary of the Jaswinder Chadha 2007 Delaware Trust.
F2: 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.
F3: 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.
F4: 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.
F5: This option was granted on September 12, 2013 and vests over four years, with 25% of the shares underlying the option vesting on June 18, 2014, and 2.0833% vesting monthly thereafter.
F6: This option was granted on April 14, 2014 and vests over four years, with 25% of the shares underlying the option vesting on April 11, 2015, and 2.0833% vesting monthly thereafter.
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.