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| LEI | 5067005370C2KK324336 |
| CIK | 1953530 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Oculis Holding AG
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 21, 2025 |
Exhibit 99.1 Oculis Holding AG Unaudited Condensed Consolidated Interim Financial Statements Table of Contents Unaudited Condensed Consolidated Interim: Statements of Financial Position as of June 30, 2025 and December 31, 2024 3 Statements of Loss for the three and six months ended June 30, 2025 and 2024 4 Statements of Comprehensive Loss for the three and six months ended June 30, 2025 and 2024 |
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| August 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of August 2025 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 20 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office |
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| August 21, 2025 |
Oculis Reports Q2 2025 Financial Results and Provides Company Update Exhibit 99.3 Oculis Reports Q2 2025 Financial Results and Provides Company Update • Focused execution in Q2 2025 to advance Oculis’s pipeline in ophthalmology and neuro-ophthalmology. • OCS-01: Both pivotal Ph3 DIAMOND trials are fully enrolled, with topline results expected in Q2 2026 for the first potential eye drop to treat diabetic macular edema (DME) • Privosegtor (OCS-05): Preparing to initi |
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| August 21, 2025 |
For the three months ended June 30, Exhibit 99.2 MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS The Unaudited Condensed Consolidated Interim Financial Statements as of and for the three and six months ended June 30, 2025 are included as Exhibit 99.1 to this Report on Form 6-K submitted to the Securities and Exchange Commission (“SEC”). We also recommend that you read our discussion and analysis |
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| August 1, 2025 |
6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of July 2025 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 20 CH-6300 Zug, Switzerland (Address of registrant’s principal executive offi |
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| June 5, 2025 |
As filed with the Securities and Exchange Commission on June 5, 2025 As filed with the Securities and Exchange Commission on June 5, 2025 Registration No. |
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| June 5, 2025 |
Oculis Publishes Results of 2025 Annual General Meeting Exhibit 99.1 Oculis Publishes Results of 2025 Annual General Meeting ZUG, Switzerland, June 5, 2025 – Oculis Holding AG (Nasdaq: OCS / XICE: OCS) (“Oculis” or the “Company”), today announced the results from its 2025 Annual General Meeting held on June 4, 2025 at Ochsen-Zug, Kolinplatz 11, CH-6300 Zug, Switzerland, at 3:00 p.m. CEST / 9:00 a.m. EDT. The Company’s shareholders approved all agenda i |
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| June 5, 2025 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Oculis Holding AG (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit (2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Ordinary Shares, with a nominal value of CHF 0. |
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| June 5, 2025 |
Exhibit 99.2 Articles of association of Oculis Holding AG (Oculis Holding SA) (Oculis Holding Ltd) with registered office in Zug (Translation; in case of controversy the German text shall prevail) STATUTEN der Oculis Holding AG (Oculis Holding SA) (Oculis Holding Ltd) mit Sitz in Zug I. Corporate Name, Registered Office, Duration and Purpose of the Company I. Firma, Sitz, Dauer und Zweck der Gesel |
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| June 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of June 2025 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant's name into English) Bahnhofstrasse 20 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) |
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| May 9, 2025 |
Exhibit 99.3 VOTE BY INTERNET - www.proxyvote.com or scan the QR Barcode above Use the Internet to transmit your voting instructions and for electronic delivery of information up until 11:59 p.m. Eastern Time on May 29, 2025. Have your proxy card in hand when you access the web site and follow the instructions to obtain your records and to create an electronic voting instruction form. ELECTRONIC D |
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| May 9, 2025 |
Oculis Publishes Invitation to the Annual General Meeting Exhibit 99.1 Oculis Publishes Invitation to the Annual General Meeting ZUG, Switzerland, May 9, 2025 – Oculis Holding AG (Nasdaq: OCS / ICX: OCS.IC) (“Oculis”), today published the invitation to the 2025 Annual General Meeting, which will be held on June 4, 2025 at Ochsen-Zug, Kolinplatz 11, CH-6300 Zug, Switzerland, at 3:00 p.m. CEST / 9:00 a.m. EDT. The 2025 Annual General Meeting will be held i |
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| May 9, 2025 |
Exhibit 99.2 Zug, 9 May 2025 To the Shareholders of Oculis Holding AG, in Zug, SWITZERLAND Invitation to the 2025 Annual General Meeting of Shareholders Dear Shareholder, On behalf of Oculis Holding AG ("Oculis"), we are pleased to invite you to our second annual general meeting as a public company, which will be held on 4 June 2025 at Ochsen-Zug, Kolinplatz 11, CH-6300 Zug, Switzerland, at 3:00 p |
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| May 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of May 2025 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant's name into English) Bahnhofstrasse 20 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) I |
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| May 9, 2025 |
SPECIAL NOTE REGARDING FORWARD-LOOKING STATEMENTS Exhibit 99.4 Oculis Holding AG 2024 Annual Report Table of Contents Letter to Shareholders 1 Business Update 4 Financial Review 46 Corporate Governance 60 Report of the Statutory Auditor to the General Meeting on the Consolidated Financial Statements 2024 74 IFRS Consolidated Financial Statements as of and for the year ended December 31, 2024 78 Report of the Statutory Auditor to the General Meeti |
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| May 8, 2025 |
For the three months ended March 31, Exhibit 99.2 MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS The Unaudited Condensed Consolidated Interim Financial Statements as of and for the three months ended March 31, 2025 are included as Exhibit 99.1 to this Report on Form 6-K submitted to the Securities and Exchange Commission (“SEC”). We also recommend that you read our discussion and analysis of fin |
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| May 8, 2025 |
Oculis Reports Q1 2025 Financial Results and Provides Company Update Exhibit 99.3 Oculis Reports Q1 2025 Financial Results and Provides Company Update • The recent R&D Day (replay) showcased material progress across all three core assets and highlighted potential first-in-class neuroprotection treatment in neuro-ophthalmology, an area of high unmet medical need, thanks to Privosegtor’s (OCS-05) positive results from the ACUITY trial in Acute Optic Neuritis • OCS-01 |
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| May 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of May 2025 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant's name into English) Bahnhofstrasse 20 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) I |
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| May 8, 2025 |
Exhibit 99.1 Oculis Holding AG Unaudited Condensed Consolidated Interim Financial Statements Table of Contents Unaudited Condensed Consolidated Interim: Statements of Financial Position as of March 31, 2025 and December 31, 2024 3 Statements of Loss for the three months ended March 31, 2025 and 2024 4 Statements of Comprehensive Loss for the three months ended March 31, 2025 and 2024 5 Statements |
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| April 15, 2025 |
Oculis Hosts R&D Event Today to Showcase Progress on All Three Pipeline Assets Exhibit 99.2 Oculis Hosts R&D Event Today to Showcase Progress on All Three Pipeline Assets ZUG, Switzerland, April 15, 2025 – Oculis Holding AG (Nasdaq: OCS / XICE: OCS) (“Oculis” or the “Company"), a global biopharmaceutical company focused on innovations addressing ophthalmic and neuro-ophthalmic diseases with significant unmet medical needs, will host an in-person and virtual R&D Day today, Tu |
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| April 15, 2025 |
Exhibit 99.1 317652263 v2 |
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| April 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of April 2025 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant's name into English) Bahnhofstrasse 20 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) |
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| March 11, 2025 |
Oculis Holding AG Insider Trading Policy Approved by the Board of Directors on August 21, 2024 Exhibit 19.1 Oculis Holding AG Insider Trading Policy Approved by the Board of Directors on August 21, 2024 Policy Principles 1. Personnel of Oculis Holding AG and its subsidiaries (“Oculis”) are responsible for understanding the obligations that come with having access to Material Nonpublic Information (as defined in Oculis’ Corporate Disclosure Policy) and wanting to transact in Oculis securitie |
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| March 11, 2025 |
Exhibit 2.4 DESCRIPTION OF SECURITIES General We were incorporated as a stock corporation (Aktiengesellschaft) organized under the laws of Switzerland in accordance with articles 620 et seqq. of the CO and registered with the Commercial Register of the Canton of Zug on October 31, 2022. Our corporate legal headquarters is located at Bahnhofstrasse 20, 6300 Zug, Switzerland. Neither the Articles of |
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| March 11, 2025 |
Exhibit 13.1 Certification by the Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report on Form 20-F of Oculis Holding AG (the “Company”) for the fiscal year ended December 31, 2024, as filed with the Securities and Exchange Commission on the date here |
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| March 11, 2025 |
Exhibit 12.2 Certification by the Principal Financial Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Sylvia Cheung, certify that: 1. I have reviewed this annual report on Form 20-F of Oculis Holding AG (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a m |
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| March 11, 2025 |
Exhibit 99.3 Statutory Financial Statements Oculis Holding AG for the period ending December 31, 2024 Oculis Holding AG Zug Report of the statutory auditor to the General Meeting on the financial statements 2024 Report of the statutory auditor to the General Meeting of Oculis Holding AG, Zug Report on the audit of the financial statements Opinion We have audited the financial statements of Oculis |
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| March 11, 2025 |
Exhibit 99.2 Oculis Holding AG Consolidated Financial Statements Table of Contents Report of the statutory auditor to the General Meeting 1 Consolidated Statements of Financial Position as of December 31, 2024 and 2023 4 Consolidated Statements of Loss for the years ended December 31, 2024, 2023 and 2022 5 Consolidated Statements of Comprehensive Loss for the years ended December 31, 2024, 2023 an |
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| March 11, 2025 |
Oculis Reports Q4 and Full Year 2024 Financial Results and Provides Company Update Exhibit 99.1 Oculis Reports Q4 and Full Year 2024 Financial Results and Provides Company Update • Successful 2024 marked by significant clinical advancements across Oculis’ late-stage and highly differentiated clinical pipeline targeting retina (OCS-01 in diabetic macular edema), neuro-ophthalmic (Privosegtor, OCS-05, in acute optic neuritis) and precision medicine (Licaminlimab, OCS-02, in dry ey |
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| March 11, 2025 |
Exhibit 12.1 Certification by the Principal Executive Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Riad Sherif, certify that: 1. I have reviewed this annual report on Form 20-F of Oculis Holding AG (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a mat |
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| March 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of March 2025 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant's name into English) Bahnhofstrasse 20 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) |
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| March 11, 2025 |
Exhibit 1.1 Articles of association of Oculis Holding AG (Oculis Holding SA) (Oculis Holding Ltd) with registered office in Zug (Translation; in case of controversy the German text shall prevail) STATUTEN der Oculis Holding AG (Oculis Holding SA) (Oculis Holding Ltd) mit Sitz in Zug I. Corporate Name, Registered Office, Duration and Purpose of the Company I. Firma, Sitz, Dauer und Zweck der Gesell |
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| March 11, 2025 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 15.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in the Registration Statement on Form S-8 (No. 333-271938) and Form F-3 (Nos. 333-271063, 333-278409 and 333-281798) of Oculis Holding AG of our report dated March 11, 2025 relating to the financial statements, which appears in this Form 20-F. /s/ PricewaterhouseCoopers SA Pull |
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| March 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F (Mark One) ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES E |
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| February 14, 2025 |
Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-278409 PROSPECTUS SUPPLEMENT (TO PROSPECTUS DATED APRIL 3, 2024) 5,000,000 Ordinary Shares We are offering 5,000,000 of our ordinary shares, CHF 0.01 nominal value per share. Our ordinary shares are traded on The Nasdaq Global Market, or Nasdaq, and The Nasdaq Iceland Main Market, or Nasdaq Iceland, under the symbol “OCS.” On |
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| February 14, 2025 |
Oculis Announces Pricing of $100 Million Oversubscribed Offering of Ordinary Shares Exhibit 99.1 Oculis Announces Pricing of $100 Million Oversubscribed Offering of Ordinary Shares ZUG, Switzerland, February 13, 2025 – Oculis Holding AG (Nasdaq: OCS; XICE: OCS) (“Oculis” or the “Company”), a global biopharmaceutical company focused on innovations addressing ophthalmic and neuro-ophthalmic diseases with significant unmet medical needs, today announced the pricing of an underwritte |
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| February 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of February 2025 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 20 CH-6300 Zug, Switzerland (Address of registrant’s principal executive offi |
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| February 14, 2025 |
Exhibit 1.1 Oculis Holding AG (a stock corporation (Aktiengesellschaft) incorporated and existing under the laws of Switzerland) 5,000,000 Ordinary Shares UNDERWRITING AGREEMENT Dated: February 13, 2025 #99769954v16 Oculis Holding AG (a stock corporation (Aktiengesellschaft) incorporated and existing under the laws of Switzerland) 5,000,000 Ordinary Shares UNDERWRITING AGREEMENT February 13, 2025 |
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| January 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of January 2025 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office |
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| January 6, 2025 |
Oculis Announces Positive OCS-05 Phase 2 ACUITY Trial in Acute Optic Neuritis, Met Primary Safety Endpoint and Key Secondary Efficacy Endpoints Opening Development Pathways as a Potential First-in-Class Neuroprotective Therapy · OCS-05 showed a favorable safety and tolerability profile compared to placebo · Achieved statistically significant results on key secondary efficacy endpoints compared to placebo, including objective structural measures of retinal thickness and visual improvement · IND clearance from FDA enables initiation of clinical development in the U. |
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| December 9, 2024 |
OCS / Oculis Holding AG / Pivotal bioVenture Partners Fund I, L.P. - SC 13G Passive Investment SC 13G 1 d895453dsc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Oculis Holding AG (Name of Issuer) Ordinary Shares, CHF 0.01 par value per share (Title of Class of Securities) H5870P102 (CUSIP Number) December 3, 2024 (Date of Event Which Requires Filing of this Statement) Check the a |
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| December 9, 2024 |
EX-99.1 2 d895453dex991.htm EX-99.1 Exhibit 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. Date: December 9, 20 |
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| November 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of November 2024 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive offic |
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| November 7, 2024 |
OCS / Oculis Holding AG / Pivotal bioVenture Partners Fund I, L.P. - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Oculis Holding AG (Name of Issuer) Ordinary Shares, CHF 0.01 par value per share (Title of Class of Securities) H5870P102 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to de |
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| November 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of November 2024 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant's name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive offic |
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| November 7, 2024 |
Oculis Reports Q3 2024 Financial Results and Provides Company Updates Exhibit 99.3 Oculis Reports Q3 2024 Financial Results and Provides Company Updates • Significant advancement on product portfolio, including enrollment in the OCS-01 DIAMOND Phase 3 program in DME and OCS-05 Phase 2 ACUITY trial in acute optic neuritis (AON) with topline readout anticipated in December 2024 • Leadership team bolstered with extensive experience in key areas as the Company advances |
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| November 7, 2024 |
For the three months ended September 30, Exhibit 99.2 MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS The Unaudited Condensed Consolidated Interim Financial Statements as of and for the three and nine months ended September 30, 2024 are included as Exhibit 99.1 to this Report on Form 6-K submitted to the Securities and Exchange Commission (“SEC”). We also recommend that you read our discussion and an |
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| November 7, 2024 |
Exhibit 99.1 Oculis Holding AG Unaudited Condensed Consolidated Interim Financial Statements Table of Contents Unaudited Condensed Consolidated Interim: Statements of Financial Position as of September 30, 2024 and December 31, 2023 3 Statements of Loss for the three and nine months ended September 30, 2024 and 2023 4 Statements of Comprehensive Loss for the three and nine months ended September 3 |
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| September 6, 2024 |
Oculis Holding AG Up to 361,011 Ordinary Shares offered by the Selling Securityholder Filed pursuant to Rule 424(b)(3) File No. 333-281798 PROSPECTUS Oculis Holding AG Up to 361,011 Ordinary Shares offered by the Selling Securityholder This prospectus relates to the resale by the selling securityholder identified in this prospectus, or the selling securityholder, of up to 361,011 ordinary shares of Oculis Holding AG, or the Company, issuable upon the exercise of a warrant that was |
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| September 4, 2024 |
Oculis Holding AG Bahnhofstrasse 7 Zug, Switzerland Oculis Holding AG Bahnhofstrasse 7 CH-6300 Zug, Switzerland September 4, 2024 Via Edgar United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| August 27, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form F-3 (Form Type) Oculis Holding AG (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to Be Paid Equity Ordinary shares, nominal value of CHF 0. |
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| August 27, 2024 |
Exhibit 99.1 Oculis Holding AG Unaudited Condensed Consolidated Interim Financial Statements Table of Contents Unaudited Condensed Consolidated Interim: Statements of Financial Position as of June 30, 2024 and December 31, 2023 3 Statements of Loss for the three and six months ended June 30, 2024 and 2023 4 Statements of Comprehensive Loss for the three and six months ended June 30, 2024 and 2023 |
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| August 27, 2024 |
Execution version [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) CUSTOMARILY AND ACTUALLY TREATED BY THE REGISTRANT AS PRIVATE OR CONFIDENTIAL. |
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| August 27, 2024 |
Oculis Reports Q2 2024 Financial Results and Provides Recent Company Update Exhibit 99.3 Oculis Reports Q2 2024 Financial Results and Provides Recent Company Update • Reported positive topline results for the Phase 2b RELIEF trial of OCS-02 (licaminlimab) paving the way for potentially the first precision medicine in Dry Eye Disease (DED) • Phase 2 ACUITY trial of OCS-05 in acute optic neuritis (AON) is on track for topline readout in Q4 2024 • Pre-NDA meeting with U.S. F |
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| August 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 OCULIS HOLDING AG (Exact name of registrant as specified in its charter) Switzerland Not Applicable (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) Bahnhofstrasse 7 CH-6300 Zug, Switzerland Telephone: +41 41 |
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| August 27, 2024 |
Execution version 1 [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) CUSTOMARILY AND ACTUALLY TREATED BY THE REGISTRANT AS PRIVATE OR CONFIDENTIAL. |
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| August 27, 2024 |
For the three months ended June 30, Exhibit 99.2 MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS The Unaudited Condensed Consolidated Interim Financial Statements as of and for the three and six months ended June 30, 2024 are included as Exhibit 99.1 to this Report on Form 6-K submitted to the Securities and Exchange Commission (“SEC”). We also recommend that you read our discussion and analysis |
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| August 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of August 2024 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant's name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) |
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| June 10, 2024 |
Exhibit 99.1 Oculis Announces Positive Topline Results of Phase 2b RELIEF Trial with Licaminlimab, Designed to Transform the Treatment Paradigm of Dry Eye Disease with a Precision Medicine Strategy • Improvements in multiple sign efficacy endpoints were observed in full population and with predictive and more pronounced effects in the TNFR1 genetic biomarker population as identified in prior succe |
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| June 10, 2024 |
Licaminlimab in Dry Eye Disease Topline Results 10 June 2024 Exhibit 99.2 Licaminlimab in Dry Eye Disease Topline Results 10 June 2024 Safe Harbor Statements Cautionary note on forward-looking statements These slides and the accompanying oral presentation contain forward-looking statements and information. The use of words such as “may,” “might,” “will,” “should,” “expect,” “plan,” “anticipate,” “believe,” “estimate,” “project,” “intend,” “future,” “potenti |
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| June 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of June 2024 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) I |
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| May 31, 2024 |
Exhibit 99.2 1 Articles of association of Oculis Holding AG (Oculis Holding SA) (Oculis Holding Ltd) with registered office in Zug (Translation; in case of controversy the German text shall prevail) STATUTEN der Oculis Holding AG (Oculis Holding SA) (Oculis Holding Ltd) mit Sitz in Zug I. Corporate Name, Registered Office, Duration and Purpose of the Company I. Firma, Sitz, Dauer und Zweck der Ges |
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| May 31, 2024 |
Exhibit 99.1 Oculis Publishes Results of 2024 Annual General Meeting and Announces Appointments to its Board of Directors and Scientific Advisory Board • Shareholders approved all agenda items and proposals of the Board of Directors • Robert K. Warner, M.B.A. and Arshad M. Khanani, M.D., M.A., FASRS elected as members of the Board of Directors • Baruch D. Kuppermann, M.D., Ph.D. and Frank G. Holz, |
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| May 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of May 2024 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) In |
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| May 8, 2024 |
Oculis Reports Q1 2024 Financial Results and Provides Company Updates Exhibit 99.3 Oculis Reports Q1 2024 Financial Results and Provides Company Updates • Clinical programs progressing as planned with initiation of second OCS-01 Phase 3 DIAMOND-2 trial in Diabetic Macular Edema (DME) and completion of enrollment in OCS-02 (licaminlimab) Phase 2b RELIEF trial in Dry Eye Disease (DED); RELIEF topline results anticipated in Q2 2024 • Completed $59 million registered di |
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| May 8, 2024 |
Oculis Holding AG Up to $100,000,000 Ordinary Shares Filed Pursuant to Rule 424(b)(5) Registration No. 333-278409 PROSPECTUS SUPPLEMENT (TO PROSPECTUS DATED APRIL 3, 2024) Oculis Holding AG Up to $100,000,000 Ordinary Shares We have entered into a sales agreement, or the Sales Agreement, with Leerink Partners LLC, or Leerink Partners, dated May 8, 2024, relating to the sale of our ordinary shares, nominal value CHF 0.01 per share, offered by this pr |
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| May 8, 2024 |
For the three months ended March 31, Exhibit 99.2 MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS The Unaudited Condensed Consolidated Interim Financial Statements as of and for the three months ended March 31, 2024 are included as Exhibit 99.1 to this Report on Form 6-K submitted to the Securities and Exchange Commission (“SEC”). We also recommend that you read our discussion and analysis of fin |
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| May 8, 2024 |
Exhibit 99.1 Oculis Holding AG Unaudited Condensed Consolidated Interim Financial Statements Table of Contents Unaudited Condensed Consolidated Interim: Statements of Financial Position as of March 31, 2024 and December 31, 2023 3 Statements of Loss for the three months ended March 31, 2024 and 2023 4 Statements of Comprehensive Loss for the three months ended March 31, 2024 and 2023 5 Statements |
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| May 8, 2024 |
Oculis Holding AG Ordinary Shares (CHF 0.01 nominal value per share) SALES AGREEMENT 302805643 v12 Exhibit 1.1 Oculis Holding AG Ordinary Shares (CHF 0.01 nominal value per share) SALES AGREEMENT May 8, 2024 LEERINK PARTNERS LLC 1301 Avenue of the Americas, 12th Floor New York, New York 10019 Ladies and Gentlemen: Oculis Holding AG, a stock corporation (Aktiengesellschaft) incorporated and existing under the laws of Switzerland (the “Company”), confirms its agreement (this “Agreem |
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| May 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of May 2024 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant's name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) In |
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| May 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of May 2024 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant's name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) In |
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| April 29, 2024 |
Zug, 29 April 2024 To the Shareholders of Oculis Holding AG, in Zug, SWITZERLAND Invitation to the 2024 Annual General Meeting of Shareholders Dear Shareholder, On behalf of Oculis Holding AG ("Oculis"), we are pleased to invite you to our first annual general meeting as a public company, which will be held on 29 May 2024 at Ochsen-Zug, Kolinplatz 11, CH-6300 Zug, Switzerland, at 3:30 p. |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of April 2024 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) |
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| April 29, 2024 |
Exhibit 99.4 Oculis Holding AG 2023 Annual Report Exhibit 99.4 Table of Contents Letter to Shareholders 1 Business Update 4 Financial Review 46 Corporate Governance 63 Report of the Statutory Auditor to the General Meeting on the Consolidated Financial Statements 2023 77 IFRS Consolidated Financial Statements as of and for the year ended December 31, 2023 83 Report of the Statutory Auditor to the |
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| April 29, 2024 |
Oculis Publishes Invitation to the Annual General Meeting Exhibit 99.1 Oculis Publishes Invitation to the Annual General Meeting ZUG, Switzerland, April 29, 2024 – Oculis Holding AG (Nasdaq: OCS) (“Oculis”), today published the invitation to the 2024 Annual General Meeting, which will be held on May 29, 2024 at Ochsen-Zug, Kolinplatz 11, CH-6300 Zug, Switzerland, at 3:30 p.m. CEST / 9:30 a.m. EDT. All information pertaining to the 2024 Annual General Mee |
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| April 29, 2024 |
OCULIS HOLDING AG PLEASE DO NOT RETURN THE PROXY CARD IF YOU ARE VOTING ELECTRONICALLY. |
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| April 22, 2024 |
Exhibit 99.1 Oculis Announces Closing of Registered Direct Offering and Commencement of Trading on Nasdaq Iceland Main Market - Raised gross proceeds of $59 million through the issuance and sale of 5,000,000 of its ordinary shares to Icelandic institutional and existing investors - Becomes second company dual-listed on NASDAQ U.S. and NASDAQ Iceland Main Market, trading under the symbol “OCS” begi |
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| April 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of April 2024 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) |
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| April 11, 2024 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-278409 PROSPECTUS SUPPLEMENT (TO PROSPECTUS DATED APRIL 3, 2024) 5,000,000 Ordinary Shares We are offering 5,000,000 of our ordinary shares, CHF 0.01 nominal value, to certain investors at a price of $11.75 per share. This offering is being made without an underwriter or placement agent and we are not paying underwriting discounts or commission |
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| April 11, 2024 |
OCULIS HOLDING AG (as Issuer) THE INVESTOR relating to subscription to shares in Oculis Holding AG Exhibit 10.1 OCULIS HOLDING AG (as Issuer) and THE INVESTOR OFFER relating to subscription to shares in Oculis Holding AG This offer to subscribe to shares (the “Offer”) is dated April 2024, and submitted by: (1) the Investor (as defined below); to (2) Oculis Holding AG, a public limited liability company (de. Aktiengesellschaft), incorporated and existing under the laws of Switzerland, having its |
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| April 11, 2024 |
6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of April 2024 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive offi |
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| April 11, 2024 |
Exhibit 99.1 Oculis Announces Completion of Oversubscribed $59 Million Registered Direct Offering and Subsequent Listing on Nasdaq Iceland Main Market April 11, 2024 12:55 PM EDT • $59 million financing includes participation from new Icelandic institutional and existing investors; Extends cash runway until 2H 2026 • The Central Bank of Iceland, Financial Supervision has approved Oculis’s prospect |
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| April 3, 2024 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-271063 PROSPECTUS Up to 4,403,294 Ordinary Shares Issuable Upon Exercise of Warrants Up to 31,066,909 Ordinary Shares Offered by Selling Securityholders Up to 151,699 Warrants to purchase Ordinary Shares offered by the Sponsor This prospectus relates to the issuance by us of 4,403,294 Ordinary Shares consisting of (i) 4,251,595 of our ordinary |
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| April 1, 2024 |
Oculis HOLDING AG FORM OF INDENTURE Dated as of ____________________, 20__ Debt Securities Exhibit 4.2 20 Oculis HOLDING AG Issuer AND [TRUSTEE], Trustee FORM OF INDENTURE Dated as of , 20 Debt Securities Table of Contents Page Article 1 DEFINITIONS 1 Section 1.01 Definitions of Terms. 1 Article 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities. 5 Section 2.02 Form of Securities and Trustee’s Certificate. 8 |
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| April 1, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form F-3 (Form Type) Oculis Holding AG (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price (1) Fee Rate Amount of Registration Fee Fees to Be Paid Equity Ordinary shares, nominal value of CHF 0. |
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| April 1, 2024 |
OCULIS HOLDING AG Bahnhofstrasse 7 Zug, Switzerland April 1, 2024 VIA EDGAR OCULIS HOLDING AG Bahnhofstrasse 7 CH-6300 Zug, Switzerland April 1, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| April 1, 2024 |
As filed with the Securities and Exchange Commission on April 1, 2024 As filed with the Securities and Exchange Commission on April 1, 2024 Registration No. |
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| April 1, 2024 |
As filed with the Securities and Exchange Commission on April 1, 2024 As filed with the Securities and Exchange Commission on April 1, 2024 Registration No. |
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| March 19, 2024 |
Oculis Reports Q4 and Full Year 2023 Financial Results and Update on Company Progress Exhibit 99.1 Oculis Reports Q4 and Full Year 2023 Financial Results and Update on Company Progress • A successful year including NASDAQ listing and positive results from two Phase 3 programs in OCS-01: Phase 3 Stage 1 DIAMOND trial for Diabetic Macular Edema (DME), and Phase 3 OPTIMIZE-1 trial for inflammation and pain following cataract surgery • On-track to report topline data from OCS-02 (Licam |
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| March 19, 2024 |
Exhibit 12.2 Certification by the Principal Financial Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Sylvia Cheung, certify that: 1. I have reviewed this annual report on Form 20-F of Oculis Holding AG (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a m |
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| March 19, 2024 |
Exhibit 12.1 Certification by the Principal Executive Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Riad Sherif, certify that: 1. I have reviewed this annual report on Form 20-F of Oculis Holding AG (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a mat |
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| March 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F (Mark One) ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES E |
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| March 19, 2024 |
Exhibit 99.2 Oculis Holding AG Consolidated Financial Statements Table of Contents Report of the Statutory auditor on the 2023 Consolidated Financial Statements Consolidated Statements of Financial Position as of December 31, 2023 and 2022 1 Consolidated Statements of Loss for the years ended December 31, 2023, 2022 and 2021 2 Consolidated Statements of Comprehensive Loss for the years ended Decem |
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| March 19, 2024 |
Exhibit 2.3 DESCRIPTION OF SECURITIES General We were incorporated as a stock corporation (Aktiengesellschaft) organized under the laws of Switzerland in accordance with articles 620 et seqq. of the CO and registered with the Commercial Register of the Canton of Zug on October 31, 2022. Our corporate legal headquarters is located at Bahnhofstrasse 7, 6300 Zug, Switzerland. Neither the articles of |
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| March 19, 2024 |
Exhibit 1.1 Articles of association of Oculis Holding AG (Oculis Holding SA) (Oculis Holding Ltd) with registered office in Zug (Translation; in case of controversy the German text shall prevail) STATUTEN der Oculis Holding AG (Oculis Holding SA) (Oculis Holding Ltd) mit Sitz in Zug I. Corporate Name, Registered Office, Duration and Purpose of the Company I. Firma, Sitz, Dauer und Zweck der Gesell |
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| March 19, 2024 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 15.1 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in the Registration Statement on Form S-8 (No. 333-271938) of Oculis Holding AG of our report dated March 19, 2024 relating to the financial statements, which appears in this Form 20-F. /s/ PricewaterhouseCoopers SA Lausanne, Switzerland March 19, 2024 |
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| March 19, 2024 |
Exhibit 99.4 Compensation Report 2023 of Oculis Holding AG Oculis Holding AG Zug Report of the statutory auditor to the General Meeting on the compensation report 2023 Report of the statutory auditor to the General Meeting of Oculis Holding AG Zug Report on the audit of the compensation report Opinion We have audited the compensation report of Oculis Holding AG (the Company) for the period from Ma |
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| March 19, 2024 |
Exhibit 99.3 Statutory Financial Statements Oculis Holding AG for the period October 31, 2022 - December 31, 2023 Oculis Holding AG Zug Report of the statutory auditor to the General Meeting on the financial statements 2023 Report of the statutory auditor to the General Meeting of Oculis Holding AG Zug Report on the audit of the financial statements Opinion We have audited the financial statements |
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| March 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of March 2024 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant's name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) |
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| March 19, 2024 |
Oculis Holding AG Incentive Compensation Recoupment Policy Exhibit 97.1 Oculis Holding AG Incentive Compensation Recoupment Policy 1. Introduction The Remuneration Committee (the “Remuneration Committee”) of the Board of Directors (the “Board”) of Oculis Holding AG, a stock corporation organized under the laws of Switzerland (the “Company”), has determined that it is in the best interests of the Company and its shareholders to adopt this Incentive Compens |
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| March 19, 2024 |
Exhibit 13.1 Certification by the Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report on Form 20-F of Oculis Holding AG (the “Company”) for the fiscal year ended December 31, 2023, as filed with the Securities and Exchange Commission on the date here |
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| February 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of February 2024 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive offic |
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| February 28, 2024 |
Exhibit 99.1 R&D Day February 28, 2024 Safe Harbor Statements Cautionary note on forward-looking statements These slides and the accompanying oral presentation, as well as slides and presentations made today by others, contain forward-looking statements and information as defined in the Private Securities Litigation Reform Act of 1955, as amended. The use of words such as “may,” “might,” “will,” “ |
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| February 28, 2024 |
Exhibit 99.2 Oculis Provides Updates at R&D Day on Late-Stage Clinical Trials and Announces Key Leadership Appointments • Completed enrollment in Phase 2b RELIEF trial of Licaminlimab (OCS-02), anti-TNF (tumor necrosis factor) alpha eye drops in Dry Eye Disease (DED); topline results expected in Q2 2024 • Second Phase 3 trial (DIAMOND-2) of OCS-01 eye drops in Diabetic Macular Edema (DME) initiate |
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| February 28, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-271063 PROSPECTUS SUPPLEMENT NO. 7 (To the prospectus dated May 1, 2023) Up to 4,403,294 Ordinary Shares Issuable Upon Exercise of Warrants Up to 31,066,909 Ordinary Shares Offered by Selling Securityholders Up to 151,699 Warrants to purchase Ordinary Shares offered by the Sponsor This prospectus supplement supplements the prospectus, dated May |
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| February 13, 2024 |
OCS / Oculis Holding AG / Novartis Bioventures Ltd - SC 13G/A Passive Investment SC 13G/A 1 tm245934d1sc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Oculis Holding AG (Name of Issuer) Ordinary Shares, CHF 0.01 par value per share (Title of Class of Securities) H5870P102 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropri |
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| February 12, 2024 |
EX-99.1 2 d751446dex991.htm EX-99.1 EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. Date: February 12, 2 |
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| February 12, 2024 |
OCS / Oculis Holding AG / Pivotal bioVenture Partners Fund I, L.P. - SC 13G/A Passive Investment SC 13G/A 1 d751446dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Oculis Holding AG (Name of Issuer) Ordinary Shares, CHF 0.01 par value per share (Title of Class of Securities) H5870P102 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Ch |
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| February 9, 2024 |
OCS / Oculis Holding AG / LSP 7 Cooperative UA - SC 13G Passive Investment SC 13G United States Securities and Exchange Commission Washington, D.C. 20549 Schedule 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Oculis Holding AG (Name of Issuer) Ordinary Shares (Title of Class of Securities) H5870P102 ( |
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| February 9, 2024 |
EX-99 Exhibit 99 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13G. |
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| November 15, 2023 |
Oculis Reports Q3 2023 Financial Results and Provides Company Update Exhibit 99.3 Oculis Reports Q3 2023 Financial Results and Provides Company Update • Reported lead product candidate OCS-01 eye drop met both primary endpoints in Phase 3 OPTIMIZE trial for inflammation and pain after cataract surgery following positive readout of Stage 1 of the Phase 3 DIAMOND trial for diabetic macular edema (DME) • Enrolled first patient in the investigator-initiated LEOPARD tri |
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| November 15, 2023 |
For the three months ended September 30, Exhibit 99.2 MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS The Unaudited Condensed Consolidated Interim Financial Statements as of and for the three and nine months ended September 30, 2023, are included as Exhibit 99.1 to this Report on Form 6-K submitted to the Securities and Exchange Commission ("SEC"). We also recommend that you read our discussion and a |
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| November 15, 2023 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-271063 PROSPECTUS SUPPLEMENT NO. 6 (To the prospectus dated May 1, 2023) Up to 4,403,294 Ordinary Shares Issuable Upon Exercise of Warrants Up to 31,066,909 Ordinary Shares Offered by Selling Securityholders Up to 151,699 Warrants to purchase Ordinary Shares offered by the Sponsor This prospectus supplement supplements the prospectus, dated May |
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| November 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of November 2023 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant's name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive offic |
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| November 15, 2023 |
2 Unaudited Condensed Consolidated Interim Statements of Financial Position (in CHF thousands) Exhibit 99.1 Oculis Holding AG Unaudited Condensed Consolidated Interim Financial Statements Table of Contents Unaudited Condensed Consolidated Interim: Statements of Financial Position as of September 30, 2023 and December 31, 2022 3 Statements of Loss for the three and nine months ended September 30, 2023 and 2022 4 Statements of Comprehensive Loss for the three and nine months ended September 3 |
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| August 30, 2023 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-271063 PROSPECTUS SUPPLEMENT NO. 5 (To the prospectus dated May 1, 2023) Up to 4,403,294 Ordinary Shares Issuable Upon Exercise of Warrants Up to 31,066,909 Ordinary Shares Offered by Selling Securityholders Up to 151,699 Warrants to purchase Ordinary Shares offered by the Sponsor This prospectus supplement supplements the prospectus, dated May |
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| August 29, 2023 |
Oculis Reports Q2 and First Half 2023 Financial Results and Provides Company Update Exhibit 99.3 Oculis Reports Q2 and First Half 2023 Financial Results and Provides Company Update • Achieved two landmark milestones with OCS-01, Oculis’ lead product candidate as first investigational eye drop for both front and back of the eye indications: positive topline results in Phase 3 DIAMOND Stage 1 trial for diabetic macular edema (DME) announced in May, and in Phase 3 OPTIMIZE trial for |
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| August 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of August 2023 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) |
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| August 29, 2023 |
Exhibit 99.1 Oculis Holding AG Unaudited Condensed Consolidated Interim Financial Statements Table of Contents Unaudited Condensed Consolidated Interim: Statements of Loss for the three and six months ended June 30, 2023 and 2022 3 Statements of Comprehensive Loss for the three and six months ended June 30, 2023 and 2022 4 Statements of Financial Position as of June 30, 2023 and December 31, 2022 |
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| August 29, 2023 |
For the three months ended June 30, Exhibit 99.2 MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS The Unaudited Condensed Consolidated Interim Financial Statements as of and for the three and six months ended June 30, 2023, are included as Exhibit 99.1 to this Report on Form 6-K submitted to the Securities and Exchange Commission ("SEC"). We also recommend that you read our discussion and analysi |
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| August 8, 2023 |
EX-99.1 Exhibit 99.1 OCS-01, First Investigational Eye Drop for Front and Back of the Eye, Met Both Primary Endpoints in Phase 3 OPTIMIZE Trial with a Once Daily Regimen for the Treatment of Inflammation and Pain Following Cataract Surgery • Once daily OCS-01 meets primary endpoints demonstrating superior reduction in inflammation and pain vs. vehicle following cataract surgery • OPTIMIZE’s result |
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| August 8, 2023 |
OCS-01 | OPTIMIZE Trial - Phase 3 Topline Results Treatment of pain and inflammation in post cataract surgery August 8, 2023 Rethinking Ophthalmology Exhibit 99. |
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| August 8, 2023 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-271063 PROSPECTUS SUPPLEMENT NO. 4 (To the prospectus dated May 1, 2023) Up to 4,403,294 Ordinary Shares Issuable Upon Exercise of Warrants Up to 31,066,909 Ordinary Shares Offered by Selling Securityholders Up to 151,699 Warrants to purchase Ordinary Shares offered by the Sponsor This prospectus supplement supplements the prospectus, dated May |
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| August 8, 2023 |
6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of August 2023 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive off |
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| July 12, 2023 |
EX-99.1 Oculis R&D Day: Retina July 11, 2023 Rethinking Ophthalmology Nasdaq: OCS Exhibit 99.1 These slides and the accompanying oral presentation contain forward-looking statements and information. The use of words such as “may,” “might,” “will,” “should,” “expect,” “plan,” “anticipate,” “believe,” “estimate,” “project,” “intend,” “future,” “potential,” or “continue,” and other similar expression |
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| July 12, 2023 |
6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of July 2023 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive offic |
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| July 6, 2023 |
6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of July 2023 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive offic |
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| June 13, 2023 |
6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of June 2023 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive offic |
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| June 13, 2023 |
Oculis Announces Partial Exercise of Underwriters’ Option to Purchase Additional Ordinary Shares EX-99.1 Exhibit 99.1 Oculis Announces Partial Exercise of Underwriters’ Option to Purchase Additional Ordinary Shares ZUG, Switzerland and BOSTON, USA, June 13, 2023 – Oculis Holding AG (Nasdaq: OCS), a global biopharmaceutical company purposefully driven to save sight and improve eye care, today announced that the underwriters of its previously announced public offering of ordinary shares, which |
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| June 13, 2023 |
Oculis Announces Partial Exercise of Underwriters’ Option to Purchase Additional Ordinary Shares EX-99.1 Exhibit 99.1 Oculis Announces Partial Exercise of Underwriters’ Option to Purchase Additional Ordinary Shares ZUG, Switzerland and BOSTON, USA, June 13, 2023 – Oculis Holding AG (Nasdaq: OCS), a global biopharmaceutical company purposefully driven to save sight and improve eye care, today announced that the underwriters of its previously announced public offering of ordinary shares, which |
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| June 13, 2023 |
424B3 Filed pursuant to Rule 424(b)(3) Registration No. 333-271063 PROSPECTUS SUPPLEMENT NO. 3 (To the prospectus dated May 1, 2023) Up to 4,403,294 Ordinary Shares Issuable Upon Exercise of Warrants Up to 31,066,909 Ordinary Shares Offered by Selling Securityholders Up to 151,699 Warrants to purchase Ordinary Shares offered by the Sponsor This prospectus supplement supplements the prospectus, dat |
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| June 7, 2023 |
424B3 Filed pursuant to Rule 424(b)(3) Registration No. 333-271063 PROSPECTUS SUPPLEMENT NO. 2 (To the prospectus dated May 1, 2023) Up to 4,403,294 Ordinary Shares Issuable Upon Exercise of Warrants Up to 31,066,909 Ordinary Shares Offered by Selling Securityholders Up to 151,699 Warrants to purchase Ordinary Shares offered by the Sponsor This prospectus supplement supplements the prospectus, dat |
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| June 2, 2023 |
424B4 1 d394147d424b4.htm 424B4 Table of Contents Filed pursuant to Rule 424(b)(4) Registration No.: 333-272256 PROSPECTUS 3,500,000 Ordinary Shares We are offering 3,500,000 of our ordinary shares, CHF 0.01 nominal value. The public offering price is $11.50 per share. Our ordinary shares are listed on the Nasdaq Global Market under the symbol “OCS.” The last reported sale price of our ordinary sh |
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| June 1, 2023 |
EX-1.1 Exhibit 1.1 Execution Version Oculis Holding AG (a stock corporation (Aktiengesellschaft) incorporated and existing under the laws of Switzerland) 3,500,000 Ordinary Shares UNDERWRITING AGREEMENT Dated: May 31, 2023 Oculis Holding AG (a stock corporation (Aktiengesellschaft) incorporated and existing under the laws of Switzerland) 3,500,000 Ordinary Shares UNDERWRITING AGREEMENT May 31, 202 |
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| June 1, 2023 |
Oculis Announces Pricing of $40.25 Million Public Offering of Ordinary Shares EX-99.1 Exhibit 99.1 Oculis Announces Pricing of $40.25 Million Public Offering of Ordinary Shares ZUG, Switzerland and BOSTON, USA, May 31, 2023 – Oculis Holding AG (Nasdaq: OCS), a global biopharmaceutical company purposefully driven to save sight and improve eye care, today announced the pricing of a follow-on public offering of 3,500,000 ordinary shares at a public offering price of $11.50 per |
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| June 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of June 2023 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) I |
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| May 30, 2023 |
6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of May 2023 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office |
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| May 30, 2023 |
Table of Contents As filed with the U.S. Securities and Exchange Commission on May 30, 2023 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE C O MMISSION Washington, D.C. 20549 FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 OCULIS HOLDING AG (Exact name of Registrant as Specified in Its Charter) Switzerland 2834 Not Applicable (Jurisdiction of Incorporation or Organiza |
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| May 30, 2023 |
CORRESP BofA Securities, Inc. One Bryant Park New York, New York 10036 SVB Securities LLC 1301 Avenue of the Americas, 12th Floor New York, New York 10019 May 30, 2023 United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Jimmy McNamara RE: Oculis Holding AG Registration Statement on Form F-1 File No. 333-272256 Ladies and |
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| May 30, 2023 |
OCULIS HOLDING AG Bahnhofstrasse 7 Zug, Switzerland May 30, 2023 VIA EDGAR CORRESP OCULIS HOLDING AG Bahnhofstrasse 7 CH-6300 Zug, Switzerland May 30, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| May 30, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form F-1 (Form Type) Oculis Holding AG (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Share Maximum Aggregate Offering Price (1) Fee Rate Amount of Registration Fee (2) Newly Registered Securities Fees to Be Paid Equity Ordinary Shares, CHF 0. |
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| May 30, 2023 |
Oculis Announces Launch of Proposed Public Offering of Ordinary Shares EX-99.1 Exhibit 99.1 Oculis Announces Launch of Proposed Public Offering of Ordinary Shares ZUG, Switzerland and BOSTON, USA, May 30, 2023 – Oculis Holding AG (Nasdaq: OCS), a global biopharmaceutical company purposefully driven to save sight and improve eye care, today announced the launch of a follow-on public offering of 5,000,000 ordinary shares. In addition, Oculis expects to grant the underw |
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| May 30, 2023 |
EX-1.1 Exhibit 1.1 Oculis Holding AG (a stock corporation (Aktiengesellschaft) incorporated and existing under the laws of Switzerland) [•] Ordinary Shares UNDERWRITING AGREEMENT Dated: May [•], 2023 Oculis Holding AG (a stock corporation (Aktiengesellschaft) incorporated and existing under the laws of Switzerland) [•] Ordinary Shares UNDERWRITING AGREEMENT May [•], 2023 BofA Securities, Inc. SVB |
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| May 24, 2023 |
424B3 1 d491796d424b3.htm 424B3 Filed pursuant to Rule 424(b)(3) Registration No. 333-271063 PROSPECTUS SUPPLEMENT NO. 1 (To the prospectus dated May 1, 2023) Up to 4,403,294 Ordinary Shares Issuable Upon Exercise of Warrants Up to 31,066,909 Ordinary Shares Offered by Selling Securityholders Up to 151,699 Warrants to purchase Ordinary Shares offered by the Sponsor This prospectus supplement suppl |
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| May 23, 2023 |
EX-99.1 Exhibit 99.1 Oculis Announces Positive Top Line Results from DIAMOND Stage 1 Phase 3 Trial in Diabetic Macular Edema with OCS-01 Eye Drops • DIAMOND trial in Diabetic Macular Edema (DME) with topical OCS-01 met its stage 1 objective of validating the loading and maintenance dosing regimen designed to optimize OCS-01 efficacy potential with robust statistical significance • Primary efficacy |
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| May 23, 2023 |
EX-99.2 Exhibit 99.2 Rethinking Ophthalmology OCS-01 | DIAMOND Trial—DME Phase 3 Stage 1 Results May 22, 2023 Disclaimers This presentation is made pursuant to Section 5(d) and/or Rule 163B of the Securities Act of 1933, as amended, and is intended solely for investors that are qualified institutional buyers or certain institutional accredited investors solely for the purposes of familiarizing suc |
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| May 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of May 2023 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive office) In |
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| May 15, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Oculis Holding AG (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit (2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Ordinary Shares, with a nominal value of CHF 0. |
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| May 15, 2023 |
STOCK OPTION AND INCENTIVE PLAN REGULATION 2023 OF Oculis Holding AG Exhibit 10.1 I have read, understood and do accept the Stock Option and Incentive Plan Regulation 2023 of Oculis Holding AG. I accept that any Awards granted qualify as a voluntary benefit for me (Gratifikation/gratification) and shall under no circumstances be regarded as salary (Lohn/salaire): , [date] [signature] [Signature] [Place/Date] STOCK OPTION AND INCENTIVE PLAN REGULATION 2023 OF Oculis |
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| May 15, 2023 |
As filed with the Securities and Exchange Commission on May 15, 2023 As filed with the Securities and Exchange Commission on May 15, 2023 Registration No. |
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| May 10, 2023 |
Confidential Treatment Requested by Oculis Holding AG Pursuant To 17 C.F.R. Section 200.83 As confidentially submitted to the Securities and Exchange Commission on May 10, 2023. This draft registration statement has not been publicly filed with the Securities and Exchange Commission and all information herein remains strictly confidential. Registration No. 333- UNITED STATES SECURITIES AND EXCHANG |
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| May 4, 2023 |
OCS / Oculis Holding AG / Brunnur vaxtarsjodur slhf - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Oculis Holding AG (Name of Issuer) Ordinary Shares, CHF 0.01 par value per share (Title of Class of Securities) H5870P102 (CUSIP Number) March 2, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| May 2, 2023 |
EX-99.1 2 d499516dex991.htm EX-99.1 EXHIBIT 99.1 Joint Filing Agreement In accordance with Rule 13d-l(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including amendments thereto) with respect to the Ordinary Shares, CHF 0.01 par value per share, of Oculis Holding AG, a Swiss corporation, |
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| May 2, 2023 |
OCS / Oculis Holding AG / BVCF IV, L.P. - SC 13G Passive Investment SC 13G 1 d499516dsc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* Oculis Holding AG (Name of Issuer) Ordinary Shares, CHF 0.01 par value per share (Title of Class of Securities) H5870P102 (CUSIP Number) April 28, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to |
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| May 1, 2023 |
Table of Contents Filed pursuant to Rule 424(b)(3) Registration No. 333-271063 PROSPECTUS Up to 4,403,294 Ordinary Shares Issuable Upon Exercise of Warrants Up to 31,066,909 Ordinary Shares Offered by Selling Securityholders Up to 151,699 Warrants to purchase Ordinary Shares offered by the Sponsor This prospectus relates to the issuance by us of 4,403,294 Ordinary Shares consisting of (i) 4,251,59 |
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| April 27, 2023 |
OCULIS HOLDING AG Bahnhofstrasse 7 Zug, Switzerland April 27, 2023 VIA EDGAR CORRESP 1 filename1.htm OCULIS HOLDING AG Bahnhofstrasse 7 CH-6300 Zug, Switzerland April 27, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Doris Stacey Gama Jason Drory RE: Oculis Holding AG Registration Statement on Form F-1 File No. 333-271063 Acceleration Request Requested Date: May 1, 2023 Reques |
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| April 20, 2023 |
As filed with the Securities and Exchange Commission on April 20, 2023 Registration No. |
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| April 20, 2023 |
CORRESP Katie Kazem +1 703 456 8043 [email protected] April 20, 2023 U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Doris Stacy Gama Jason Drory RE: Oculis Holding AG Amendment No. 1 to Registration Statement on Form F-1 Filed April 3, 2023 (File No. 333-271063) Ladies and Gentlemen: On behalf of Oculis Holding AG (the “ |
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| April 14, 2023 |
6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of April 2023 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive offi |
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| April 14, 2023 |
EX-99.1 Exhibit 99.1 Rethinking Ophthalmology INVESTOR WEBCAST April 13, 2023 1 Safe Harbor Statements Cautionary Note on Forward-looking Statements These slides and the accompanying oral presentation contain forward-looking statements and information. The use of words such as “may,” “might,” “will,” “should,” “expect,” “plan,” “anticipate,” “believe,” “estimate,” “project,” “intend,” “future,” “p |
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| April 3, 2023 |
Power of attorney (included on the signature page to this Registration Statement) Table of Contents As filed with the Securities and Exchange Commission on March 31, 2023 Registration No. |
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| April 3, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form F-1 (Form Type) Oculis Holding AG (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees to Be Paid Equity Primary Offering Ordinary Shares underlying Warrants Other 4,403,294 (1) $11. |
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| March 28, 2023 |
Exhibit 2.5 Exhibit 2.5 DESCRIPTION OF SECURITIES General We were incorporated as a stock corporation (Aktiengesellschaft) organized under the laws of Switzerland in accordance with articles 620 et seqq. of the CO and registered with the Commercial Register of the Canton of Zug on October 31, 2022. Our corporate legal headquarters is located at Bahnhofstarsse 7, 6300 Zug, Switzerland and is expect |
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| March 28, 2023 |
Exhibit 12.1 Certification by the Principal Executive Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Riad Sherif, certify that: 1. I have reviewed this annual report on Form 20-F of Oculis Holding AG (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a mat |
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| March 28, 2023 |
Exhibit 12.2 Certification by the Principal Financial Officer pursuant to Securities Exchange Act Rules 13a-14(a) and 15d-14(a) as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Sylvia Cheung, certify that: 1. I have reviewed this annual report on Form 20-F of Oculis Holding AG (the “Company”); 2. Based on my knowledge, this report does not contain any untrue statement of a m |
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| March 28, 2023 |
Exhibit 13.1 Certification by the Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report on Form 20-F of Oculis Holding AG (the “Company”) for the fiscal year ended December 31, 2022, as filed with the Securities and Exchange Commission on the date here |
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| March 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F (Mark One) ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES E |
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| March 15, 2023 |
OCS / Oculis Holding AG / Pivotal bioVenture Partners Fund I, L.P. - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Oculis Holding AG (Name of Issuer) Ordinary Shares, CHF 0.01 par value per share (Title of Class of Securities) H5870P102 (CUSIP Number) March 3, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| March 15, 2023 |
EX-99.1 EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. Date: March 15, 2023 NAN FUNG GROUP HOLDINGS LIM |
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| March 13, 2023 |
EX-99.1 2 tm239106d1ex99-1.htm EXHIBIT 1 EXHIBIT 1 POWER OF ATTORNEY We, the undersigned, under the authority granted to each of us to sign jointly on behalf of Novartis AG, hereby grant powers to Bart Dzikowski, Anja Koenig, Florian Muellershausen, Marianne Uteng, Mathias Frederiksen, Beat Steffen and Helena Sanchez, and constitute and appoint any two of them jointly as our true and lawful attorn |
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| March 13, 2023 |
EXHIBIT 3 Joint Filing Agreement In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including amendments thereto) with respect to the Ordinary Shares, CHF 0. |
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| March 13, 2023 |
OCS / Oculis Holding AG / Novartis Bioventures Ltd - SC 13G Passive Investment SC 13G 1 tm239106d1sc13g.htm SC 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Oculis Holding AG (Name of Issuer) Ordinary Shares, CHF 0.01 par value per share (Title of Class of Securities) H5870P102 (CUSIP Number) March 2, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to |
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| March 13, 2023 |
EVIDENCE OF SIGNATORY AUTHORITY EXHIBIT 2 EVIDENCE OF SIGNATORY AUTHORITY Excerpt from Commercial Register of Novartis AG Identification number Legal status Entry Cancelled Carried CH-270. |
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| March 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F 20-F Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 8, 2023 |
EX-4.11 4 d468105dex411.htm EX-4.11 Exhibit 4.11 Execution Version AMENDED AND RESTATED REGISTRATION RIGHTS AND LOCK-UP AGREEMENT by and among OCULIS HOLDING AG and THE SHAREHOLDERS THAT ARE SIGNATORIES HERETO Dated as of 2 March, 2023 TABLE OF CONTENTS Page SECTION 1. CERTAIN DEFINITIONS 1 SECTION 2. REGISTRATION RIGHTS 5 2.1. Demand Registrations 5 2.2. Piggyback Registrations 10 2.3. Allocation |
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| March 8, 2023 |
EX-2.3 Exhibit 2.3 WARRANT ASSIGNMENT AND ASSUMPTION AGREEMENT This Warrant Assignment and Assumption Agreement (this “Agreement”) is entered into as of 1 March, 2023, by and among European Biotech Acquisition Corp., a Cayman Islands exempted company (the “Company”), Oculis Holding AG, a stock corporation (Aktiengesellschaft) incorporated and existing under the laws of Switzerland (“New Parent”), |
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| March 8, 2023 |
Consent of PricewaterhouseCoopers SA, independent registered accounting firm for Oculis. EX-15.3 Exhibit 15.3 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Shell Company Report on Form 20-F of Oculis Holding AG of our report dated November 7, 2022 relating to the consolidated financial statements of Oculis SA, which appears in the Registration Statement on Form F-4 (No. 333-268201) of Oculis Holding AG. We also con |
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| March 8, 2023 |
Consent of Marcum LLP, independent registered public accounting firm for EBAC. EX-15.2 8 d468105dex152.htm EX-15.2 Exhibit 15.2 INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM’S CONSENT We consent to the incorporation by reference in this Shell Company Report of Oculis Holding AG on Form 20-F of our report dated February 27, 2023, which includes an explanatory paragraph as to the ability of European Biotech Acquisition Corp. to continue as a going concern, with respect to our |
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| March 8, 2023 |
Unaudited Pro Forma Condensed Financial Combined Statements. Exhibit 15.1 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION The following unaudited pro forma condensed combined financial statements are provided to aid you in your analysis of the financial aspects of the Business Combination, the consummation of the PIPE Financing and Convertible Loan Agreements which are collectively referred to as the “Transactions.” The unaudited pro forma cond |
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| March 8, 2023 |
Articles of Association of the Company. Exhibit 1.1 ARTICLES OF ASSOCIATION STATUTEN of der Oculis Holding AG Oculis Holding AG (Oculis Holding SA) (Oculis Holding SA) (Oculis Holding Ltd) (Oculis Holding Ltd) with registered office in mit Sitz in Zug Zug (Translation; in case of controversy the German text shall prevail) I. CORPORATE NAME, REGISTERED OFFICE, DURATION AND PURPOSE OF THE COMPANY I. FIRMA, SITZ, DAUER UND ZWECK DER GE |
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| March 8, 2023 |
Form of Indemnification Agreement with the registrant’s officers and directors.s EX-4.13 Exhibit 4.13 INDEMNIFICATION AGREEMENT by and among Oculis Holding AG Bahnhofstrasse 7 6300 Zug Switzerland (“Oculis”) And [NAME] [address] (the “Indemnitee “) (the Indemnitee and together with the Company, the “Parties” and each a “Party”) regarding the indemnification of the Indemnitee by the Company Preamble A The Company is a Swiss corporation registered with the commercial register of |
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| March 3, 2023 |
Oculis Announces US Public Listing on NASDAQ Exhibit 99.1 Oculis Announces US Public Listing on NASDAQ • Closing of business combination with European Biotech Acquisition Corp. creates Nasdaq- listed ophthalmology company, under the ticker “OCS”, with advanced clinical-stage pipeline of multiple product candidates in key areas of medical needs such as retina, dry eye, and neuro- ophtha diseases • Upsized PIPE and private investment financing |
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| March 3, 2023 |
6-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 OF THE SECURITIES EXCHANGE ACT OF 1934 For the Month of March 2023 (Commission File No. 001-41636) Oculis Holding AG (Translation of registrant’s name into English) Bahnhofstrasse 7 CH-6300 Zug, Switzerland (Address of registrant’s principal executive offi |
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| March 1, 2023 |
8-A12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Oculis Holding AG (Exact Name of Registrant as Specified in Its Charter) Switzerland Not Applicable (Jurisdiction of Incorporation or Organization) (I.R.S. Employer Identification No.) Bah |
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| February 3, 2023 |
Table of Contents Filed Pursuant to Rule 424(b)(3) File Number 333-268201 European Biotech Acquisition Corp. |
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| February 2, 2023 |
Oculis Holding AG Bahnhofstrasse 7 Zug, Switzerland February 2, 2023 CORRESP 1 filename1.htm Oculis Holding AG Bahnhofstrasse 7 CH-6300 Zug, Switzerland February 2, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Trade & Services 100 F Street, N.E. Washington, D.C. 20549 Attn: Li Xiao Daniel Gordon Daniel Crawford Ada D. Sarmento Re: Oculis Holding AG Registration Statement on Form F-4 File No. 333-268201 Ladies and |
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| February 1, 2023 |
Derek Dostal +1 212 450 4322 [email protected] Davis Polk & Wardwell LLP 450 Lexington Avenue New York, NY 10017 davispolk.com February 1, 2023 Re: Oculis Holding AG Amendment No. 3 to Registration Statement on Form F-4 Filed January 27, 2023 File No. 333-268201 U.S. Securities and Exchange Commission Division of Corporation Finance Office of Trade & Services 100 F Street, N.E. Washington |
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| February 1, 2023 |
Representation under Item 8.A.4 of Form 20-F. Exhibit 99.8 February 1, 2023 Securities and Exchange Commission Division of Corporation Finance Office of the Chief Accountant 100 F Street NE Washington, DC 20549 Re: Oculis Holding AG Registration Statement on Form F-4 (333-268201) Request for Waiver of Requirements of Form 20-F, Item 8.A.4 Ladies and Gentlemen: The undersigned, Oculis Holding AG (“New Parent”) and Oculis SA (“Oculis”), each a |
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| February 1, 2023 |
the Registration Statement on Form F-4 Table of Contents As filed with the Securities and Exchange Commission on February 1, 2023. |
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| January 27, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form F-4 (Form Type) Oculis Holding AG (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees to Be Paid Equity Ordinary Shares(2) 457(f)(1) 44,524,604 $9. |
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| January 27, 2023 |
Derek Dostal +1 212 450 4322 [email protected] Davis Polk & Wardwell LLP 450 Lexington Avenue New York, NY 10017 davispolk.com January 27, 2023 Re: Oculis Holding AG Amendment No. 2 to Registration Statement on Form F-4 Filed January 6, 2023 File No. 333-268201 U.S. Securities and Exchange Commission Division of Corporation Finance Office of Trade & Services 100 F Street, N.E. Washington, |
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| January 27, 2023 |
As filed with the Securities and Exchange Commission on January 27, 2023. Table of Contents As filed with the Securities and Exchange Commission on January 27, 2023. |
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| January 6, 2023 |
Form of Stock Option and Incentive Plan Regulation 2023 of Oculis Holding AG. EX-10.13 6 d389734dex1013.htm EX-10.13 Exhibit 10.13 I have read, understood and do accept the Stock Option and Incentive Plan Regulation 2023 of Oculis Holding AG. I accept that any Awards granted qualify as a voluntary benefit for me (Gratifikation/gratification) and shall under no circumstances be regarded as salary (Lohn/salaire): [date] [Signature] STOCK OPTION AND INCENTIVE PLAN REGULATION 2 |
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| January 6, 2023 |
Derek Dostal +1 212 450 4322 [email protected] Davis Polk & Wardwell LLP 450 Lexington Avenue New York, NY 10017 davispolk.com January 6, 2023 Re: Oculis Holding AG Amendment No. 1 to Registration Statement on Form F-4 Filed December 12, 2022 File No. 333-268201 U.S. Securities and Exchange Commission Division of Corporation Finance Office of Trade & Services 100 F Street, N.E. Washington |
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| January 6, 2023 |
List of subsidiaries of New Parent. Exhibit 21.1 Subsidiaries of Oculis Holding AG Name Jurisdiction of Incorporation Oculis Merger Sub I Company Cayman Islands Oculis Merger Sub II Company Cayman Islands Oculis Operations GmbH Switzerland |
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| January 6, 2023 |
Form of New Parent Director and Officer Indemnification Agreement. EX-10.10 5 d389734dex1010.htm EX-10.10 Exhibit 10.10 INDEMNIFICATION AGREEMENT dated [DATE] by and among Oculis Holding AG Bahnhofstrasse 7 6300 Zug Switzerland (“Oculis”) And [Name of Director / Executive] [address] (the “Indemnitee “) (the Indemnitee and together with the Company, the “Parties” and each a “Party”) regarding the indemnification of the Indemnitee by the Company Indemnification Agr |
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| January 6, 2023 |
Consent of Christina Ackermann to be named as a director. EX-99.2 11 d389734dex992.htm EX-99.2 Exhibit 99.2 Consent to be Named as a Director In connection with the filing by Oculis Holding AG (“Oculis”) of the Registration Statement on Form F-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to bei |
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| January 6, 2023 |
As filed with the Securities and Exchange Commission on January 6, 2023. F-4/A 1 d389734df4a.htm F-4/A Table of Contents As filed with the Securities and Exchange Commission on January 6, 2023. Registration No. 333-268201 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 to FORM F-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Oculis Holding AG (Exact Name of Registrant as Specified in Its Charter) Switzerland 2834 Not Applicable (Sta |
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| January 6, 2023 |
Consent of Martijn Kleijwegt to be named as a director. EX-99.5 14 d389734dex995.htm EX-99.5 Exhibit 99.5 Consent to be Named as a Director In connection with the filing by Oculis Holding AG (“Oculis”) of the Registration Statement on Form F-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to bei |
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| January 6, 2023 |
Consent of Pravin Dugel, M.D. to be named as a director. Exhibit 99.4 Consent to be Named as a Director In connection with the filing by Oculis Holding AG (?Oculis?) of the Registration Statement on Form F-4 (the ?Registration Statement?) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the ?Securities Act?), I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statemen |
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| January 6, 2023 |
Form of Proxy Card for EBAC Extraordinary General Meeting. Exhibit 99.1 EUROPEAN BIOTECH ACQUISITION CORP. EPFL INNOVATION PARK, BAT D 3E ROUTE J-D. COLLADON CH-1015 LAUSANNE, SWITZERLAND VOTE BY INTERNET - www.proxyvote.com or scan the QR Barcode above Use the Internet to transmit your voting instructions and for electronic delivery of information up until 11:59 p.m. Eastern Time the day before the cut-off date or meeting date. Follow the instructions to |
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| January 6, 2023 |
EX-4.7 2 d389734dex47.htm EX-4.7 Exhibit 4.7 WARRANT ASSIGNMENT AND ASSUMPTION AGREEMENT This Warrant Assignment and Assumption Agreement (this “Agreement”) is entered into as of [•], 2023, by and among European Biotech Acquisition Corp., a Cayman Islands exempted company (the “Company”), Oculis Holding AG, a stock corporation (Aktiengesellschaft) incorporated and existing under the laws of Switze |
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| January 6, 2023 |
Consent of Lionel Carnot to be named as a director. EX-99.3 12 d389734dex993.htm EX-99.3 Exhibit 99.3 Consent to be Named as a Director In connection with the filing by Oculis Holding AG (“Oculis”) of the Registration Statement on Form F-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to bei |
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| January 6, 2023 |
Consent of Anthony Rosenberg to be named as a director. EX-99.7 16 d389734dex997.htm EX-99.7 Exhibit 99.7 Consent to be Named as a Director In connection with the filing by Oculis Holding AG (“Oculis”) of the Registration Statement on Form F-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to bei |
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| January 6, 2023 |
Consent of Geraldine O’Keeffe to be named as a director. EX-99.6 15 d389734dex996.htm EX-99.6 Exhibit 99.6 Consent to be Named as a Director In connection with the filing by Oculis Holding AG (“Oculis”) of the Registration Statement on Form F-4 (the “Registration Statement”) with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to bei |
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| December 12, 2022 |
Exhibit 10.9 [***] Certain information in this document has been omitted from this exhibit because it is both (i) not material and (ii) customarily and actually treated by the registrant as private or confidential. AMENDMENT THIS AMENDMENT to the LICENSE AGREEMENT by and between ALCON RESEARCH, LTD. and OCULIS SA, dated 19 December 2018 BETWEEN: (1) ALCON RESEARCH, LTD., a company organised and ap |
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| December 12, 2022 |
License Agreement by and among Alcon Research, LTD., and Oculis, dated December 19, 2018 Exhibit 10.8 [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) CUSTOMARILY AND ACTUALLY TREATED BY THE REGISTRANT AS PRIVATE OR CONFIDENTIAL. LICENSE AGREEMENT by and between ALCON RESEARCH, LTD. and OCULIS SA, dated 19 December, 2018 [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, M |
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| December 12, 2022 |
CORRESP 1 filename1.htm Derek Dostal +1 212 450 4322 [email protected] Davis Polk & Wardwell LLP 450 Lexington Avenue New York, NY 10017 davispolk.com December 12, 2022 Re: Oculis Holding AG Registration Statement on Form F-4 Filed November 7, 2022 File No. 333-268201 U.S. Securities and Exchange Commission Division of Corporation Finance Office of Trade & Services 100 F Street, N.E. Wash |
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| December 12, 2022 |
Letter Agreement by and among Novartis Technology LLC and Oculis, dated October 12, 2021 EX-10.11 4 d389734dex1011.htm EX-10.11 Exhibit 10.11 [***] Certain information in this document has been omitted from this exhibit because it is both (i) not material and (ii) customarily and actually treated by the registrant as private or confidential. LETTER AGREEMENT By and between NOVARTIS TECHNOLOGY LLC and OCULIS SA October 12, 2021 Novartis Technology LLC (“Novartis”), located at One Healt |
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| December 12, 2022 |
EX-FILING FEES 8 d389734dexfilingfees.htm EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form F-4 (Form Type) Oculis Holding AG (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount |
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| December 12, 2022 |
License Agreement by and among Accure Therapeutics SL and Oculis, dated January 29, 2022 EX-10.12 5 d389734dex1012.htm EX-10.12 [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) CUSTOMARILY AND ACTUALLY TREATED BY THE REGISTRANT AS PRIVATE OR CONFIDENTIAL. Exhibit 10.12 LICENSE AGREEMENT This LICENSE AGREEMENT (collectively with all Appendices hereto, “Agreement”) is entered into as of Janua |
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| December 12, 2022 |
As filed with the Securities and Exchange Commission on December 12, 2022. F-4/A 1 d389734df4a.htm F-4/A Table of Contents As filed with the Securities and Exchange Commission on December 12, 2022. Registration No. 333-268201 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM F-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Oculis Holding AG (Exact Name of Registrant as Specified in Its Charter) Switzerland 2834 Not Applicable (S |
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| November 7, 2022 |
As filed with the Securities and Exchange Commission on November 7, 2022. F-4 1 d389734df4.htm F-4 Table of Contents As filed with the Securities and Exchange Commission on November 7, 2022. Registration No. 333- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Oculis Holding AG (Exact Name of Registrant as Specified in Its Charter) Switzerland 2834 Not Applicable (State or Other Jurisdiction of I |
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| November 7, 2022 |
License Agreement by and among Accure Therapeutics SL and Oculis, dated January 29, 2022. EX-10.12 2 d389734dex1012.htm EX-10.12 [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, IS OMITTED BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) CUSTOMARILY AND ACTUALLY TREATED BY THE REGISTRANT AS PRIVATE OR CONFIDENTIAL. Exhibit 10.12 LICENSE AGREEMENT This LICENSE AGREEMENT (collectively with all Appendices hereto, “Agreement”) is entered into as of Janua |
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| November 7, 2022 |
EX-FILING FEES Exhibit 107 Calculation of Filing Fee Tables Form F-4 (Form Type) Oculis Holding AG (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees to Be Paid Equity Ordinary Shares(2) 457(f)(1) 44,596,718 $9. |
