Filing Details
- Accession Number:
- 0001209191-15-080125
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-13 19:59:03
- Reporting Period:
- 2015-11-13
- Filing Date:
- 2015-11-13
- Accepted Time:
- 2015-11-13 19:59:03
- 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 |
---|---|---|---|---|---|---|---|
1616147 | Allen David Weber | C/O Otonomy, Inc. 6275 Nancy Ridge Drive, Suite 100 San Diego CA 92121 | President & Ceo | Yes | 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 | 2015-11-13 | 10,416 | $1.76 | 10,955 | No | 4 | M | Direct | |
Common Stock | Disposition | 2015-11-13 | 10,416 | $30.95 | 539 | 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 | 2015-11-13 | 10,416 | $0.00 | 10,416 | $1.76 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
400,565 | 2023-12-20 | No | 4 | M | Direct |
Footnotes
- The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- An option to purchase 438,469 shares was granted on December 20, 2013 and was exercised in part prior to the date on which the Reporting Person became subject to Section 16. The option is subject to an early exercise provision pursuant to which 193,874 shares were immediately exercisable. One fourth of the total number of shares initially subject to the option vested on September 1, 2014 and one forty-eighth of the shares vest ratably thereafter.