[144] Ocular Therapeutix, Inc. SEC Filing

Rhea-AI Filing Summary

Ocular Therapeutix (OCUL) filed a Form 144 reporting an intended sale of 1,885 common shares through Morgan Stanley Smith Barney LLC on 08/25/2025 on NASDAQ with an aggregate market value of $22,701.62. The shares were acquired on 08/22/2025 as restricted stock vesting under a registered plan and were received as compensation. The filer reports no securities sold by the same person in the past three months and affirms no undisclosed material adverse information.

Positive

• Proper compliance: Filing includes broker, planned sale date, and required attestation regarding material information
• Clear acquisition disclosure: Identifies shares as restricted stock vesting under a registered plan and payment as compensation
• No recent sales: Reports no securities sold by the seller in the past three months, simplifying aggregation

Negative

• None.

Insights

Securities Analyst

TL;DR: Routine insider notice for sale of newly vested restricted shares; immaterial to company valuation given small size.

The filing discloses a single planned disposition of 1,885 shares valued at $22,701.62, originating from restricted stock vesting and received as compensation. This is a customary filing under Rule 144 to enable resale of restricted securities through a broker. No prior sales in the last three months are reported, which simplifies aggregation rules. The size of the position relative to 173,995,221 outstanding shares is negligible.

Corporate Governance Expert

TL;DR: Administrative compliance disclosure showing proper attestation and broker coordination; no governance red flags present.

The notice includes the required attestation that the selling person is not aware of undisclosed material adverse information and identifies the broker and planned sale date. The acquisition type is disclosed as restricted stock vesting under a registered plan with payment characterized as compensation. These elements meet standard disclosure expectations for insider transactions.

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

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	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	1885	22701.62	173995221	08/25/2025	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	08/22/2025	Restricted stock vesting under a registered plan	Issuer			1885	08/22/2025	Compensation

* 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

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 OCUL's Form 144 disclose about the proposed sale?

The filing reports a proposed sale of 1,885 common shares through Morgan Stanley on 08/25/2025 with an aggregate value of $22,701.62.

How were the shares acquired according to the filing?

The shares were acquired on 08/22/2025 via restricted stock vesting under a registered plan and were received as compensation.

Does the Form 144 report any other sales by the same person in the past three months?

No. The filing states Nothing to Report for securities sold during the past three months by the person for whose account the securities are to be sold.

Which broker and exchange are involved in the proposed sale?

The broker is Morgan Stanley Smith Barney LLC and the sale is planned on NASDAQ.

What attestation does the seller make on the Form 144?

The seller represents by signing the notice that they do not know any material adverse information about the issuer that has not been publicly disclosed.