Form Type: 4

SEC EDGAR Link
Accession Number:0001104659-23-014684
Date:2023-02-06
Issuer: OCULAR THERAPEUTIX, INC (OCUL)
Original Submission Date:

Reporting Person:

NOTMAN DONALD
C/O OCULAR THERAPEUTIX, INC.
24 CROSBY DRIVE BEDFORD, MA 01730

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2023-02-06 S 6,476 d $4.24 139,387 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 represents shares of common stock sold, pursuant to a durable automatic sales instruction letter effecting the sell-to-cover election of the reporting person to satisfy tax withholding obligations, in connection with the vesting of restricted stock units on february 3, 2023. the reporting person structured the durable automatic sales instructions to constitute a "binding contract" consistent with the affirmative defense to liability under rule 10b5-1. the sales do not represent a discretionary trade by the reporting person.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $4.18 to $4.31, inclusive. the reporting person undertakes to provide to ocular therapeutix, inc., or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this form 4.
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