SECURITIES AND EXCHANGE COMMISSION
UNDER THE SECURITIES ACT OF 1933
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Delaware
(State or Other Jurisdiction of Incorporation or Organization)
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20-5560161
(I.R.S. Employer Identification Number)
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Bedford, MA 01730
(781) 357-4000
President and Chief Executive Officer
Ocular Therapeutix, Inc.
15 Crosby Drive
Bedford, MA 01730
(781) 357-4000
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Stuart M. Falber, Esq.
C.S. Avery Reaves, Esq. Wilmer Cutler Pickering Hale and Dorr LLP 60 State Street Boston, Massachusetts 02109 (617) 526-6000 |
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Philip C. Strassburger, Esq.
General Counsel Ocular Therapeutix, Inc. 15 Crosby Drive Bedford, MA 01730 (781) 357-4000 |
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Large accelerated filer
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Accelerated filer
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Non-accelerated filer
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Smaller reporting company
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Emerging growth company
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Page
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Name of Selling Stockholder
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Shares of Common Stock
Beneficially Owned Prior to Offering |
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Number of
Shares of Common Stock Being Offered(1) |
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Shares of Common Stock to
be Beneficially Owned After Offering(2) |
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Number
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Percentage
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Offered
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Number
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Percentage
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Deep Track Biotechnology Master Fund, Ltd.(3)
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| | | | 13,885,178 | | | | | | 9.3% | | | | | | 4,654,409 | | | | | | 9,230,769 | | | | | | 6.2% | | |
Entities affiliated with Summer Road LLC(4)
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| | | | 14,360,633 | | | | | | 9.3% | | | | | | 930,851 | | | | | | 13,429,782 | | | | | | 8.7% | | |
Entities affiliated with Venrock Healthcare Capital Partners(5)
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| | | | 13,760,200 | | | | | | 9.1% | | | | | | 5,984,440 | | | | | | 7,775,760 | | | | | | 5.2% | | |
Avoro Life Sciences Fund LLC(6)
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| | | | 11,803,810 | | | | | | 7.7% | | | | | | 11,303,810 | | | | | | 500,000 | | | | | | * | | |
Opaleye, L.P.(7)
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| | | | 6,768,138 | | | | | | 4.6% | | | | | | 698,138 | | | | | | 6,070,000 | | | | | | 4.1% | | |
Logos Global Master Fund LP(8)
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| | | | 5,811,436 | | | | | | 3.9% | | | | | | 1,961,436 | | | | | | 3,850,000 | | | | | | 2.6% | | |
TCG Crossover Fund II, L.P.(9)
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| | | | 5,319,148 | | | | | | 3.6% | | | | | | 5,319,148 | | | | | | - | | | | | | - | | |
Venrock Opportunities Fund, L.P.(10)
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| | | | 3,989,627 | | | | | | 2.6% | | | | | | 3,989,627 | | | | | | - | | | | | | - | | |
Perceptive Life Sciences Master Fund, Ltd.(11)
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| | | | 3,324,468 | | | | | | 2.2% | | | | | | 3,324,468 | | | | | | - | | | | | | - | | |
Entities affiliated with Acuta Capital Partners, LLC(12)
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| | | | 2,635,287 | | | | | | 1.8% | | | | | | 1,329,787 | | | | | | 1,305,500 | | | | | | * | | |
Citadel CEMF Investments Ltd.(13)
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| | | | 1,994,680 | | | | | | 1.3% | | | | | | 1,994,680 | | | | | | - | | | | | | - | | |
Entities affiliated with Great Point Partners,
LLC(14) |
| | | | 1,728,723 | | | | | | 1.2% | | | | | | 1,728,723 | | | | | | - | | | | | | - | | |
Attn: Chief Financial Officer
15 Crosby Drive
Bedford, MA 01730
(781) 357-4000
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SEC registration fee
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| | | $ | 60,539 | | |
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Legal fees and expenses
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| | | $ | 50,000 | | |
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Accounting fees and expenses
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| | | $ | 50,000 | | |
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Miscellaneous fees and expenses
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| | | $ | 50,000 | | |
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Total expenses
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| | | $ | 210,539 | | |
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Exhibit
Number |
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Description
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4.1(1)
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4.2(2)
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4.3(3)
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4.4(4)
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4.5(5)
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Exhibit
Number |
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Description
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5.1*
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23.1*
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23.2*
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24.1*
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107*
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| | | | OCULAR THERAPEUTIX, INC. | | |||
| | | | By: | | |
/s/ Antony Mattessich
Name: Antony Mattessich
Title:
President and Chief Executive Officer
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Signature
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Title
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Date
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/s/ Antony Mattessich
Antony Mattessich
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| | President, Chief Executive Officer and Director (Principal Executive Officer) | | |
March 25, 2024
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/s/ Donald Notman
Donald Notman
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| | Chief Financial Officer (Principal Financial and Accounting Officer) | | |
March 25, 2024
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/s/ Pravin Dugel, M.D.
Pravin Dugel, M.D.
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| | Executive Chairman of the Board of Directors | | |
March 25, 2024
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/s/ Adrienne Graves, Ph.D.
Adrienne Graves, Ph.D.
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| | Director | | |
March 25, 2024
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/s/ Seung Suh Hong, Ph.D.
Seung Suh Hong, Ph.D.
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| | Director | | |
March 25, 2024
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/s/ Richard L. Lindstrom, M.D.
Richard L. Lindstrom, M.D.
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| | Director | | |
March 25, 2024
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/s/ Merilee Raines
Merilee Raines
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| | Director | | |
March 25, 2024
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Signature
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Title
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Date
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/s/ Charles Warden
Charles Warden
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| | Director | | |
March 25, 2024
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/s/ Leslie Williams
Leslie Williams
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| | Director | | |
March 25, 2024
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Attachments
Disclaimer
Ocular Therapeutix Inc. published this content on 25 March 2024 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 25 March 2024 20:56:02 UTC.