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