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Ocular Therapeutix (OCUL) CDO receives RSU and 240,932-share option grant

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

Rhea-AI Filing Summary

Ocular Therapeutix, Inc. reported that its Chief Development Officer, Peter Kaiser, received new equity awards on January 2, 2026. He was granted 79,112 restricted stock units (RSUs), each representing one share of common stock. These RSUs vest over three years, with one-third vesting on the one-year anniversary of the grant date and the remaining two-thirds vesting in equal annual installments thereafter, subject to his continued service.

On the same date, he was also granted a stock option for 240,932 shares of common stock with an exercise price of $11.82 per share. This option vests over four years, in monthly installments of 1/48 of the total starting one month after the grant date, again contingent on continued service, and expires on January 1, 2036. Following these grants, he beneficially owned 271,918 shares of common stock, which includes 1,373 shares acquired under the company’s employee stock purchase plan on December 31, 2025.

Positive

  • None.

Negative

  • None.
Insider Kaiser Peter
Role Chief Development Officer
Type Security Shares Price Value
Grant/Award Stock Option (Right to Buy) 240,932 $0.00 --
Grant/Award Common Stock 79,112 $0.00 --
Holdings After Transaction: Stock Option (Right to Buy) — 240,932 shares (Direct); Common Stock — 271,918 shares (Direct)
Footnotes (1)
  1. On January 2, 2026, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan, as amended, of Ocular Therapeutix, Inc. (the "Corporation"). 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 date of grant and an additional 1/3 of the shares underlying the RSUs vesting at the end of each successive one-year period thereafter. Includes 1,373 shares of common stock acquired under the Corporation's Amended and Restated 2014 Employee Stock Purchase Plan on December 31, 2025. Subject to the reporting person's continued service to the Corporation, the shares underlying this option vest over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.
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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).
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)
01/02/2026
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 01/02/2026 A 79,112(1) A $0 271,918(2) 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
Stock Option (Right to Buy) $11.82 01/02/2026 A 240,932 (3) 01/01/2036 Common Stock 240,932 $0 240,932 D
Explanation of Responses:
1. On January 2, 2026, the reporting person was granted restricted stock units ("RSUs") under the 2021 Stock Incentive Plan, as amended, of Ocular Therapeutix, Inc. (the "Corporation"). 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 date of grant and an additional 1/3 of the shares underlying the RSUs vesting at the end of each successive one-year period thereafter.
2. Includes 1,373 shares of common stock acquired under the Corporation's Amended and Restated 2014 Employee Stock Purchase Plan on December 31, 2025.
3. Subject to the reporting person's continued service to the Corporation, the shares underlying this option vest over four years, vesting 1/48 monthly beginning on the one-month anniversary of the date of grant.
/s/ Todd Anderman, Attorney-in-Fact for Peter Kaiser 01/06/2026
** 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 equity awards did Ocular Therapeutix (OCUL) grant to Peter Kaiser?

On January 2, 2026, Ocular Therapeutix granted Chief Development Officer Peter Kaiser 79,112 RSUs and a stock option for 240,932 shares of common stock with an exercise price of $11.82 per share.

How do the new RSUs for Ocular Therapeutix (OCUL) Chief Development Officer vest?

The 79,112 RSUs vest over three years, with 1/3 of the shares vesting on the one-year anniversary of the grant date and an additional 1/3 vesting at the end of each successive one-year period, subject to his continued service.

What is the vesting schedule for Peter Kaiser’s new stock options at Ocular Therapeutix (OCUL)?

The 240,932-share stock option vests over four years, with 1/48 of the option vesting monthly beginning on the one-month anniversary of the grant date, subject to his continued service, and expires on January 1, 2036.

How many Ocular Therapeutix (OCUL) common shares does Peter Kaiser own after these grants?

After the reported transactions, Peter Kaiser beneficially owned 271,918 shares of common stock, which includes 1,373 shares acquired under the company’s Amended and Restated 2014 Employee Stock Purchase Plan on December 31, 2025.

Were the Ocular Therapeutix (OCUL) equity awards to Peter Kaiser direct or indirect holdings?

Both the RSUs and the stock option are reported as direct (D) holdings of Peter Kaiser, with no separate entity or indirect ownership structure indicated in the filing.

Did Peter Kaiser pay anything at grant for the new Ocular Therapeutix (OCUL) awards?

The filing lists a transaction price of $0 for both the 79,112 RSUs and the 240,932-share stock option, indicating they were granted as equity compensation rather than purchased for cash at the time of grant.