# EDGAR Filing Document

**Accession Number:** 0001393434
**File Stem:** 0001104659-25-058525
**Filing Date:** 2025-6
**Character Count:** 18881
**Document Hash:** 9b23d6c69783fc96accb6e433ca28126
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-25-058525.hdr.sgml**: 20250611

**ACCESSION NUMBER**: 0001104659-25-058525

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20250611

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**ITEM INFORMATION**: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20250611

**DATE AS OF CHANGE**: 20250611

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** OCULAR THERAPEUTIX, INC
- **CENTRAL INDEX KEY:** 0001393434
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36554
- **FILM NUMBER:** 251039897

**BUSINESS ADDRESS:**
- **STREET 1:** 15 CROSBY DRIVE
- **CITY:** BEDFORD
- **STATE:** MA
- **ZIP:** 01730
- **BUSINESS PHONE:** 781-357-4000

**MAIL ADDRESS:**
- **STREET 1:** 15 CROSBY DRIVE
- **CITY:** BEDFORD
- **STATE:** MA
- **ZIP:** 01730

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** I-THERAPEUTIX INC
- **DATE OF NAME CHANGE:** 20070315

?xml version='1.0' encoding='ASCII'?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d)**

**of the Securities Exchange Act of 1934**

Date of Report (Date of earliest event reported): **June 11, 2025**

**OCULAR THERAPEUTIX, INC.**

(Exact Name of Registrant as Specified in its Charter)

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-36554** | **20-5560161** |
| (State or Other Jurisdiction <br> of Incorporation) | (Commission<br> File Number) | (IRS Employer<br> Identification No.) |

---

**15 Crosby Drive**

**Bedford** **, MA 01730**

(Address of Principal Executive Offices) (Zip Code)

Registrant's telephone number, including area code: **(781) 357-4000**

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

◻ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

◻ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

◻ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

◻ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

---

| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which<br> registered** |
| **Common Stock, $0.0001 par value per share** | **OCUL** | **The Nasdaq Global Market** |

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company&nbsp;&nbsp;&nbsp;&nbsp;◻

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ◻

---

| | |
|:---|:---|
| **Item 5.02** | **Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.** |

---

On June 11, 2025, Ocular Therapeutix, Inc. (the "Company") held its 2025 Annual Meeting of Stockholders (the "2025 Annual Meeting"). At the 2025 Annual Meeting, the Company's stockholders approved (i) an amendment ("Amendment No. 4") to the Company's 2021 Stock Incentive Plan, as amended (the "2021 Stock Incentive Plan") and (ii) an amendment and restatement of the Company's 2014 Employee Stock Purchase Plan (the "Amended and Restated 2014 Employee Stock Purchase Plan"). Amendment No. 4, which had previously been adopted by the Company's Board of Directors (the "Board") subject to stockholder approval, increased the number of shares of common stock of the Company issuable under the 2021 Stock Incentive Plan by 8,750,000 shares. The Amended and Restated 2014 Employee Stock Purchase Plan, which had also previously been adopted by the Board subject to stockholder approval, increased the number of shares of common stock of the Company issuable thereunder by 2,000,000 shares and eliminated the provisions related to the annual "evergreen" share increase.

A description of the material terms and conditions of Amendment No. 4 is set forth in Proposal 3 on [pages 55 to 69](https://www.sec.gov/Archives/edgar/data/1393434/000155837025005868/ocul-20250611xdef14a.htm#Proposal3AmendmenttotheOcularTherapeutix) of the Company's definitive proxy statement for the 2025 Annual Meeting, filed with the Securities and Exchange Commission on April 29, 2025 (the "2025 Proxy Statement"), and is incorporated herein by reference. A description of the material terms and conditions of the Amended and Restated 2014 Employee Stock Purchase Plan is set forth in Proposal 4 on [pages 70 to 73](https://www.sec.gov/Archives/edgar/data/1393434/000155837025005868/ocul-20250611xdef14a.htm#Proposal4ApprovaloftheOcularTherapeutixI) of the 2025 Proxy Statement and is incorporated herein by reference. These summaries of Amendment No. 4 and the Amended and Restated 2014 Employee Stock Purchase Plan are qualified in their entirety by reference to the full text of the 2021 Stock Incentive Plan, as amended by Amendment No. 4, and the full text of the Amended and Restated 2014 Employee Stock Purchase Plan, copies of which are attached hereto as Exhibit 99.1 and Exhibit 99.2, respectively, and are incorporated herein by reference.

Additionally, as previously disclosed, the Board approved a new compensation package for Pravin Dugel, M.D., the Company's Executive Chairman, President and Chief Executive Officer, on February 11, 2025. As part of this new compensation package, the Board approved for Dr. Dugel long-term equity awards under the 2021 Stock Incentive Plan, including a performance stock option award representing the opportunity to purchase up to 2,750,000 shares of the Company's common stock at an exercise price of $7.44 per share that will vest based upon the achievement of stock price hurdles (the "Performance Option Award"). The commencement of vesting of the Performance Option Award was contingent upon stockholder approval of Amendment No. 4, which was received at the 2025 Annual Meeting.

---

| | |
|:---|:---|
| **Item 5.03** | **Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.** |

---

At the 2025 Annual Meeting, the Company's stockholders approved an amendment to the Company's Restated Certificate of Incorporation, as amended (the "Certificate of Amendment"), to update its existing director exculpation provision to include the exculpation of certain of the Company's senior corporate officers, subject to specified limitations. The Company filed the Certificate of Amendment, which was effective upon filing, with the Secretary of State of the State of Delaware on June 11, 2025.

The foregoing summary of the Certificate of Amendment is qualified in its entirety by reference to the full text of the Certificate of Amendment, a copy of which is attached as Exhibit 3.1 hereto and is incorporated herein by reference.

---

| | |
|:---|:---|
| **Item 5.07** | **Submission of Matters to a Vote of Security Holders.** |

---

The following is a summary of the matters voted on at the 2025 Annual Meeting.

&nbsp;&nbsp;&nbsp;&nbsp;**(1)** The Company's stockholders elected Seung Suh Hong, Ph.D., Richard L. Lindstrom, M.D. and Leslie J. Williams as Class II directors
to serve until the 2028 Annual Meeting of Stockholders, each such director to hold office until his or her successor has been duly elected
and qualified. The results of the stockholders' vote with respect to the election of such Class II directors were as follows:

---

| | | | |
|:---|:---|:---|:---|
| **Name** | **Votes For** | **Votes<br> Withheld** | **Broker<br> Non-Votes** |
| &nbsp;&nbsp;&nbsp;Seung Suh Hong, Ph.D. | 100220435 | 11003210 | 31460400 |
| &nbsp;&nbsp;&nbsp;Richard L. Lindstrom, M.D. | 89771755 | 21451890 | 31460400 |
| &nbsp;&nbsp;&nbsp;Leslie J. Williams | 101077347 | 10146298 | 31460400 |

---

&nbsp;&nbsp;&nbsp;&nbsp;**(2)** The Company's stockholders approved a non-binding, advisory proposal regarding the compensation of the Company's named
executive officers. The results of the stockholders' vote with respect to such proposal were as follows:

---

| | | | |
|:---|:---|:---|:---|
| **For** | **Against** | **Abstain** | **Broker Non-Votes** |
| 83186516 | 27851866 | 185263 | 31460400 |

---

&nbsp;&nbsp;&nbsp;&nbsp;**(3)** The Company's stockholders approved Amendment No. 4 to increase the number of shares of common stock of the Company issuable
under the 2021 Stock Incentive Plan by 8,750,000 shares. The results of the stockholders' vote with respect to such proposal were
as follows:

---

| | | | |
|:---|:---|:---|:---|
| **For** | **Against** | **Abstain** | **Broker Non-Votes** |
| 88785389 | 22350444 | 87812 | 31460400 |

---

&nbsp;&nbsp;&nbsp;&nbsp;**(4)** The Company's stockholders approved the Amended and Restated 2014 Employee Stock Purchase Plan to increase the number of shares
of common stock of the Company issuable thereunder by 2,000,000 shares and to remove the annual "evergreen" provision. The
results of the stockholders' vote with respect to such proposal were as follows:

---

| | | | |
|:---|:---|:---|:---|
| **For** | **Against** | **Abstain** | **Broker Non-Votes** |
| 107048833 | 4117635 | 57177 | 31460400 |

---

&nbsp;&nbsp;&nbsp;&nbsp;**(5)** The Company's stockholders approved the proposal to amend the Company's Restated Certificate of Incorporation, as amended,
to provide for officer exculpation. The results of the stockholders' vote with respect to such proposal were as follows:

---

| | | | |
|:---|:---|:---|:---|
| **For** | **Against** | **Abstain** | **Broker Non-Votes** |
| 105375347 | 5774801 | 73497 | 31460400 |

---

&nbsp;&nbsp;&nbsp;&nbsp;**(6)** The Company's stockholders ratified the selection of PricewaterhouseCoopers LLP as its independent registered public accounting
firm for the fiscal year ending December 31, 2025. The results of the stockholders' vote with respect to such ratification were
as follows:

---

| | | | |
|:---|:---|:---|:---|
| **For** | **Against** | **Abstain** | **Broker Non-Votes** |
| 139215385 | 3425804 | 42856 | ─ |

---

---

| | |
|:---|:---|
| **Item 8.01** | **Other Events.** |

---

*Update regarding SOL-R Clinical Trial*

 

On May 28, 2025, the Company announced that it expected enrollment in SOL-R, the Company's ongoing repeat-dosing registrational Phase 3 clinical trial for AXPAXLI<sup>TM</sup> (also known as OTX-TKI) for the treatment of wet AMD, would close within the week. The Company completed enrollment in the SOL-R clinical trial on May 31, 2025. Based on current and projected loading and randomization failure rates observed in SOL-R to date, the Company believes that it has enrolled enough subjects to ensure its target randomization of at least 555 subjects in SOL-R.

 

 

*Cautionary Note on Forward-Looking Statements*

Any statements in this Current Report on Form 8-K about future expectations, plans, and prospects for the Company, including the design of, and the timing of the enrollment and randomization of patients in, the Company's SOL-R Phase 3 clinical trial of AXPAXLI (also known as OTX-TKI) for the treatment of wet AMD; and other statements containing the words "anticipate", "believe", "estimate", "expect", "intend", "designed", "goal", "may", "might", "plan", "predict", "project", "target", "potential", "will", "would", "could", "should", "continue", and similar expressions, constitute forward-looking statements within the meaning of The Private Securities Litigation Reform Act of 1995. Actual results may differ materially from those indicated by such forward-looking statements as a result of various important factors. Such forward-looking statements involve substantial risks and uncertainties that could cause the Company's development programs, future results, performance, or achievements to differ significantly from those expressed or implied by the forward-looking statements. Such risks and uncertainties include, among others, the initiation, design, timing, conduct and outcomes of ongoing and planned clinical trials; the risk that the FDA may not agree that the protocol and statistical analysis plan of SOL-R supports marketing approval, even if the trial is successful; uncertainty as to whether the data from earlier clinical trials will be predictive of the data of later clinical trials; the risk that fewer enrolled patients than expected will ultimately be randomized into the SOL-R clinical trial or that fewer randomized patients than expected will be retained in the SOL-R clinical trial; the Company's scientific approach and general development progress; and other factors discussed in the "Risk Factors" section contained in the Company's quarterly and annual reports on file with the Securities and Exchange Commission. In addition, the forward-looking statements included in this Current Report on Form 8-K represent the Company's views as of the date of this Current Report on Form 8-K. The Company anticipates that subsequent events and developments may cause the Company's views to change. However, while the Company may elect to update these forward-looking statements at some point in the future, the Company specifically disclaims any obligation to do so, whether as a result of new information, future events or otherwise, except as required by law. These forward-looking statements should not be relied upon as representing the Company's views as of any date subsequent to the date of this Current Report on Form 8-K.

---

| | |
|:---|:---|
| **Item 9.01** | **Financial Statements and Exhibits.** |

---

(d) Exhibits:

---

| | |
|:---|:---|
| [3.1](tm2517563d2_ex3-1.htm) | [Certificate of Amendment of Restated Certificate of Incorporation, as amended, of Ocular Therapeutix, Inc.](tm2517563d2_ex3-1.htm) |
| [99.1](https://www.sec.gov/Archives/edgar/data/1393434/000155837025005868/ocul-20250611xdef14a.htm#Appendix_B) | [Ocular Therapeutix, Inc. 2021 Stock Incentive Plan, as amended, incorporated herein by reference to Appendix B to the Company's definitive proxy statement, filed with the Securities and Exchange Commission on April 29, 2025.](https://www.sec.gov/Archives/edgar/data/1393434/000155837025005868/ocul-20250611xdef14a.htm#Appendix_B) |
| [99.2](https://www.sec.gov/Archives/edgar/data/1393434/000155837025005868/ocul-20250611xdef14a.htm#AppendixC_740978) | [Ocular Therapeutix, Inc. Amended and Restated 2014 Employee Stock Purchase Plan, incorporated herein by reference to Appendix C to the Company's definitive proxy statement, filed with the Securities and Exchange Commission on April 29, 2025.](https://www.sec.gov/Archives/edgar/data/1393434/000155837025005868/ocul-20250611xdef14a.htm#AppendixC_740978) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |

---

**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

---

| | | |
|:---|:---|:---|
|  | OCULAR THERAPEUTIX, INC. | OCULAR THERAPEUTIX, INC. |
| Date: June 11, 2025 | By: | /s/ Donald Notman |
|  |  | Donald Notman |
|  |  | Chief Operating Officer and Chief Financial Officer |

---

## Exhibit 3.1

**Exhibit 3.1**

**CERTIFICATE OF AMENDMENT OF**

**RESTATED CERTIFICATE OF INCORPORATION**

**OF**

**Ocular therapeutix, Inc.**

(Pursuant to Section 242 of the<br> General Corporation Law of the State of Delaware)

Ocular Therapeutix, Inc. (the "Corporation"), a corporation organized and existing under and by virtue of the provisions of the General Corporation Law of the State of Delaware, does hereby certify as follows:

A resolution was duly adopted by the Board of Directors of the Corporation pursuant to Section 242 of the General Corporation Law of the State of Delaware setting forth a proposed amendment to the Restated Certificate of Incorporation of the Corporation and declaring said amendment to be advisable. The stockholders of the Corporation duly approved said proposed amendment in accordance with Section 242 of the General Corporation Law of the State of Delaware. The resolution setting forth the amendment is as follows:

RESOLVED: That Article SEVENTH of the Restated Certificate of Incorporation of the Corporation be and hereby is deleted in its entirety and the following is inserted in lieu thereof:

"SEVENTH: To the fullest extent permitted by the General Corporation Law of the State of Delaware, no director or officer of the Corporation shall be personally liable to the Corporation (in the case of directors) or its stockholders (in the case of directors and officers) for monetary damages for any breach of fiduciary duty as a director or officer. No amendment, repeal or elimination of this provision shall apply to or have any effect on its application with respect to any act or omission of a director or officer occurring before such amendment, repeal or elimination. If the General Corporation Law of the State of Delaware is amended to permit further elimination or limitation of the personal liability of directors or officers, then the liability of a director or officer of the Corporation shall be eliminated or limited to the fullest extent permitted by the General Corporation Law of the State of Delaware as so amended."

**\*\*\***

IN WITNESS WHEREOF, this Certificate of Amendment has been executed by a duly authorized officer of the Corporation on this 11<sup>th</sup> day of June, 2025.

---

| | |
|:---|:---|
| **ocular therapeutix, inc.** | **ocular therapeutix, inc.** |
| By: | /s/ Pravin U. Dugel, M.D. |
| Pravin U. Dugel, M.D. | Pravin U. Dugel, M.D. |
| Executive Chairman, President and Chief Executive Officer | Executive Chairman, President and Chief Executive Officer |

---