[Form 3] Ocular Therapeutix, Inc. Initial Statement of Beneficial Ownership

Rhea-AI Filing Summary

Analyzing filing...

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Saroj Namrata

(Last) (First) (Middle)

C/O OCULAR THERAPEUTIX, INC.

15 CROSBY DRIVE

(Street)

BEDFORD MA 01730

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
06/11/2025

3. Issuer Name and Ticker or Trading Symbol
OCULAR THERAPEUTIX, INC [ OCUL ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Business Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	200,000(1)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (Right to Buy)	(2)	02/27/2034	Common Stock	50,000	$9.95	D
Stock Option (Right to Buy)	(3)	02/27/2034	Common Stock	100,000	$9.95	D
Stock Option (Right to Buy)	(4)	11/03/2034	Common Stock	316,000	$10.27	D

Explanation of Responses:

1. Includes 200,000 restricted stock units ("RSUs") remaining unvested pursuant to an award of 200,000 RSUs granted under the 2021 Stock Incentive Plan, as amended, of Ocular Therapeutix, Inc. (the "Corporation") on November 4, 2024. Each RSU represents a right to receive one share of the Corporation's common stock. Subject to the reporting person's continued service to the Corporation, the RSUs will vest over three years, with 1/3 of the shares underlying the RSUs vesting on the one-year anniversary of the reporting person's first date of employment and an additional 1/3 of the shares underlying the RSUs vesting at the end of each successive one-year period thereafter.

2. This option is fully vested and exercisable.

3. This option was granted on February 28, 2024 and vests over four years, with 1/4 of the shares underlying the option having vested on February 28, 2025 and 1/48 of the shares vesting monthly thereafter.

4. This option was granted on November 4, 2024 and vests over four years, with 1/4 of the shares underlying the option vesting on the one-year anniversary of the reporting person's first date of employment and 1/48 of the shares vesting monthly thereafter.

Remarks:

Exhibit 24 - Power of Attorney

	/s/ Todd Anderman, Attorney-in-Fact for Namrata Saroj	06/23/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.