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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/25/24 Ocular Therapeutix, Inc. S-3ASR 3/25/24 4:343K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: S-3ASR Automatic Shelf Registration Statement by a HTML 260K Well-Known Issuer 2: EX-5.1 Opinion of Counsel re: Legality HTML 11K 3: EX-23.1 Consent of Expert or Counsel HTML 5K 4: EX-FILING FEES Filing Fees HTML 20K
tm249621-1_s3asr - none - 3.1093776s |
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Delaware
(State or Other Jurisdiction of Incorporation or Organization)
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20-5560161
(I.R.S. Employer Identification Number)
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Stuart M. Falber, Esq.
C.S. Avery Reaves, Esq. Wilmer Cutler Pickering Hale and Dorr LLP 60 State Street Boston, Massachusetts 02109 (617) 526-6000 |
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Large accelerated filer
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Accelerated filer
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Non-accelerated filer
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Smaller reporting company
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Emerging growth company
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Page
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| | | | 1 | | | |
| | | | 4 | | | |
| | | | 5 | | | |
| | | | 7 | | | |
| | | | 8 | | | |
| | | | 14 | | | |
| | | | 16 | | | |
| | | | 16 | | | |
| | | | 16 | | | |
| | | | 16 | | |
Name of Selling Stockholder
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Shares of Common Stock
Beneficially Owned Prior to Offering |
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Number of
Shares of Common Stock Being Offered(1) |
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Shares of Common Stock to
be Beneficially Owned After Offering(2) |
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Number
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Percentage
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Offered
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Number
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Percentage
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Deep Track Biotechnology Master Fund, Ltd.(3)
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| | | | 13,885,178 | | | | | | 9.3% | | | | | | 4,654,409 | | | | | | 9,230,769 | | | | | | 6.2% | | |
Entities affiliated with Summer Road LLC(4)
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| | | | 14,360,633 | | | | | | 9.3% | | | | | | 930,851 | | | | | | 13,429,782 | | | | | | 8.7% | | |
Entities affiliated with Venrock Healthcare Capital Partners(5)
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| | | | 13,760,200 | | | | | | 9.1% | | | | | | 5,984,440 | | | | | | 7,775,760 | | | | | | 5.2% | | |
Avoro Life Sciences Fund LLC(6)
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| | | | 11,803,810 | | | | | | 7.7% | | | | | | 11,303,810 | | | | | | 500,000 | | | | | | * | | |
Opaleye, L.P.(7)
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| | | | 6,768,138 | | | | | | 4.6% | | | | | | 698,138 | | | | | | 6,070,000 | | | | | | 4.1% | | |
Logos Global Master Fund LP(8)
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| | | | 5,811,436 | | | | | | 3.9% | | | | | | 1,961,436 | | | | | | 3,850,000 | | | | | | 2.6% | | |
TCG Crossover Fund II, L.P.(9)
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| | | | 5,319,148 | | | | | | 3.6% | | | | | | 5,319,148 | | | | | | — | | | | | | — | | |
Venrock Opportunities Fund, L.P.(10)
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| | | | 3,989,627 | | | | | | 2.6% | | | | | | 3,989,627 | | | | | | — | | | | | | — | | |
Perceptive Life Sciences Master Fund, Ltd.(11)
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| | | | 3,324,468 | | | | | | 2.2% | | | | | | 3,324,468 | | | | | | — | | | | | | — | | |
Entities affiliated with Acuta Capital Partners, LLC(12)
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| | | | 2,635,287 | | | | | | 1.8% | | | | | | 1,329,787 | | | | | | 1,305,500 | | | | | | * | | |
Citadel CEMF Investments Ltd.(13)
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| | | | 1,994,680 | | | | | | 1.3% | | | | | | 1,994,680 | | | | | | — | | | | | | — | | |
Entities affiliated with Great Point Partners,
LLC(14) |
| | | | 1,728,723 | | | | | | 1.2% | | | | | | 1,728,723 | | | | | | — | | | | | | — | | |
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SEC registration fee
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| | | $ | 60,539 | | |
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Legal fees and expenses
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| | | $ | 50,000 | | |
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Accounting fees and expenses
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| | | $ | 50,000 | | |
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Miscellaneous fees and expenses
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| | | $ | 50,000 | | |
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Total expenses
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| | | $ | 210,539 | | |
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Exhibit
Number |
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Description
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4.1(1)
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4.2(2)
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4.3(3)
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4.4(4)
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4.5(5)
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Exhibit
Number |
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Description
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5.1*
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23.1*
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23.2*
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24.1*
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107*
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| | | | OCULAR THERAPEUTIX, INC. | | |||
| | | | By: | | |
Name: Antony Mattessich
Title:
President and Chief Executive Officer
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Signature
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Title
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Date
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| | President, Chief Executive Officer and Director (Principal Executive Officer) | | | | |
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/s/ Donald Notman
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| | Chief Financial Officer (Principal Financial and Accounting Officer) | | | | |
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| | Executive Chairman of the Board of Directors | | | | |
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| | Director | | | | |
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| | Director | | | | |
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| | Director | | | | |
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/s/ Merilee Raines
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| | Director | | | |
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Signature
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Title
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Date
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/s/ Charles Warden
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| | Director | | | | |
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/s/ Leslie Williams
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| | Director | | | |
This ‘S-3ASR’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on / Effective on: | 3/25/24 | |||
3/22/24 | ||||
3/6/24 | ||||
2/26/24 | 3, 4 | |||
2/22/24 | 4, 8-K, S-8 | |||
2/21/24 | 3 | |||
12/31/23 | 10-K | |||
2/28/22 | 10-K, 8-K, POS AM, POSASR, S-8 | |||
12/31/21 | 10-K | |||
8/9/21 | 10-Q, 424B5, 8-K, S-8, S-8 POS | |||
7/30/14 | 4, 8-K | |||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/11/24 Ocular Therapeutix, Inc. 10-K 12/31/23 110:12M Toppan Merrill Bridge/FA 2/22/24 Ocular Therapeutix, Inc. 8-K:1,2,3,5 2/20/24 17:884K Toppan Merrill/FA 1/25/24 Ocular Therapeutix, Inc. 8-K:8 1/25/24 10:186K Toppan Merrill/FA 5/01/23 Ocular Therapeutix, Inc. DEF 14A 6/14/23 1:1.5M Toppan Merrill Bridge/FA 3/06/23 Ocular Therapeutix, Inc. 10-K 12/31/22 102:11M Toppan Merrill Bridge/FA 2/28/22 Ocular Therapeutix, Inc. 10-K 12/31/21 107:10M Toppan Merrill Bridge/FA 8/09/21 Ocular Therapeutix, Inc. 10-Q 6/30/21 76:6.5M Toppan Merrill Bridge/FA 7/30/14 Ocular Therapeutix, Inc. 8-K:5,9 7/30/14 3:174K Donnelley … Solutions/FA 7/21/14 Ocular Therapeutix, Inc. 8-A12B 1:12K Donnelley … Solutions/FA |