Filing Details
- Accession Number:
- 0001209191-15-079921
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-12 20:46:59
- Reporting Period:
- 2015-11-11
- Filing Date:
- 2015-11-12
- Accepted Time:
- 2015-11-12 20:46:59
- 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Conmon Stock | Acquisiton | 2015-11-11 | 1,453 | $1.76 | 11,063 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-11-11 | 1,547 | $6.33 | 12,610 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-11-11 | 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 | 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 | 2015-11-11 | 1,453 | $0.00 | 1,453 | $1.76 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2015-11-11 | 1,547 | $0.00 | 1,547 | $6.33 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 137,088 | 2023-12-20 | No | 4 | M | Direct | |
| 83,492 | 2024-06-03 | No | 4 | M | Direct |
Footnotes
- The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- One-fourth (1/4) of the shares subject to the option vested on September 1, 2014 and one forty-eighth of the shares vest monthly thereafter.
- One fourth (1/4) of the shares subject to the option vested on April 23, 2015 and one forty-eighth of the shares vest monthly thereafter.
Billionaire Hedge Funds
