Filing Details

Accession Number:
0000947871-15-000860
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-11-30 18:50:18
Reporting Period:
2015-11-25
Filing Date:
2015-11-30
Accepted Time:
2015-11-30 18:50:18
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
1609405 Quang Chau Khuong 601 Lexington Avenue, 54Th Floor
New York NY 10022
Yes No 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 Disposition 2015-11-25 34,800 $28.91 1,882,400 No 4 S Indirect See Footnotes
Common Stock Disposition 2015-11-27 29,000 $28.97 1,853,400 No 4 S Indirect See Footnotes
Common Stock Disposition 2015-11-30 2,716 $28.64 1,850,684 No 4 S Indirect See Footnotes
Common Stock Disposition 2015-11-30 590 $29.22 1,850,094 No 4 S Indirect See Footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnotes
No 4 S Indirect See Footnotes
No 4 S Indirect See Footnotes
No 4 S Indirect See Footnotes
Footnotes
  1. The price reported in Column 4 is a weighted average price. These shares of the Issuer's common stock ("Shares") were sold in multiple transactions at prices ranging from $28.85 to $29.26 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission (the "SEC") full information regarding the Shares sold at each separate price within the range set forth in this footnote.
  2. The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $28.80 to $29.09 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
  3. The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $28.13 to $29.11 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
  4. The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $29.21 to $29.25 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
  5. These Shares are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV and OrbiMed Advisors LLC ("Advisors") is the managing member of GP IV. Samuel D. Isaly ("Isaly") is the managing member of and owner of a controlling interest in Advisors and may be deemed to have voting and investment power over the Shares held by OPI IV. The Reporting Person is an employee of Advisors.
  6. Each of GP IV, Advisors, Isaly and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.