Under the Securities Exchange Act of 1934
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OCULAR THERAPEUTIX, INC.
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(Name of Issuer)
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Common Stock
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(Title of Class of Securities)
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67576A100
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(CUSIP Number)
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January 29, 2018
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(Date of Event Which Requires Filing of this Statement)
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CUSIP No. 67576A100
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13G
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Page 2 of 6 Pages
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1
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NAMES OF REPORTING PERSONS
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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Summer Road LLC *
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a)☐
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(b)☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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Delaware
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5
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SOLE VOTING POWER
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3,027,488
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6
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SHARED VOTING POWER
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-0-
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7
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SOLE DISPOSITIVE POWER
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3,027,488
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8
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SHARED DISPOSITIVE POWER
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-0-
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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3,027,488 **
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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☐
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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8.4%***
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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OO
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CUSIP No. 67576A100
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13G
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Page 3 of 6 Pages
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Item 1(a). | Name of Issuer: |
Item 1(b). | Address of Issuer's Principal Executive Offices: |
Item 2(a). | Name of Person Filing: |
The Statement is filed on behalf of the following persons (the "Reporting Person"):
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Summer Road LLC
The Reporting Person is a family office
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Item 2(b). | Address of Principal Business Office or, if none, Residence: |
Item 2(c). | Citizenship: |
Summer Road LLC is a Delaware limited liability company.
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Item 2(d). | Title of Class of Securities: |
Common stock ("Common Stock").
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Item 2(e). |
CUSIP Number:
67576A100
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Item 3 |
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: ☐
This Item 3 is not applicable.
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Item 4 |
Ownership:
This calculation is rounded to the nearest tenth and is based upon 36,158,202 shares of common stock to be outstanding as of January 29, 2017 as reported in the Company's Prospectus Supplement filed pursuant to Rule 424(b)(5) on January 25, 2018.
As of February 6, 2018:
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CUSIP No. 67576A100
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13G
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Page 4 of 6 Pages
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(a) |
Amount beneficially owned:
3,027,488
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(b) |
Percent of class:
8.4%
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(c) | Number of shares as to which the person has: |
(i) |
Sole power to vote or to direct the vote:
3,027,488
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(ii) |
Shared power to vote or to direct the vote:
-0-
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(iii) |
Sole power to dispose or to direct the disposition of:
3,027,488
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(iv) |
Shared power to dispose or to direct the disposition of:
-0-
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CUSIP No. 67576A100
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13G
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Page 5 of 6 Pages
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Item 5. |
Ownership of Five Percent or Less of a Class.
Not applicable.
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Item 6. |
Ownership of More Than Five Percent on Behalf of Another Person.
The securities as to which this Schedule is filed by the Reporting Person are owned of record by two Family Clients of the Reporting Person. The following Family Client is the owner of record of more than five percent of the Common Stock of the issuer:
Cap 1 LLC
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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.
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Item 10.
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Certification.
The Reporting Person makes the following certification:
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CUSIP No. 67576A100
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13G
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Page 6 of 6 Pages
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SUMMER ROAD LLC
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By:
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/s/ Richard A. Silberberg
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Name: Richard A. Silberberg
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Title: Chief Operating Officer
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