OCULAR THERAPEUTIX INC

For the period ended Dec 31, 2023. Filed Mar 11, 2024.

About this filing

A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.

FY2023 · Filed Mar 11, 2024

OCUL$6.85+3.9%Stored close · as of Nov 9, 2026

Extracted filing text, with the paragraph anchors used by the comparison.

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Contents

Item 16. Form 10-K Summary

None.

EXHIBIT INDEX

· · · · Incorporated by Reference · ·
ExhibitNumber · Description of Exhibit · Form · File Number · Date ofFiling · ExhibitNumber · FiledHerewith
3.1	Restated Certificate of Incorporation of the Registrant, as amended	10-Q	001-36554	8/9/2021	3.1

3.2	Amended and Restated By-laws of the Registrant	8-K	001-36554	7/30/2014	3.2

4.1	Specimen Stock Certificate evidencing the shares of common stock	S-1/A	333-196932	7/11/2014	4.1

4.2	Registration Rights Agreement, dated as of March 1, 2019, by and among the Registrant and the Purchasers identified therein	10-K	001-36554	3/7/2019	4.2

4.3	Registration Rights Agreement, dated as of February 21, 2024, by and among the Registrant and the other parties thereto	8-K	001-36554	2/22/2024	10.2

4.4	Form of Pre-Funded Warrant	8-K	001-36554	2/22/2024	4.1

4.5	Description of Securities Registered under Section 12 of the Exchange Act	10-K	001-36554	2/28/2022	4.3

10.1+	2006 Stock Incentive Plan, as amended	S-1	333-196932	6/20/2014	10.1

10.2+	Form of Stock Option Agreement under 2006 Stock Incentive Plan	S-1	333-196932	6/20/2014	10.2

10.3+	Form of Restricted Stock Agreement under 2006 Stock Incentive Plan	S-1	333-196932	6/20/2014	10.3

10.4+	2014 Stock Incentive Plan	S-1/A	333-196932	7/11/2014	10.4

10.5+	Form of Incentive Stock Option Agreement under 2014 Stock Incentive Plan	S-1/A	333-196932	7/11/2014	10.5

10.6+	Form of Non-statutory Stock Option Agreement under 2014 Stock Incentive Plan	S-1/A	333-196932	7/11/2014	10.6

10.7+	Form of Restricted Stock Agreement under 2014 Stock Incentive Plan	S-1/A	333-196932	7/11/2014	10.7

10.8+	2019 Inducement Stock Incentive Plan	10-Q	001-36554	11/12/2019	10.1

· · · · Incorporated by Reference · ·
ExhibitNumber · Description of Exhibit · Form · File Number · Date ofFiling · ExhibitNumber · FiledHerewith

10.9+	Amendment to 2019 Inducement Stock Incentive Plan	10-K	001-36554	3/11/2021	10.9

10.10+	Amendment No. 2 to 2019 Inducement Stock Incentive Plan	8-K	001-36554	2/22/2024	10.5

10.11+	Form of Non-statutory Stock Option Agreement under 2019 Inducement Stock Incentive Plan	10-Q	001-36554	11/12/2019	10.2

10.12+	Form of Restricted Stock Unit Agreement under 2019 Inducement Stock Incentive Plan					X

10.13†	Amended and Restated License Agreement, dated January 27, 2012, between the Registrant and Incept LLC	S-1	333-196932	6/20/2014	10.8

10.14	Lease Agreement dated September 2, 2009, by and between the Registrant and RAR2-Crosby Corporate Center QRS, Inc., as amended.	S-1	333-196932	6/20/2014	10.9

10.15+	2014 Employee Stock Purchase Plan	S-1/A	333-196932	7/11/2014	10.10

10.16+	Amendment No. 1 to Employee Stock Purchase Plan, effective October 4, 2023	10-Q	001-36554	11/7/2023	10.3

10.17	Form of Indemnification Agreement by and between the Registrant and each of its directors and executive officers	S-1	333-196932	6/20/2014	10.12

10.18	Lease Agreement dated June 17, 2016 between the WS NF 15 Crosby Drive, LLC and the Registrant	10-Q	001-36554	8/9/2016	10.1

10.19	Open Market Sale Agreement, dated as of August 9, 2021, by and between the Registrant and Jefferies LLC	8-K	001-36554	8/9/2021	1.1

10.20+	Employment Agreement, by and between the Registrant and Philip Strassburger, dated August 28, 2020	10-K	001-36554	3/11/2021	10.19

· · · · Incorporated by Reference · ·
ExhibitNumber · Description of Exhibit · Form · File Number · Date ofFiling · ExhibitNumber · FiledHerewith
10.21+	Employment Agreement, by and between the Registrant and Antony C. Mattessich, dated as of June 20, 2017	8-K	001-36554	6/22/2017	10.2

10.22+	Amendment to Employment Agreement by and between the Registrant and Antony C. Mattessich, dated as of February 21, 2024	8-K	001-36554	2/22/2024	10.4

10.23+	Non-Statutory Stock Option Agreement, by and between the Registrant and Antony C. Mattessich dated as of June 20, 2017	8-K	001-36554	6/22/2017	10.3

10.24+	Employment Agreement, by and between the Registrant and Donald Notman, dated as of September 25, 2017	8-K	001-36554	9/25/2017	10.1

10.25	Second Amendment to Lease, by and between the Registrant and CCC Investors LLC, dated October 10, 2017	8-K	001-36554	10/16/2017	10.1

10.26	Third Amendment to Lease, by and between the Registrant and Cobalt PropCo 2020 LLC, dated June 30, 2023	8-K	001-36554	7/7/2023	10.1

10.27†	Second Amended and Restated License Agreement, dated September 13, 2018, by and between the Registrant and Incept LLC	8-K	001-36554	9/19/2018	10.1

10.28	Note Purchase Agreement (including Form of Senior Subordinated Convertible Notes), dated as of February 21, 2019, by and among the Registrant and the Purchasers listed therein	8-K	001-36554	2/22/2019	10.1

10.29	Amendment No. 1 to Senior Subordinated Convertible Note, dated as of August 2, 2023, between the Registrant and the holders thereof	10-Q	001-36554	11/7/2023	10.2

10.30	Securities Purchase Agreement, dated February 21, 2024, by and among the Registrant and the other parties thereto	8-K	001-36554	2/22/2024	10.1

· · · · Incorporated by Reference · ·
ExhibitNumber · Description of Exhibit · Form · File Number · Date ofFiling · ExhibitNumber · FiledHerewith

10.31	Sublease, dated as of April 4, 2019, by and among Ocular Therapeutix, Inc. and Holcim (US) Inc.	10-Q	001-36554	5/10/2019	10.4

10.32*	License Agreement, by and between the Registrant and AffaMed Therapeutics Limited, dated as of October 29, 2020	10-Q	001-36554	11/5/2020	10.1

10.33*	Supplement to License Agreement, by and between the Registrant and AffaMed Therapeutics Limited, dated as of January 18, 2021	10-K	001-36554	3/11/2021	10.36

10.34	Credit and Security Agreement, dated August 2, 2023, by and among Barings Finance LLC, as administrative agent, the Registrant, and the Lenders listed therein	10-Q	001-36554	11/7/2023	10.1

10.35+	2021 Stock Incentive Plan, as amended	10-Q	001-36554	8/7/2023	10.2

10.36+	Form of Option Grant Agreement under 2021 Stock Incentive Plan	10-K	001-36554	2/28/2022	10.39

10.37+	Form of Restricted Stock Unit Agreement under 2021 Stock Incentive Plan					X

10.38	Amendment No. 1 to License Agreement, by and between the Registrant and AffaMed Therapeutics (HK) Limited, dated as of October 28, 2021	10-K	001-36554	2/28/2022	10.41

10.39+	Employment Agreement, by and between the Registrant and Rabia Ozden-Gurses, dated as of September 28, 2022	10-K	001-36554	3/6/2023	10.44

10.40+	Employment Agreement, by and between the Registrant and Christopher White, dated as of October 13, 2022	10-K	001-36554	3/6/2023	10.45

10.41+	Employment Agreement, by and between the Registrant and Dr. Pravin U. Dugel, dated as of February 21, 2024	8-K	001-36554	2/22/2024	10.3

Incorporated by Reference

ExhibitNumber

Description of Exhibit

Form

File Number

Date ofFiling

ExhibitNumber

FiledHerewith

10.42+

Employment Agreement, by and between the Registrant and Dr. Sanjay Nayak, dated as of February 21, 2024

21.1

Subsidiaries of the Registrant

23.1

Consent of PricewaterhouseCoopers LLP

31.1

Certification of principal executive officer pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act of 1934, as amended

31.2

Certification of principal financial officer pursuant to Rule 13a-14(a)/15d-14(a) of the Securities Exchange Act of 1934, as amended

32.1

Certification of principal executive officer pursuant to 18 U.S.C. §1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

32.2

Certification of principal financial officer pursuant to 18 U.S.C. §1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002

97.1

Ocular Therapeutix, Inc. Compensation Recovery Policy

101.INS

Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL document)

101.SCH

Inline XBRL Taxonomy Extension Schema Document

101.CAL

Inline XBRL Taxonomy Extension Calculation Linkbase Document

101.LAB

Inline XBRL Taxonomy Extension Label Linkbase Database

101.PRE

Inline XBRL Taxonomy Extension Presentation Linkbase Document

101.DEF

Inline XBRL Taxonomy Extension Definition Linkbase Document

104

The cover page from this Annual Report on Form 10-K, formatted in Inline XBRL and contained in Exhibit 101

†	Confidential treatment has been granted as to certain portions, which portions have been omitted and separately filed with the Securities and Exchange Commission.

+	Management contract or compensatory plan or arrangement filed in response to Item 15(a)(3) of the Instructions to the Annual Report on Form 10-K.

*	Certain portions of this exhibit have been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K.

SIGNATURES

Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

Date: March 11, 2024


	OCULAR THERAPEUTIX, INC.

	By:	/s/ Donald Notman
		Donald Notman
		Chief Financial Officer
		(Principal Financial and Accounting Officer)

Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed by the following persons on behalf of the registrant in the capacities and on the dates indicated.

Signature	Title	Date

/s/ Antony Mattessich	President, Chief Executive Officer and Director
Antony Mattessich	(Principal Executive Officer)	March 11, 2024

/s/ Donald Notman	Chief Financial Officer	March 11, 2024
Donald Notman	(Principal Financial and Accounting Officer)

/s/ Pravin Dugel, M.D.	Executive Chairman of the Board of Directors	March 11, 2024
Pravin Dugel, M.D.

/s/ Adrienne Graves, Ph.D.	Director	March 11, 2024
Adrienne Graves, Ph.D.

/s/ Seung Suh Hong, Ph.D.	Director	March 11, 2024
Seung Suh Hong, Ph.D.

/s/ Richard L. Lindstrom, M.D.	Director	March 11, 2024
Richard L. Lindstrom, M.D.

/s/ Merilee Raines	Director	March 11, 2024
Merilee Raines

/s/ Charles Warden	Director	March 11, 2024
Charles Warden

/s/ Leslie Williams	Director	March 11, 2024
Leslie Williams

Index to CONSOLIDATED FINANCIAL STATEMENTS


		Page
Report of Independent Registered Public Accounting Firm (PCAOB ID 238)		F-2
Consolidated Balance Sheets		F-4
Consolidated Statements of Operations and Comprehensive Loss		F-5
Consolidated Statements of Changes in Stockholders’ Equity (Deficit)		F-6
Consolidated Statements of Cash Flows		F-7
Notes to Consolidated Financial Statements		F-8

ContentsView on SEC.gov

The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.