Filing Details
- Accession Number:
- 0001209191-15-071918
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-09-22 19:01:28
- Reporting Period:
- 2015-09-21
- Filing Date:
- 2015-09-22
- Accepted Time:
- 2015-09-22 19:01:28
- 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 |
---|---|---|---|---|---|---|---|
1439275 | Carl Lebel | C/O Otonomy, Inc. 6275 Nancy Ridge Drive, Suite 100 San Diego CA 92121 | Chief Scientific 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 | 2015-09-21 | 4,167 | $1.76 | 13,087 | No | 4 | M | Direct | |
Common Stock | Acquisiton | 2015-09-21 | 17,083 | $6.33 | 30,170 | No | 4 | M | Direct | |
Common Stock | Disposition | 2015-09-21 | 21,250 | $24.36 | 8,920 | 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 | 2015-09-21 | 4,167 | $24.36 | 4,167 | $1.76 |
Common Stock | Employee Stock Option (right to buy) | Disposition | 2015-09-21 | 17,083 | $24.36 | 17,083 | $6.33 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
137,284 | 2023-12-20 | No | 4 | M | Direct | |
67,956 | 2024-06-03 | No | 4 | M | Direct |
Footnotes
- The Form 4 filed by the Reporting Person on June 2, 2015 reported that there were a total of 389 shares held directly by the Reporting Person. This number did not include the Reporting Person's 8,531 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 8,531 shares.
- 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 $23.51 to $25.81 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 (3) to this Form 4.
- One fourth of the shares subject to the option vested on September 1, 2014 and one forty-eighth of the shares vest monthly thereafter.
- One fourth of the shares subject to the option vested on April 23, 2015 and one forty-eighth of the shares vest monthly thereafter.