4//SEC Filing
Sawhney Amarpreet 4
Accession 0001104659-17-074880
CIK 0001393434other
Filed
Dec 21, 7:00 PM ET
Accepted
Dec 22, 4:37 PM ET
Size
16.6 KB
Accession
0001104659-17-074880
Insider Transaction Report
Form 4
Sawhney Amarpreet
DirectorPresident and CEO10% Owner
Transactions
- Exercise/Conversion
Common Stock
2017-12-21$2.49/sh+83,011$206,697→ 779,401 total - Exercise/Conversion
Stock Option (Right to Buy)
2017-12-21−106,382→ 0 totalExercise: $2.73Exp: 2018-01-30→ Common Stock (106,382 underlying) - Exercise/Conversion
Common Stock
2017-12-21$2.73/sh+106,382$290,423→ 885,783 total - Exercise/Conversion
Stock Option (Right to Buy)
2017-12-21−83,011→ 0 totalExercise: $2.49Exp: 2023-01-30→ Common Stock (83,011 underlying)
Holdings
- 846,377(indirect: See Footnote)
Common Stock
- 379,419(indirect: See Footnote)
Common Stock
- 471,784(indirect: See Footnote)
Common Stock
- 71,969(indirect: See Footnote)
Common Stock
- 189,393(indirect: See Footnote)
Common Stock
Footnotes (7)
- [F1]The securities are directly held by Incept, LLC. The Reporting Person is a general partner of Incept, LLC. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein.
- [F2]The securities are directly held by the Sangam Trust. The Reporting Person and his immediate family members are beneficiaries of the Sangam Trust. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein.
- [F3]The securities are directly held by the SAFIGS Trust. The Reporting Person's immediate family members are beneficiaries of the SAFIGS Trust. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein.
- [F4]The securities are directly held by the Sawhney Family Dynasty Trust. The Reporting Person's immediate family members are beneficiaries of the Sawhney Family Dynasty Trust. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein.
- [F5]The securities are directly held by the Amarpreet S. Sawhney 2014 GRAT. The Reporting Person and his immediate family members are beneficiaries of the Amar S. Sawhney 2014 GRAT. The Reporting Person expressly disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest therein.
- [F6]This option was granted on January 31, 2013, and vested over four years with (i) approximately 24.7% of the shares underlying the option vesting on February 1, 2014, (ii) approximately 4.8% vesting monthly from March 1, 2014 to December 1, 2014, (iii) approximately 0.3% vesting on August 1, 2015, (iv) approximately 4.8% vesting monthly from September 1, 2015 to December 1, 2015, (v) approximately 3.7% vesting on November 1, 2016, and (vi) approximately 4.8% vesting on December 1, 2016.
- [F7]This option was granted on January 31, 2013, and vested over four years with (i) approximately 25.2% of the shares underlying the option vesting on February 1, 2014, (ii) approximately 3.7% vesting monthly from January 1, 2015 to July 1, 2015, (iii) approximately 3.5% vesting on August 1, 2015, (iv) approximately 3.7% vesting monthly from January 1, 2016 to October 1, 2016, (v) approximately 0.8% vesting on November 1, 2016, and (vi) approximately 3.7% vesting monthly from January 1, 2017 to February 1, 2017.
Documents
Issuer
OCULAR THERAPEUTIX, INC
CIK 0001393434
Entity typeother
Related Parties
1- filerCIK 0001614417
Filing Metadata
- Form type
- 4
- Filed
- Dec 21, 7:00 PM ET
- Accepted
- Dec 22, 4:37 PM ET
- Size
- 16.6 KB