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Filing Details

Accession Number:: 0001209191-15-080751
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2015-11-17 20:08:05
Reporting Period:: 2015-11-16

Filing Date:: 2015-11-17
Accepted Time:: 2015-11-17 20:08:05
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2015-11-16	5,208	$1.76	22,811	No	4	M	Direct
Common Stock	Disposition	2015-11-16	5,108	$28.56	17,703	No	4	S	Direct
Common Stock	Disposition	2015-11-16	100	$29.25	17,603	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (right to buy)	Disposition	2015-11-16	5,208	$0.00	5,208	$1.76

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
395,357		2023-12-20	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	4,812	Indirect	See footnote

Footnotes

The Form 4s filed by the Reporting Person since December 2014 did not include the Reporting Person's 17,064 shares acquired prior to the Issuer's initial public offering, also held directly by the Reporting Person. Column 5 of Table I now reflects these additional 17,064 shares.
The sales reported on this Form 4 were effected pursuant to a 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 $28.03 to $28.99 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.
The Form 4s filed by the Reporting Person since December 2014 did not reflect the 4,812 shares held indirectly by The Weber Trust Dated March 9, 2005 for which the Reporting Person serves as a trustee. Column 5 of Table I now reflects these additional 4,812 shares held indirectly by the Reporting Person.
The reported shares are held directly by The Weber Trust Dated March 9, 2005 for which the Reporting Person serves as trustee.
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.
In addition to the option to purchase 395,357 shares of common stock as set forth in Table II, the Reporting Person currently holds options to purchase up to an aggregate of 525,581 shares of common stock, which options vest according to their terms.