0000947871-15-000860.txt : 20151130
0000947871-15-000860.hdr.sgml : 20151130
20151130185018
ACCESSION NUMBER: 0000947871-15-000860
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151125
FILED AS OF DATE: 20151130
DATE AS OF CHANGE: 20151130
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: Khuong Chau Quang
CENTRAL INDEX KEY: 0001609405
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36591
FILM NUMBER: 151260962
MAIL ADDRESS:
STREET 1: C/O ORBIMED ADVISORS
STREET 2: 601 LEXINGTON AVENUE, 54TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
ss465994_4.xml
OWNERSHIP DOCUMENT
X0306
4
2015-11-25
0
0001493566
Otonomy, Inc.
OTIC
0001609405
Khuong Chau Quang
601 LEXINGTON AVENUE, 54TH FLOOR
NEW YORK
NY
10022
1
0
0
0
Common Stock
2015-11-25
4
S
0
34800
28.91
D
1882400
I
See Footnotes
Common Stock
2015-11-27
4
S
0
29000
28.97
D
1853400
I
See Footnotes
Common Stock
2015-11-30
4
S
0
2716
28.64
D
1850684
I
See Footnotes
Common Stock
2015-11-30
4
S
0
590
29.22
D
1850094
I
See Footnotes
The price reported in Column 4 is a weighted average price. These shares of the Issuer's common stock ("Shares") were sold in multiple transactions at prices ranging from $28.85 to $29.26 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission (the "SEC") full information regarding the Shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $28.80 to $29.09 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $28.13 to $29.11 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
The price reported in Column 4 is a weighted average price. These Shares were sold in multiple transactions at prices ranging from $29.21 to $29.25 inclusive. Upon request, the Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares sold at each separate price within the range set forth in this footnote.
These Shares are held of record by OrbiMed Private Investments IV, LP ("OPI IV"). OrbiMed Capital GP IV LLC ("GP IV") is the general partner of OPI IV and OrbiMed Advisors LLC ("Advisors") is the managing member of GP IV. Samuel D. Isaly ("Isaly") is the managing member of and owner of a controlling interest in Advisors and may be deemed to have voting and investment power over the Shares held by OPI IV. The Reporting Person is an employee of Advisors.
Each of GP IV, Advisors, Isaly and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
/s/Chau Khuong
2015-11-30