| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | OCUL | Common Stock, $0.0001 par value per share | Purchase | $4,999,998 | +1,538,461 | +25% | $3.25 | 7,660,550 | 14 Dec 2023 | By Family Client | F1, F2, F3 |
| Id | Content |
|---|---|
| F1 | These shares of Common Stock, $0.0001 par value per share (the "Common Stock"), were purchased in connection with a public offering consummated by the registrant on December 14, 2023 pursuant to a Rule 424(b)(5) prospectus supplement filed with the Securities and Exchange Commission on December 14, 2023. |
| F2 | Reporting Person is a family office of the same family under Investment Advisers Act of 1940 Rule 202(a)(11)(G)-1 (the "Family Office Rule"). Pursuant to investment management agreements ("IMAs") between itself and its "Family Clients" (as defined in the Family Office Rule), Reporting Person exercises voting and dispositive power with respect to the Common Stock, held by each of the Family Clients. The Reporting Person also reports beneficial ownership pursuant to Rule 13d-1 of the Securities Exchange Act of 1934, as amended, pursuant to a Schedule 13D previously filed with the SEC on May 19, 2020, as amended from time to time. |
| F3 | Represents securities beneficially owned by Reporting Person through an IMA entered into with Family Clients. The securities acquired as to which this Form 4 is filed by Reporting Person are owned of record by Cap 1 LLC, a Family Client of Reporting Person ("Cap 1"). Cap 1 is owned over 90% by Crystal Fiduciary Company, LLC, as Trustee of the AR Irrevocable Trust. Reporting Person has no pecuniary interest in the securities beneficially owned by the Family Clients of Reporting Person. |