Filing Details
- Accession Number:
- 0001209191-15-071486
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-09-18 19:05:04
- Reporting Period:
- 2015-09-17
- Filing Date:
- 2015-09-18
- Accepted Time:
- 2015-09-18 19:05:04
- 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 |
---|---|---|---|---|---|---|---|
1615234 | E Paul Cayer | C/O Otonomy, Inc. 6275 Nancy Ridge Drive, Suite 100 San Diego CA 92121 | Cfo/Ch. Business Offcr & Sec. | 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 | 2015-09-17 | 3,000 | $1.76 | 12,610 | No | 4 | M | Direct | |
Common Stock | Disposition | 2015-09-17 | 3,000 | $24.95 | 9,610 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
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 | 2015-09-17 | 3,000 | $24.95 | 3,000 | $1.76 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
138,541 | 2023-12-20 | No | 4 | M | Direct |
Footnotes
- The Form 4 filed by the Reporting Person on June 1, 2015 reported that there was a total of 2,500 shares directly held by the Reporting Person. This number did not include the Reporting Person's 7,110 shares acquired prior to the Issuer's initial public offering, also directly held by the Reporting Person. Column 5 of Table I now reflects these additional 7,110 shares.
- The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- One fourth of the shares subject to the option vested on September 1, 2014 and one forty-eighth of the shares vest monthly thereafter.