0000899243-17-021482.txt : 20170905 0000899243-17-021482.hdr.sgml : 20170905 20170905183854 ACCESSION NUMBER: 0000899243-17-021482 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170831 FILED AS OF DATE: 20170905 DATE AS OF CHANGE: 20170905 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lichter Jay CENTRAL INDEX KEY: 0001376355 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36591 FILM NUMBER: 171069875 MAIL ADDRESS: STREET 1: C/O ARATANA THERAPEUTICS, INC. STREET 2: 11400 TOMAHAWK CREEK PARKWAY, SUITE 340 CITY: LEAWOOD STATE: KS ZIP: 66211 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: OTONOMY, INC. CENTRAL INDEX KEY: 0001493566 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 262590070 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4796 EXECUTIVE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: (619) 323-2200 MAIL ADDRESS: STREET 1: 4796 EXECUTIVE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: Otonomy, Inc. DATE OF NAME CHANGE: 20100607 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-08-31 0 0001493566 OTONOMY, INC. OTIC 0001376355 Lichter Jay C/O AVALON VENTURES 1134 KLINE STREET LA JOLLA CA 92037 1 0 0 0 Common Stock 2017-08-31 4 M 0 141060 14.18 A 2406212 I See Footnote Common Stock 2017-08-31 4 F 0 108851 18.37 D 2297361 I See Footnote Warrant to Purchase Common Stock (Right to Buy) 14.18 2017-08-31 4 M 0 14106 0.00 D 2014-08-18 2018-11-04 Common Stock 14106 0 I See Footnote Warrant to Purchase Common Stock (Right to Buy) 14.18 2017-08-31 4 M 0 14106 0.00 D 2014-08-18 2018-12-08 Common Stock 14106 0 I See Footnote Warrant to Purchase Common Stock (Right to Buy) 14.18 2017-08-31 4 M 0 14106 0.00 D 2014-08-18 2019-01-14 Common Stock 14106 0 I See Footnote Warrant to Purchase Common Stock (Right to Buy) 14.18 2017-08-31 4 M 0 14106 0.00 D 2014-08-18 2019-04-13 Common Stock 14106 0 I See Footnote Warrant to Purchase Common Stock (Right to Buy) 14.18 2017-08-31 4 M 0 14106 0.00 D 2014-08-18 2019-07-01 Common Stock 14106 0 I See Footnote Warrant to Purchase Common Stock (Right to Buy) 14.18 2017-08-31 4 M 0 14106 0.00 D 2014-08-18 2019-10-08 Common Stock 14106 0 I See Footnote Warrant to Purchase Common Stock (Right to Buy) 14.18 2017-08-31 4 M 0 14106 0.00 D 2014-08-18 2019-12-15 Common Stock 14106 0 I See Footnote Warrant to Purchase Common Stock (Right to Buy) 14.18 2017-08-31 4 M 0 14106 0.00 D 2014-08-18 2020-01-22 Common Stock 14106 0 I See Footnote Warrant to Purchase Common Stock (Right to Buy) 14.18 2017-08-31 4 M 0 14106 0.00 D 2014-08-18 2020-04-01 Common Stock 14106 0 I See Footnote Warrant to Purchase Common Stock (Right to Buy) 14.18 2017-08-31 4 M 0 14106 0.00 D 2014-08-18 2020-05-28 Common Stock 14106 0 I See Footnote On August 31, 2017, Avalon Ventures VIII, L.P. ("Avalon VIII LP") exercised certain warrants to purchase an aggregate of 141,060 shares of the Issuer's common stock at an exercise price of $14.18 per share. Avalon VIII LP paid the exercise price of the warrants on a cashless basis, resulting in the Issuer's withholding of 108,851 of the shares of common stock to pay the exercise price and the issuance to Avalon VIII LP of 32,209 shares. The reported securities are held of record by Avalon VIII LP. The Reporting Person is a managing director of Avalon Ventures VIII GP, LLC, the general partner of Avalon VIII LP, and disclaims beneficial ownership of the securities held by Avalon VIII LP except to the extent of any pecuniary interest therein. /s/ Jay Lichter, Ph.D. 2017-09-05