0001209191-21-016509.txt : 20210302 0001209191-21-016509.hdr.sgml : 20210302 20210302195111 ACCESSION NUMBER: 0001209191-21-016509 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210226 FILED AS OF DATE: 20210302 DATE AS OF CHANGE: 20210302 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: 21706344 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 2021-02-26 0 0001493566 OTONOMY, INC. OTIC 0001376355 Lichter Jay C/O OTONOMY, INC. 4796 EXECUTIVE DRIVE SAN DIEGO CA 92121 1 0 0 0 Common Stock 2021-02-26 4 S 0 213292 2.83 D 570701 I See footnote Common Stock 2021-03-01 4 S 0 112081 2.856 D 458620 I See footnote Common Stock 2021-03-02 4 S 0 251375 2.899 D 207245 I See footnote Common Stock 2021-02-26 4 S 0 117262 2.83 D 313753 I See footnote Common Stock 2021-03-01 4 S 0 61619 2.856 D 252134 I See footnote Common Stock 2021-03-02 4 S 0 138199 2.899 D 113935 I See footnote This sale price represents the weighted average sale price of the shares sold ranging from $2.695 to $2.96 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Shares are held by Avalon Ventures VIII, L.P. ("Avalon VIII"). The Reporting Person is a managing director of Avalon VIII and shares voting and dispositive power with respect to these shares. This sale price represents the weighted average sale price of the shares sold ranging from $2.79 to $2.89 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. This sale price represents the weighted average sale price of the shares sold ranging from $2.83 to $2.99 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Holder will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4. Shares are held by Avalon Ventures X, L.P. ("Avalon X"). The Reporting Person is a managing director of Avalon X and shares voting and dispositive power with respect to these shares. /s/ Paul E. Cayer, Attorney-in-fact 2021-03-02