Filing Details
- Accession Number:
- 0001209191-17-041981
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-06-27 17:09:39
- Reporting Period:
- 2017-06-23
- Filing Date:
- 2017-06-27
- Accepted Time:
- 2017-06-27 17:09:39
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1493566 | Otonomy Inc. | OTIC | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1239648 | J Eric Loumeau | C/O Otonomy, Inc. 4796 Executive Drive San Diego CA 92121 | Gc & Chief Compliance 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 | 2015-12-01 | 648 | $20.37 | 648 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2016-06-01 | 1,021 | $13.13 | 1,669 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2016-12-01 | 647 | $13.05 | 2,316 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2017-06-01 | 1,206 | $11.43 | 3,522 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2017-06-23 | 2,316 | $18.50 | 1,206 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2017-06-26 | 1,206 | $18.75 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (right to buy) | $31.59 | 2025-05-15 | 100,000 | 100,000 | Direct | |
| Common Stock | Employee Stock Option (right to buy) | $14.44 | 2026-03-01 | 70,000 | 70,000 | Direct | |
| Common Stock | Employee Stock Option (right to buy) | $14.00 | 2027-03-06 | 50,000 | 50,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2025-05-15 | 100,000 | 100,000 | Direct |
| 2026-03-01 | 70,000 | 70,000 | Direct |
| 2027-03-06 | 50,000 | 50,000 | Direct |
Footnotes
- Acquired pursuant to the Issuer's 2014 Employee Stock Purchase Plan.
- 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 May 15, 2016, and one forty-eighth of the shares vest monthly thereafter.
- One-fourth of the shares subject to the option vested on March 1, 2017 and one forty-eighth of the shares vest monthly thereafter.
- One-fourth of the shares subject to the option vest on March 6, 2018 and one forty-eighth of the shares vest monthly thereafter.
Billionaire Hedge Funds
