Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
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UNITED STATES |
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SECURITIES AND EXCHANGE COMMISSION |
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Washington, D.C. 20549 |
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SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b)
(Amendment No. 2)*
Ocular Therapeutix, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
675767A100
(CUSIP Number)
December 31, 2019
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o |
Rule 13d-1(b) |
o |
Rule 13d-1(c) |
x |
Rule 13d-1(d) |
*The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP No. 675767A100 |
13 G |
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1 |
Names of Reporting Persons. | |||||
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2 |
Check the Appropriate Box if a Member of a Group* | |||||
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(a) |
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(b) |
x (1) | ||||
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3 |
SEC Use Only | |||||
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4 |
Citizenship or Place of Organization | |||||
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Number of |
5 |
Sole Voting Power | |||||
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6 |
Shared Voting Power | ||||||
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7 |
Sole Dispositive Power | ||||||
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8 |
Shared Dispositive Power | ||||||
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9 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||||
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10 |
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* o | |||||
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11 |
Percent of Class Represented by Amount in Row 9 | |||||
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Type of Reporting Person* | |||||
(1) This Schedule 13G is filed by Versant Side Fund III, L.P., a Delaware limited partnership (VSF III), Versant Venture Capital III, L.P., a Delaware limited partnership (VVC III) and Versant Ventures III, LLC, a Delaware limited liability company (VV III and together with VSF III and VVC III, collectively, the Reporting Persons). The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13G.
(2) VV III serves as the sole general partner of VSF III and owns no securities of the Issuer directly. Brian G. Atwood (BGA), Samuel D. Colella (SDC), Ross A. Jaffe (RAJ), William J. Link (WJL), Donald B. Milder (DBM), Rebecca B. Robertson (RBR), Bradley J. Bolzon (BJB), Charles M. Warden (CMW), Robin L. Praeger (RLP) and Barbara N. Lubash (Lubash) are managing directors and/or members of VV III and share voting and dispositive power over the shares held by VSF III. The information with respect to the ownership of the Common Stock by the Reporting Persons filing this statement on Schedule 13G is provided as of December 31, 2019.
(3) This percentage is calculated based upon 48,079,615 shares of Common Stock outstanding as of November 7, 2019 as set forth in the Issuers most recent 10-Q filed with the Securities and Exchange Commissions on November 12, 2019.
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1 |
Names of Reporting Persons. | |||
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2 |
Check the Appropriate Box if a Member of a Group* | |||
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(a) |
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(b) |
x (1) | ||
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3 |
SEC Use Only | |||
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4 |
Citizenship or Place of Organization | |||
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Number of |
5 |
Sole Voting Power | |||
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6 |
Shared Voting Power | ||||
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7 |
Sole Dispositive Power | ||||
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8 |
Shared Dispositive Power | ||||
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9 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10 |
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* o | |||
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11 |
Percent of Class Represented by Amount in Row 9 | |||
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Type of Reporting Person* | |||
(1) This Schedule 13G is filed by Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13G.
(2) VV III serves as the sole general partner of VVC III and owns no securities of the Issuer directly. BGA, SDC, RAJ, WJL, DBM, RBR, BJB, CMW, BNL and RLP are managing directors and/or members of VV III and share voting and dispositive power over the shares held by VVC III. The information with respect to the ownership of the Common Stock by the Reporting Persons filing this statement on Schedule 13G is provided as of December 31, 2019.
(3) This percentage is calculated based upon 48,079,615 shares of Common Stock outstanding as of November 7, 2019 as set forth in the Issuers most recent 10-Q filed with the Securities and Exchange Commissions on November 12, 2019.
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1 |
Names of Reporting Persons | |||
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2 |
Check the Appropriate Box if a Member of a Group* | |||
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(a) |
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(b) |
x (1) | ||
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3 |
SEC Use Only | |||
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4 |
Citizenship or Place of Organization | |||
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Number of |
5 |
Sole Voting Power | |||
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6 |
Shared Voting Power | ||||
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7 |
Sole Dispositive Power | ||||
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8 |
Shared Dispositive Power | ||||
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9 |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10 |
Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* o | |||
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11 |
Percent of Class Represented by Amount in Row 9 | |||
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Type of Reporting Person* | |||
(1) This Schedule 13G is filed by the Reporting Persons. The Reporting Persons expressly disclaim status as a group for purposes of this Schedule 13G.
(2) Includes: (i) 13,007 shares held by VSF III; and (ii) 2,202,377 shares held by VVC III. VV III serves as the sole general partner of VSF III and VVC III and owns no securities of the Issuer directly. BGA, SDC, RAJ, WJL, DBM, RBR, BJB, CMW, BNL and RLP are managing directors and/or members of VV III and share voting and dispositive power over the shares held by VSF III and VVC III. The information with respect to the ownership of the Common Stock by the Reporting Persons filing this statement on Schedule 13G is provided as of December 31, 2019.
(3) This percentage is calculated based upon 48,079,615 shares of Common Stock outstanding as of November 7, 2019 as set forth in the Issuers most recent 10-Q filed with the Securities and Exchange Commissions on November 12, 2019.
Introductory Note: This Statement on Schedule 13G is filed on behalf of the Reporting Persons, in respect of shares of Common Stock, par value $0.0001 per share (Common Stock), of Ocular Therapeutix, Inc. (the Issuer). | |||||
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Item 1 | |||||
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(a) |
Name of Issuer: | |||
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Address of Issuers Principal Executive Offices: Bedford, MA 01730 | |||
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Item 2 | |||||
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(a) |
Name of Person(s) Filing: Versant Venture Capital III, L.P. (VVC III) Versant Ventures III, LLC (VV III) | |||
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(b) |
Address of Principal Business Office: One Sansome Street, Suite 3630 San Francisco, CA 94104 | |||
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(c) |
Citizenship: |
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Entities: |
VSF III |
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Delaware, United States of America |
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VVC III |
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Delaware, United States of America |
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VV III |
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Delaware, United States of America |
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Individuals: |
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(d) |
Title of Class of Securities: | |||
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(e) |
CUSIP Number: | |||
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Item 3 |
Not applicable. |
Item 4 |
Ownership. |
The following information with respect to the ownership of the Common Stock by the Reporting Persons filing this statement on Schedule 13G is provided as of December 31, 2019: |
Reporting Persons |
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Shares |
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Sole |
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Shared |
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Sole |
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Shared |
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Beneficial |
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Percentage |
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VSF III |
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13,007 |
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13,007 |
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0 |
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13,007 |
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0 |
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13,007 |
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0.1 |
% |
VVC III |
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2,202,377 |
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2,202,377 |
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0 |
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2,202,377 |
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0 |
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2,202,377 |
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4.6 |
% |
VV III |
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0 |
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0 |
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2,215,384 |
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0 |
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2,215,384 |
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2,215,384 |
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4.6 |
% |
(1) VV III serves as the sole general partner of VSF III and VVC III and owns no securities of the Issuer directly. BGA, SDC, RAJ, WJL, DBM, RBR, BJB, CMW, BNL and RLP are managing directors and/or members of VV III and share voting and dispositive power over the shares held by VSF III and VVC III.
(2) This percentage is calculated based upon 48,079,615 shares of Common Stock outstanding as of November 7, 2019.
Item 5 |
Ownership of Five Percent or Less of a Class. |
If this statement is being filed to report the fact that as of the date hereof, the Reporting Persons have ceased to be the beneficial owner of more than five percent of the class of securities, check the following: x | |
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Item 6 |
Ownership of More than Five Percent on Behalf of Another Person. |
See Items 2(a) and 4. | |
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Item 7 |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. |
Not applicable. | |
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Item 8 |
Identification and Classification of Members of the Group. |
Not applicable. | |
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Item 9 |
Notice of Dissolution of Group. |
Not applicable. |
Item 10 |
Certification. |
Not applicable. |
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: February 14, 2020
Versant Side Fund III, L.P. |
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By: |
Versant Ventures III, LLC |
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Its: |
General Partner |
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By: |
/s/ Robin L. Praeger |
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Authorized Representative |
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Versant Venture Capital III, L.P. |
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By: |
Versant Ventures III, LLC |
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Its: |
General Partner |
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By: |
/s/ Robin L. Praeger |
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Authorized Representative |
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Versant Ventures III, LLC |
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By: |
/s/ Robin L. Praeger |
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Managing Member |
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Exhibit(s):
A - Joint Filing Statement
EXHIBIT A
JOINT FILING STATEMENT
We, the undersigned, hereby express our agreement that the attached Schedule 13G (or any amendments thereto) relating to the Common Stock of Ocular Therapeutix, Inc. is filed on behalf of each of us.
Dated: February 14, 2020
Versant Side Fund III, L.P. |
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By: |
Versant Ventures III, LLC |
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Its: |
General Partner |
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By: |
/s/ Robin L. Praeger |
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Authorized Representative |
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Versant Venture Capital III, L.P. |
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By: |
Versant Ventures III, LLC |
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Its: |
General Partner |
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By: |
/s/ Robin L. Praeger |
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Authorized Representative |
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Versant Ventures III, LLC |
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By: |
/s/ Robin L. Praeger |
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Managing Member |
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