OCSAW insider notice: 25K earnout shares planned sale on 09/23/2025

Rhea-AI Filing Summary

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.

Positive

• Timely, specific disclosure of broker, planned sale date, share count and aggregate market value
• Securities were acquired as earnout shares, indicating they originated from the issuer rather than an external purchase

Negative

• None.

Insights

Financial Analyst

TL;DR: Routine insider sale notice: 25,000 shares (~$442.5k) from earnout grant; no recent sales reported.

The Form 144 documents a planned sale via UBS of 25,000 common shares acquired as earnout shares on 03/02/2023. The filing provides key transactional details—broker, planned sale date, aggregate value and outstanding share count—enabling investors to quantify the potential near-term supply impact. No securities sold in the prior three months is disclosed, which limits immediate trend indications. This filing appears procedural and provides necessary transparency but does not in itself change fundamentals.

Corporate Governance Expert

TL;DR: Compliance-focused disclosure showing an insider monetizing earnout shares; standard attestation included.

The notice meets Rule 144 disclosure norms by naming the executing broker, planned sale date and acquisition provenance (earnout issuance). The attestation that the seller lacks undisclosed material information is present, and there are no reported sales in the prior three months. From a governance perspective, this is a routine, compliant disclosure of an executive/insider monetization event rather than a material corporate action.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	UBS Financial Services, Inc. 1000 Harbor Blvd 3rd Floor Weehawken NJ 07086	25000	442500.00	43662402	09/23/2025	Nasdaq

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	03/02/2023	Issuance of earnout shares of Oculis Holding AG	Issuer			25000	03/02/2023	N/A

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does OCSAW's Form 144 report?

The filing reports a proposed sale of 25,000 common shares through UBS on 09/23/2025, with an aggregate market value of $442,500.

When and how were the shares being sold acquired?

The shares were acquired on 03/02/2023 as issuance of earnout shares from the issuer and were paid for on that date.

How many Oculis Holding AG shares are outstanding per the filing?

The filing lists 43,662,402 shares outstanding.

Were any issuer securities sold by the filer in the past three months?

The filing states Nothing to Report for securities sold during the past three months.

Who is the broker handling the proposed sale?

The broker named is UBS Financial Services, Inc. with an address provided in the filing.