0001209191-16-140652.txt : 20160908
0001209191-16-140652.hdr.sgml : 20160908
20160908185538
ACCESSION NUMBER: 0001209191-16-140652
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160906
FILED AS OF DATE: 20160908
DATE AS OF CHANGE: 20160908
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: 161877478
MAIL ADDRESS:
STREET 1: 23256 MARIPOSA DE ORO
CITY: MALIBU
STATE: CA
ZIP: 90265
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-09-06
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
2015-12-01
4
A
0
263
13.60
A
9183
D
Common Stock
2016-06-01
4
A
0
275
13.1325
A
9458
D
Common Stock
2016-09-06
4
M
0
12133
6.33
A
21591
D
Common Stock
2016-09-06
4
M
0
3813
6.33
A
25404
D
Common Stock
2016-09-06
4
M
0
5304
3.17
A
30708
D
Common Stock
2016-09-06
4
S
0
12133
17.95
D
18575
D
Common Stock
2016-09-06
4
S
0
3813
17.95
D
14762
D
Common Stock
2016-09-06
4
S
0
5304
17.95
D
9458
D
Employee Stock Option (right to buy)
6.33
2016-09-06
4
M
0
15946
0.00
D
2024-06-30
Common Stock
15946
35434
D
Employee Stock Option (right to buy)
3.17
2016-09-06
4
M
0
5304
0.00
D
2020-11-19
Common Stock
5304
19885
D
Acquired pursuant to the Issuer's 2014 Employee Stock Purchase Plan.
The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
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 55,319 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.
/s/ Eric J. Loumeau, by power of attorney
2016-09-08