Filing Details
- Accession Number:
- 0001209191-14-053406
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-19 17:52:06
- Reporting Period:
- 2014-08-18
- Filing Date:
- 2014-08-19
- Accepted Time:
- 2014-08-19 16:52:06
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1493566 | Otonomy Inc. | OTIC | Pharmaceutical Preparations (2834) | 262590070 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1388325 | A/S Novo | Tuborg Havnevej 19 Hellerup G7 2900 | No | No | Yes | Yes |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-08-18 | 36,405 | $0.00 | 36,405 | No | 4 | X | Direct | |
| Common Stock | Acquisiton | 2014-08-18 | 31,854 | $0.00 | 68,259 | No | 4 | X | Direct | |
| Common Stock | Acquisiton | 2014-08-18 | 1,919,201 | $0.00 | 1,987,460 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-08-18 | 171,875 | $16.00 | 2,159,335 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | X | Direct | |
| No | 4 | X | Direct | |
| No | 4 | C | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series C Preferred Stock Warrant (Right to Buy) | Disposition | 2014-08-18 | 36,405 | $0.00 | 36,405 | $0.00 |
| Common Stock | Series C Preferred Stock Warrant (Right to Buy) | Disposition | 2014-08-18 | 31,854 | $0.00 | 31,854 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2014-08-18 | 439,724 | $0.00 | 439,724 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2014-08-18 | 1,131,436 | $0.00 | 1,131,436 | $0.00 |
| Common Stock | Series D Preferred Stock | Disposition | 2014-08-18 | 348,041 | $0.00 | 348,041 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2022-08-23 | No | 4 | X | Direct | |
| 0 | 2023-01-22 | No | 4 | X | Direct | |
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- Immediately prior to the closing of the Issuer's initial public offering (the "IPO Closing"), the warrants were exercised for shares of Series C Preferred Stock (the "Series C Warrant Shares") at an exercise price of $8.79 per share (after adjustment for the 35.16-for-1 reverse split of common stock (the "Stock Split") effected by the Issuer on July 31, 2014). The Series C Warrant Shares were automatically converted upon the IPO Closing on a one-for-one basis for no additional consideration into the Issuer's common stock. The number of shares indicated for this line item represents the number of shares of the Issuer's common stock covered by the warrants and the subsequent conversion of such warrants into the Series C Warrant Shares as adjusted for the Stock Split.
- The Series B, Series C and Series D Preferred Stock (collectively, the "Preferred Stock") had no expiration date and was convertible at any time at the holder's election. Upon the IPO Closing, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into the Issuer's common stock. The number of shares reported on this line item reflects the number of shares of the Issuer's common stock as adjusted for the Stock Split.
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