0001209191-15-071918.txt : 20150922
0001209191-15-071918.hdr.sgml : 20150922
20150922190128
ACCESSION NUMBER: 0001209191-15-071918
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150921
FILED AS OF DATE: 20150922
DATE AS OF CHANGE: 20150922
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: 6275 NANCY RIDGE DRIVE
STREET 2: SUITE 100
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
BUSINESS PHONE: (858) 242-5200
MAIL ADDRESS:
STREET 1: 6275 NANCY RIDGE DRIVE
STREET 2: SUITE 100
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LeBel Carl
CENTRAL INDEX KEY: 0001439275
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36591
FILM NUMBER: 151120128
MAIL ADDRESS:
STREET 1: 23256 MARIPOSA DE ORO
CITY: MALIBU
STATE: CA
ZIP: 90265
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2015-09-21
0
0001493566
Otonomy, Inc.
OTIC
0001439275
LeBel Carl
C/O OTONOMY, INC.
6275 NANCY RIDGE DRIVE, SUITE 100
SAN DIEGO
CA
92121
0
1
0
0
Chief Scientific Officer
Common Stock
2015-09-21
4
M
0
4167
1.76
A
13087
D
Common Stock
2015-09-21
4
M
0
17083
6.33
A
30170
D
Common Stock
2015-09-21
4
S
0
21250
24.3565
D
8920
D
Employee Stock Option (right to buy)
1.76
2015-09-21
4
M
0
4167
24.3565
D
2023-12-20
Common Stock
4167
137284
D
Employee Stock Option (right to buy)
6.33
2015-09-21
4
M
0
17083
24.3565
D
2024-06-03
Common Stock
17083
67956
D
The Form 4 filed by the Reporting Person on June 2, 2015 reported that there were a total of 389 shares held directly by the Reporting Person. This number did not include the Reporting Person's 8,531 shares acquired prior to the Issuer's initial public offering, also directly held by the Reporting Person. Column 5 of Table I now reflects these additional 8,531 shares.
The sales reported on this Form 4 were effected pursuant to 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 $23.51 to $25.81 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 within the ranges set forth in footnote (3) to this Form 4.
One fourth of the shares subject to the option vested on September 1, 2014 and one forty-eighth of the shares vest monthly thereafter.
One fourth of the shares subject to the option vested on April 23, 2015 and one forty-eighth of the shares vest monthly thereafter.
/s/ Eric J. Loumeau, by power of attorney
2015-09-22
EX-24.4_606511
2
poa.txt
POA DOCUMENT
LIMITED POWER OF ATTORNEY FOR
SECTION 16 REPORTING OBLIGATIONS
The undersigned, as a Section 16 reporting person of Otonomy, Inc. (the
"Company"), hereby constitutes and appoints David A. Weber, Paul E. Cayer and
Eric J. Loumeau, and each of them, as the undersigned's true and lawful
attorney-in-fact to:
1. prepare, execute in the undersigned's name and on the undersigned's behalf,
and submit to the Securities and Exchange Commission (the "SEC") a Form ID,
including amendments thereto, and any other documents necessary or appropriate
to obtain EDGAR codes and passwords enabling the undersigned to make electronic
filings with the SEC of reports required by Section 16(a) of the Securities
Exchange Act of 1934 or any rule or regulation of the SEC;
2. complete and execute Forms 3, 4 and 5 and other forms and all amendments
thereto as such attorney-in-fact shall in his discretion determine to be
required or advisable pursuant to Section 16 of the Securities Exchange Act of
1934 (as amended) and the rules and regulations promulgated thereunder, or any
successor laws and regulations, as a consequence of the undersigned's ownership,
acquisition or disposition of securities of the Company; and
3. do all acts necessary in order to file such forms with the SEC, any
securities exchange or national association, the Company and such other person
or agency as the attorneys-in-fact shall deem appropriate.
The undersigned hereby ratifies and confirms all that said attorneys-in-fact and
agents shall do or cause to be done by virtue hereof. The undersigned
acknowledges that the foregoing attorneys-in-fact, in serving in such capacity
at the request of the undersigned, are not assuming, nor is the Company
assuming, any of the undersigned's responsibilities to comply with Section 16 of
the Securities Exchange Act of 1934 (as amended).
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
Company and the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 1st day of July, 2015.
Signature: /s/ Carl LeBel
Print Name: Carl LeBel