Oculis Holding SEC Filings

Oculis Holding AG filed a Form F-3 to register the resale of up to 494,259 ordinary shares by the selling securityholder. The shares are issuable upon exercise of a warrant originally issued on May 29, 2024 and amended on July 31, 2025. Oculis is not selling any securities under this prospectus and will not receive proceeds from resales; it would receive the warrant exercise price if exercised in cash.

The warrant is currently exercisable for 59,310 shares and may become exercisable for up to 494,259 shares based on draws under a three‑loan facility or a specified milestone. Exercise prices are $12.17 for 361,011 shares and $18.64 for 133,248 shares. If fully exercised for cash for the maximum shares, Oculis would receive $6,877,246.59. Shares outstanding were 52,374,811 as of September 30, 2025. The ordinary shares trade on Nasdaq and Nasdaq Iceland under the symbol OCS.

Oculis Holding AG (OCS) is offering 4,691,358 ordinary shares at $20.25 per share and selling 740,740 shares in a concurrent registered direct offering. Underwriters have a 30‑day option to buy up to 703,703 additional shares.

The underwritten tranche reflects a $95.0 million gross raise with $5.7 million in underwriting commissions and $89.3 million proceeds before expenses. Across both transactions, Oculis estimates ~$102.5 million in net proceeds (or ~$115.5 million if the option is fully exercised). The company plans to fund and accelerate Privosegtor (OCS‑05) in acute optic neuritis (AON) and NAION, and for working capital and general corporate purposes.

Shares outstanding are expected to be 57,806,909 after the offering and concurrent sale (or 58,510,612 if the option is fully exercised), based on 52,374,811 shares outstanding as of September 30, 2025. Settlement is expected on a T+2 basis. The ordinary shares trade on Nasdaq and Nasdaq Iceland under “OCS.”

Oculis Holding AG is offering 740,740 ordinary shares at $20.25 per share in a registered direct sale to an investor. The company will receive $14,999,985 in gross proceeds, with estimated expenses of about $150,000.

The company is also conducting a concurrent underwritten offering of 4,691,358 shares, with an option for underwriters to buy up to 703,703 additional shares. Oculis estimates combined net proceeds of approximately $102.5 million (or $115.5 million if the option is fully exercised) to advance Privosegtor (OCS-05) in AON and NAION and for working capital and general corporate purposes.

Shares outstanding are expected to be 57,806,909 after this direct sale and the concurrent offering, based on 52,374,811 outstanding as of September 30, 2025. The company also terminated its prior $100 million ATM program with no shares sold.

Oculis Holding AG announced equity financings totaling 5,432,098 ordinary shares at $20.25 per share, split between an underwritten sale of 4,691,358 shares and a registered direct sale of 740,740 shares. The underwriters also have a 30‑day option to purchase up to 703,703 additional shares at the same price.

Gross proceeds are expected to be approximately $110.0 million, or $124.2 million if the option is exercised in full. The closings are expected on or about November 3, 2025, subject to customary closing conditions. The company states that net proceeds, together with existing cash, cash equivalents and short‑term investments, are expected to fund operations to late 2028. The offerings were made under an effective Form F‑3 shelf registration.

Oculis Holding AG suspended and terminated its at-the-market prospectus that permitted sales of up to $100 million of ordinary shares under its May 8, 2024 sales agreement with Leerink Partners. As of this report, no shares were sold under the ATM prospectus. The underlying sales agreement remains in effect, and any future sales would require a new prospectus, prospectus supplement or registration statement.

Oculis Holding AG (OCS) filed a Form 144 reporting a proposed sale of 7,460 common shares, with an aggregate market value of $148,230.20, to be sold on 10/09/2025 on NASDAQ through Morgan Stanley Smith Barney LLC. The filer reports the shares were acquired and paid for on 10/09/2025 through an exercise of stock options and that payment was made in cash. The filing notes 43,662,402 shares outstanding and states there were no sales in the past three months by the same person. The notice includes the standard signature representation about no undisclosed material adverse information.

Oculis Holding AG (OCS) announced initiation of the PIONEER clinical program for Privosegtor, a candidate to treat acute optic neuritis (AON) and non-arteritic anterior ischemic optic neuropathy (NAION). The program comprises three concurrent pivotal trials: PIONEER-1 beginning in Q4 2025 for AON, PIONEER-2 in the first half of 2026 measuring low-contrast visual acuity at 3 months, and PIONEER-3 in mid-2026 for NAION. PIONEER-2 will mirror dosing and enrollment from the positive Phase 2 ACUITY trial. Running the trials together is expected to create operational synergies, cost efficiencies, and accelerate timelines. The filing references accompanying press materials dated October 6, 2025.

Oculis Holding AG filing reports a proposed sale of 25,000 common shares through UBS Financial Services on 09/23/2025, with an aggregate market value of $442,500 based on the notice. The filing shows 43,662,402 shares outstanding. The shares were acquired on 03/02/2023 as issuance of earnout shares from the issuer and fully paid on that date. The filer reports no sales of the issuer's securities in the past three months and includes the standard representation that the seller is unaware of any undisclosed material adverse information.