0001209191-18-004964.txt : 20180123 0001209191-18-004964.hdr.sgml : 20180123 20180123173337 ACCESSION NUMBER: 0001209191-18-004964 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180119 FILED AS OF DATE: 20180123 DATE AS OF CHANGE: 20180123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bishop Katherine Mary CENTRAL INDEX KEY: 0001693950 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36591 FILM NUMBER: 18543572 MAIL ADDRESS: STREET 1: C/O OTONOMY, INC. STREET 2: 4796 EXECUTIVE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 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 2018-01-19 0 0001493566 OTONOMY, INC. OTIC 0001693950 Bishop Katherine Mary C/O OTONOMY, INC. 4796 EXECUTIVE DRIVE SAN DIEGO CA 92121 0 1 0 0 Chief Scientific Officer Employee Stock Option (right to buy) 16.20 2018-01-19 4 D 0 150000 D 2027-01-03 Common Stock 150000 0 D Employee Stock Option (right to buy) 5.675 2018-01-19 4 A 0 100000 A 2026-01-18 Common Stock 100000 100000 D One-fourth (1/4) of the shares subject to the option vest on January 4, 2018 and one forty-eighth (1/48) of the shares vest monthly thereafter. On January 19, 2018, in connection with the Issuer's option exchange program, the Issuer cancelled an option for 150,000 shares of common stock granted to the Reporting Person on January 4, 2017. In exchange, the Reporting Person received an option grant for 100,000 shares of common stock with exercise price of $5.675 per share. Of the 100,000 total shares subject to the option, 37,500 shares vest on January 19, 2019. Of the remaining 62,500 shares subject to the option, one-third (1/3) of these shares vest on January 19, 2019, and one thirty-sixth (1/36) of these shares vest monthly thereafter. /s/ Paul E. Cayer, by power of attorney 2018-01-23