Oculis Publishes Notifications of Transactions by Persons Discharging Managerial Responsibilities

Rhea-AI Summary

Oculis (OCS) announced a notification relating to the vesting and settlement of restricted stock units (RSUs) previously granted to a director. The notice names Riad Sherif and is dated January 5, 2026; an attachment titled "Notification of managers' transaction - Riad Sherif - January 2026 RSU vest" is referenced.

The announcement reports the administrative event only and does not disclose amounts, prices, or additional financial details.

Key Figures

Registered resale shares 494,259 shares Form F-3 resale registration by selling securityholder

Current warrant exercisable 59,310 shares Shares currently exercisable under warrant

Warrant exercise price $12.17 per share Exercise price for 361,011 warrant shares

Warrant exercise price $18.64 per share Exercise price for 133,248 warrant shares

Max warrant proceeds $6,877,246.59 Cash to company if warrant fully exercised

Underwritten offering size 4,691,358 shares at $20.25 Ordinary shares in underwritten equity offering

Registered direct sale 740,740 shares at $20.25 Concurrent registered direct offering

Gross underwritten proceeds $95.0 million Gross proceeds from underwritten tranche before expenses

Market Reality Check

$23.07 Last Close

Volume Volume 62,167 is about 0.58x the 20-day average of 106,935, indicating muted trading interest into this routine update. low

Technical Shares at $20.00 are trading above the 200-day MA at $18.74 and 13.34% below the 52-week high of $23.08.

Peers on Argus

OCS is up 0.15% while key biotech peers like EYPT (-4.79%), TSHA (-4.72%), QURE (-2.66%) and ABUS (-1.75%) are negative, suggesting stock-specific trading rather than a sector-wide move.

Historical Context

Date	Event	Sentiment	Move	Catalyst
Dec 09	Managers’ transactions	Neutral	+0.5%	RSU vesting and settlement notifications for four company directors.
Dec 03	Managers’ transactions	Neutral	+1.1%	RSU vesting and settlement disclosure for director Arshad Khanani.
Nov 28	Managers’ transactions	Neutral	+0.0%	Notification of RSU vesting and settlement for a company director.
Nov 25	Regulatory/clinical	Positive	-2.2%	Positive FDA meeting enabling PIONEER registrational program for Privosegtor.
Nov 18	Managers’ transactions	Neutral	-0.1%	Director Lionel Carnot reported a purchase of ordinary shares.

Pattern Detected

Recent managers’ transaction and RSU vesting disclosures have generally coincided with small or muted price moves, indicating limited market impact from these routine governance updates.

Recent Company History

Over the past few months, Oculis has frequently reported managers’ transactions and RSU vesting events, including multiple notifications in November–December 2025 with price reactions clustered around 0–1%. Alongside these routine disclosures, the company advanced its strategy with a positive FDA meeting enabling the registrational PIONEER program for Privosegtor and subsequent pivotal trial initiation described in an October 6-K. Significant equity financings in late October 2025 raised capital to fund this program. Today’s RSU-related notice fits the pattern of neutral governance updates amid a broader development and financing ramp-up.

Regulatory & Risk Context

Active S-3 Shelf Registration 2025-11-10

$6,877,246.59 registered capacity

An effective Form F-3 dated Nov 10, 2025 registers the resale of up to 494,259 ordinary shares issuable upon warrant exercise by a selling securityholder. Oculis itself is not selling shares under this prospectus; it would only receive up to $6,877,246.59 in cash if the warrant is fully exercised for the maximum shares at the specified strike prices.

Market Pulse Summary

This announcement reports the vesting and settlement of RSUs previously granted to a company director, a routine governance and compensation disclosure. Similar managers’ transaction notices in late 2025 generally coincided with modest price changes. In the background, Oculis has advanced its Privosegtor program through a registrational PIONEER plan and funded operations via sizable equity offerings and a Form F-3 resale registration for up to 494,259 shares. Investors may monitor future financings, warrant exercises and PIONEER trial progress as key catalysts.

Key Terms

persons discharging managerial responsibilities regulatory

"Oculis Publishes Notifications of Transactions by Persons Discharging Managerial Responsibilities"

Persons Discharging Managerial Responsibilities are the key people in a company who make big decisions, like top managers or executives. Knowing who they are is important because their actions can influence the company’s success or failure, and they are often required to share information about their dealings to ensure transparency for investors and the public.

rsus financial

"relates to the vesting and settlement of RSUs previously granted to a director"

RSUs, or restricted stock units, are a form of company shares given to employees as part of their compensation. They are typically awarded with certain restrictions, such as a waiting period before they can be fully owned or sold, similar to earning a gift that becomes fully yours over time. For investors, RSUs can impact a company's stock offerings and reflect how much the company relies on stock-based incentives to attract and retain talent.

managers' transaction regulatory

"Attachment Notification of managers' transaction - Riad Sherif - January 2026 RSU vest"

Managers' transaction is a public disclosure that a company's senior managers or directors have bought or sold the company’s securities. Like seeing a home's owner make repairs or put furniture up for sale, these moves give investors a quick signal about insiders’ confidence or need for cash; repeated buying can suggest belief in future growth, while selling may prompt questions and closer scrutiny.

AI-generated analysis. Not financial advice.

ZUG, Switzerland, Jan. 05, 2026 (GLOBE NEWSWIRE) -- The attached notification relates to the vesting and settlement of RSUs previously granted to a director of the Company.

Attachment

• Notification of managers' transaction - Riad Sherif - January 2026 RSU vest

FAQ

What did Oculis (OCS) announce on January 5, 2026 about Riad Sherif?

Oculis published a notification that RSUs previously granted to director Riad Sherif have vested and been settled in January 2026.

Does the Oculis (OCS) notice disclose how many RSUs vested for Riad Sherif?

No, the notice references vesting and settlement but does not disclose quantities, prices, or share counts.

Will the RSU vesting for Riad Sherif change Oculis (OCS) outstanding shares?

The announcement does not state any change to outstanding shares or provide figures on dilution.

Where can investors find the full notification for the Oculis (OCS) January 2026 RSU vesting?

The release references an attachment titled "Notification of managers' transaction - Riad Sherif - January 2026 RSU vest" as the detailed notice.

Is the Oculis (OCS) announcement dated January 5, 2026 a managerial transaction filing?

Yes; the notification relates to a managers' transaction reporting the vesting and settlement of RSUs for a director.