Filing Details
- Accession Number:
- 0001209191-15-054423
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-06-17 20:06:37
- Reporting Period:
- 2015-06-15
- Filing Date:
- 2015-06-17
- Accepted Time:
- 2015-06-17 20:06:37
- 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 |
---|---|---|---|---|---|---|---|
1394692 | Ii Michael Robert Savel | C/O Otonomy, Inc. 6275 Nancy Ridge Drive, Suite 100 San Diego CA 92121 | Chief Technical Officer | No | Yes | No | No |
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 | 2015-06-15 | 10,212 | $1.76 | 11,468 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2015-06-15 | 14,788 | $6.33 | 26,256 | No | 4 | M | Direct | |
Common Stock | Disposition | 2015-06-15 | 25,000 | $23.73 | 1,256 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | M | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Employee Stock Option (right to buy) | Disposition | 2015-06-15 | 10,212 | $1.76 | 10,212 | $1.76 |
Common Stock | Employee Stock Option (right to buy) | Disposition | 2015-06-15 | 14,788 | $6.33 | 14,788 | $6.33 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
82,222 | 2015-01-06 | 2024-01-31 | No | 4 | M | Direct |
39,819 | 2015-04-23 | 2024-06-03 | No | 4 | M | Direct |
Footnotes
- The sales reported on this Form 4 were effected pursuant to Rule 10b5-1 trading plan.
- The sale price reported in column 4 of Table I represents the weighted average sale price of the shares sold ranging from $22.60 to $24.23 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the reporting person will provide full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4.
- Of the total grant of 92,434 shares, one fourth of the shares subject to the option vest on January 6, 2015 and one forty-eighth of the shares vest monthly thereafter.
- Of the total grant of 54,607 shares, one fourth of the shares subject to the option vest on April 23, 2015 and one forty-eighth of the shares vest monthly thereafter.