Ocular Therapeut SEC Filings

Ocular Therapeutix (OCUL) filing a Form 144 notifies the proposed sale of 10,502 common shares with an aggregate market value of $115,889.57. The shares were acquired on 10/01/2025 through restricted stock vesting under a registered plan, and the proposed approximate sale date is 10/02/2025 through Morgan Stanley Smith Barney LLC on NASDAQ. The filing reports 173,995,221 shares outstanding for the issuer. It also discloses a recent sale by the same person: 3,063 shares sold on 08/25/2025 for $36,882.81. The filer affirms they are not aware of any undisclosed material adverse information.

OCULAR THERAPEUTIX, INC. (OCUL) filed a Form 144 notifying a proposed sale of 9,653 common shares through Morgan Stanley Smith Barney LLC with an aggregate market value of $106,516.03. The sale is scheduled approximately for 10/02/2025 on NASDAQ. The shares were acquired on 10/01/2025 as restricted stock vesting under a registered plan and payment (if any) is noted as Not Applicable. The filing names Peter Kazuo Kaiser as a seller who previously sold 3,011 shares on 08/25/2025 for $36,252.74. The notice includes the seller's representation that they are not aware of undisclosed material adverse information about the issuer.

Ocular Therapeutix, Inc. is offering 37,909,018 shares of common stock at a market reference price of $12.53 per share, with expected delivery on or about October 1, 2025. After the offering the company would have 210,834,407 shares outstanding and expects net proceeds of approximately $445.9 million. As of June 30, 2025, the company reported $391.1 million in cash and cash equivalents and says the combined cash resources are expected to fund planned clinical and pre-commercial activities into 2028 under its current operating plan.

Proceeds are earmarked to fund AXPAXLI development and clinical programs including the SOL-X open-label extension and the HELIOS-2 and HELIOS-3 Phase 3 trials, manufacturing and infrastructure investments, pre-commercialization activities for AXPAXLI if approved, and general corporate purposes. The company discloses immediate dilution to new investors of $8.96 per share versus the offering price and highlights lock-up agreements and customary underwriting arrangements for the offering.

Ocular Therapeutix (OCUL) filed a Form S-3 shelf registration dated September 30, 2025 to offer, from time to time, debt securities, common stock, preferred stock, depositary shares, warrants, and units. The prospectus describes general terms; specific offering terms will appear in prospectus supplements. OCUL's common stock trades on The Nasdaq Global Market under the symbol OCUL. Proceeds are intended for general corporate purposes including R&D, clinical trials, regulatory submissions, commercialization, manufacturing, acquisitions, debt repayment and working capital. The filing incorporates by reference recent annual and quarterly reports, certain current reports and an updated capital stock description. The prospectus discloses key forward-looking programs including Phase 3 SOL-1 and SOL-R trials for AXPAXLI (OTX-TKI), a Phase 2 trial for OTX-TIC, and commercial activity for DEXTENZA, an FDA-approved product.

Pravin Dugel, Executive Chairman, President and CEO of Ocular Therapeutix, Inc. (OCUL), reported intra-family transfers on Form 4. On 09/09/2025 he transferred 49,754 shares of the company's common stock to his spouse for no consideration and, on the same date, a corresponding entry shows 49,754 shares recorded as acquired indirectly by spouse. After the reported transactions, Mr. Dugel directly owned 3,177,490 shares and had indirect ownership stakes of 250,361 shares through the Pravin Dugel 2024 Irrevocable Trust and 49,754 shares held by his spouse. The Form 4 was signed by an attorney-in-fact on 09/11/2025.

Donald Notman, Chief Financial Officer and Chief Operating Officer of Ocular Therapeutix, Inc. (OCUL), reported a routine, non-discretionary sale of company stock tied to tax withholding after restricted stock unit vesting. The Form 4 shows 1,066 shares of common stock were sold on 09/02/2025 at a weighted-average price of $12.43 under a durable automatic sales instruction to satisfy withholding from RSUs that vested on 08/29/2025. After the reported sale, the reporting person beneficially owned 308,807 shares, which includes 1,429 shares purchased under the company’s ESPP on 06/30/2025. The filing is an individual Form 4 reporting officer activity and clarifies the sale was not a discretionary trade.

Ocular Therapeutix, Inc. (OCUL) filed a Form 144 reporting a proposed sale of 1,066 shares of common stock through Morgan Stanley Smith Barney LLC with an aggregate market value of $13,245.37. The filing shows these shares represent part of the issuer's outstanding common shares of 173,995,221 and identifies the approximate sale date as 09/02/2025 on NASDAQ. The shares were acquired on 08/29/2025 as restricted stock vesting under a registered plan; payment and transfer were recorded that same date. The filer reports no securities sold in the past three months and includes the standard representation regarding absence of undisclosed material adverse information.