Ocular Therapeutix executive sells 35,370 shares

The automatic instruction implemented a tax-withholding election tied to restricted stock units that vested November 4, 2026, and the sale was not discretionary.

Available on EDGAR 11/09/2026 - 04:29 PM EST Accepted by SEC EDGAR 11/09/2026 - 04:29 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Ocular Therapeutix Chief Business Officer Namrata Saroj sold 35,370 shares of common stock on November 5, 2026, at a weighted average price of $6.55 per share. The sale followed a durable automatic sale instruction adopted February 4, 2025, and implemented her sell-to-cover election for tax withholding on restricted stock units that vested November 4, 2026; it was not discretionary. After the sale, she directly held 220,522 shares, including 1,272 shares acquired under the Employee Stock Purchase Plan on June 30, 2026.

Insider Trade Summary 10b5-1

Net Seller: 35,370 shares

Net Sell 1 txn

Insider Saroj Namrata

Role Chief Business Officer

Sold 35,370 shs ($232K)

Share of Position Sold 13.8%

Type	Security	Shares	Price	Value
Sale	Common Stock F1, F2, F3	35,370	$6.55	$232K

Holdings After Transaction: Common Stock — 220,522 shares (Direct)

Holdings Before and After: Common Stock, 255,892 to 220,522 shares (Direct)

Other Insiders: 1 other insider reported open-market sales of this stock in the 30 days up to this filing.

Footnotes (3)

1. F1. 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 February 4, 2025, 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 November 4, 2026. The sales do not represent a discretionary trade by the reporting person.
2. F2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.4300 to $6.6664, inclusive. The reporting person undertakes to provide to the Corporation, any security holder of 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
3. F3. Includes 1,272 shares of common stock acquired under the Corporation's Amended and Restated 2014 Employee Stock Purchase Plan on June 30, 2026.

Key Figures

Common stock sold: 35,370 shares Weighted average sale price: $6.55 per share Sale price range: $6.4300 to $6.6664 per share +2 more

5 metrics

Common stock sold 35,370 shares November 5, 2026

Weighted average sale price $6.55 per share Sale on November 5, 2026

Sale price range $6.4300 to $6.6664 per share Prices across multiple transactions

Direct shares held after sale 220,522 shares Following the November 5, 2026 transaction

Employee Stock Purchase Plan shares acquired 1,272 shares June 30, 2026; included in shares held after the sale

Key Terms

durable automatic sale instruction, sell-to-cover election, weighted average price, restricted stock units, +1 more

5 terms

durable automatic sale instruction financial

"pursuant to a durable automatic sale instruction"

sell-to-cover election financial

"effecting the sell-to-cover election"

weighted average price financial

"The price reported in Column 4 is a weighted average price"

Weighted average price is the average price of a security where each trade or component is counted according to its size, so bigger trades pull the average more than smaller ones. Think of it like calculating the average cost of a grocery haul where items you bought more of have greater influence on the final per-item cost. Investors use it to understand the true average price paid or received, judge execution quality, and compare trading performance against market movement.

restricted stock units financial

"in connection with the vesting of restricted stock units"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

Amended and Restated 2014 Employee Stock Purchase Plan financial

"acquired under the Corporation's Amended and Restated 2014 Employee Stock Purchase Plan"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many OCUL shares did the chief business officer sell and at what price?

Namrata Saroj sold 35,370 shares on November 5, 2026, at a weighted average price of $6.55 per share. The individual shares were sold in multiple transactions at prices ranging from $6.4300 to $6.6664 per share.

Why did the OCUL chief business officer sell shares?

The shares were sold to satisfy tax withholding obligations tied to restricted stock units that vested November 4, 2026. The sale implemented Namrata Saroj’s sell-to-cover election under a durable automatic sale instruction adopted February 4, 2025, and was not discretionary.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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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^*

Saroj Namrata

(Last) (First) (Middle)

C/O OCULAR THERAPEUTIX, INC.

14 CROSBY DRIVE, 3RD FLOOR

(Street)

BEDFORD MASSACHUSETTS 01730

(City) (State) (Zip)

UNITED STATES

(Country)

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 Business Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
11/05/2026

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

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

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

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	11/05/2026		S(1)		35,370(1)	D	$6.55(2)	220,522(3)	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 February 4, 2025, 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 November 4, 2026. 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 $6.4300 to $6.6664, inclusive. The reporting person undertakes to provide to the Corporation, any security holder of 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

3. Includes 1,272 shares of common stock acquired under the Corporation's Amended and Restated 2014 Employee Stock Purchase Plan on June 30, 2026.

	/s/ Todd Anderman, Attorney-in-Fact for Namrata Saroj	11/09/2026
	** 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.
* Form 4: SEC 1474 (03-26)