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Ocular Therapeutix Officer Sells 3,011 Shares to Cover Taxes

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Ocular Therapeutix insider Peter Kaiser, the company's Chief Development Officer, reported the sale of 3,011 shares of common stock on 08/25/2025 under a pre-established automatic sale instruction to cover taxes from RSU vesting. The weighted-average sale price was $12.04 per share, with individual trade prices ranging from $11.89 to $12.1548. After the transactions, the reporting person beneficially owned 204,093 shares. The filing notes the sales were non-discretionary and executed to satisfy tax withholding.

Positive

  • None.

Negative

  • None.

Insights

TL;DR: Routine sell-to-cover for tax withholding; non-discretionary and not a signal of voluntary liquidation.

The Form 4 documents a mechanized sell-to-cover following RSU vesting, totaling 3,011 shares at a weighted-average price of $12.04. Such transactions are common when insiders use automatic instructions to satisfy tax obligations and are typically neutral for investor interpretation. The reporting person retains a substantial position of 204,093 shares, indicating ongoing ownership alignment with shareholders.

TL;DR: Procedural insider transaction under a 10b5-1-like plan; governance disclosure appears complete.

The filing discloses that the sale followed a durable automatic sale instruction adopted earlier and was not discretionary. The filing includes price ranges and offers to provide detailed breakouts on request, which supports transparency. This is a standard, compliant disclosure of an insider tax-related disposition rather than an operational or governance concern.

Insider Kaiser Peter
Role Chief Development Officer
Sold 3,011 shs ($36K)
Type Security Shares Price Value
Sale Common Stock 3,011 $12.04 $36K
Holdings After Transaction: Common Stock — 204,093 shares (Direct)
Footnotes (1)
  1. Represents shares of common stock of Ocular Therapeutix, Inc. (the "Corporation") sold, pursuant to a durable automatic sale instruction adopted by the reporting person on April 9, 2024, effecting the sell-to-cover election of the reporting person to satisfy tax withholding obligations in connection with the vesting of restricted stock units on August 22, 2025. The sales do not represent a discretionary trade by the reporting person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.89 to $12.1548, inclusive. The reporting person undertakes to provide to the Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
X
 Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Kaiser Peter
(Last) (First) (Middle)
C/O OCULAR THERAPEUTIX, INC.
15 CROSBY DRIVE
(Street)
BEDFORD MA 01730
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
OCULAR THERAPEUTIX, INC [ OCUL ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Development Officer
3. Date of Earliest Transaction (Month/Day/Year)
08/25/2025
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/25/2025 S(1) 3,011(1) D $12.04(2) 204,093 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Represents shares of common stock of Ocular Therapeutix, Inc. (the "Corporation") sold, pursuant to a durable automatic sale instruction adopted by the reporting person on April 9, 2024, effecting the sell-to-cover election of the reporting person to satisfy tax withholding obligations in connection with the vesting of restricted stock units on August 22, 2025. The sales do not represent a discretionary trade by the reporting person.
2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.89 to $12.1548, inclusive. The reporting person undertakes to provide to the Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.
Remarks:
Exhibit Index Exhibit 24 - Power of Attorney
/s/ Todd Anderman, Attorney-in-Fact for Peter Kaiser 08/27/2025
** 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 4 (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.

Source: View Original Filing on SEC EDGAR

FAQ

What did OCUL insider Peter Kaiser sell on 08/25/2025?

He sold 3,011 shares of Ocular Therapeutix common stock under a pre-established automatic sale instruction.

Why were the OCUL shares sold by the reporting person?

The shares were sold to satisfy tax withholding obligations related to restricted stock units that vested on 08/22/2025.

At what price were the OCUL shares sold?

The weighted-average price was $12.04 per share, with trade prices ranging from $11.89 to $12.1548.

How many OCUL shares does the reporting person own after the transaction?

After the reported sale, the reporting person beneficially owned 204,093 shares.

Was the sale by the OCUL insider discretionary?

No. The filing states the sales were effected pursuant to a durable automatic sale instruction adopted April 9, 2024, and were not discretionary trades.