Filing Details
- Accession Number:
- 0001209191-16-151770
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-22 17:57:36
- Reporting Period:
- 2016-11-18
- Filing Date:
- 2016-11-22
- Accepted Time:
- 2016-11-22 17:57:36
- 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 |
|---|---|---|---|---|---|---|---|
| 1439275 | Carl Lebel | C/O Otonomy, Inc. 6275 Nancy Ridge Drive, Suite 100 San Diego CA 92121 | Chief Scientific 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 | 2016-11-18 | 3,543 | $6.33 | 13,001 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2016-11-18 | 5,626 | $3.17 | 18,627 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-18 | 9,169 | $18.07 | 9,458 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2016-11-21 | 1,456 | $3.17 | 10,914 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2016-11-21 | 1,456 | $18.07 | 9,458 | 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 | |
| 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 | 2016-11-18 | 3,543 | $0.00 | 3,543 | $6.33 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2016-11-18 | 5,626 | $0.00 | 5,626 | $3.17 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2016-11-21 | 1,456 | $0.00 | 1,456 | $3.17 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 31,891 | 2024-06-30 | No | 4 | M | Direct | |
| 14,259 | 2020-11-19 | No | 4 | M | Direct | |
| 12,803 | 2020-11-19 | No | 4 | M | Direct |
Footnotes
- 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 $17.95 to $18.20 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.
- One-fourth of the shares subject to the option vested on April 23, 2015 and one forty-eighth of the shares vest monthly thereafter.
- In addition to the remaining options to purchase 44,694 shares of common stock as set forth in Table II, the Reporting Person also holds options to purchase up to an aggregate of 239,392 shares of common stock, which options vest according to their terms.
- One-fourth of the shares subject to the option vested on November 19, 2011 and one forty-eighth of the shares vest monthly thereafter.
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