0001209191-18-004966.txt : 20180123 0001209191-18-004966.hdr.sgml : 20180123 20180123173517 ACCESSION NUMBER: 0001209191-18-004966 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: Cayer Paul E CENTRAL INDEX KEY: 0001615234 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36591 FILM NUMBER: 18543575 MAIL ADDRESS: STREET 1: C/O OTONOMY, INC. STREET 2: 6275 NANCY RIDGE ROAD, SUITE 100 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 0001615234 Cayer Paul E C/O OTONOMY, INC. 4796 EXECUTIVE DRIVE SAN DIEGO CA 92121 0 1 0 0 Ch. Financial & Business Offcr Employee Stock Option (right to buy) 34.12 2018-01-19 4 D 0 60000 D 2024-12-10 Common Stock 60000 0 D Employee Stock Option (right to buy) 14.44 2018-01-19 4 D 0 70000 D 2026-02-28 Common Stock 70000 0 D Employee Stock Option (right to buy) 14.00 2018-01-19 4 D 0 70000 D 2027-03-05 Common Stock 70000 0 D Employee Stock Option (right to buy) 5.675 2018-01-19 4 A 0 40000 A 2026-01-18 Common Stock 40000 40000 D Employee Stock Option (right to buy) 5.675 2018-01-19 4 A 0 46666 A 2026-01-18 Common Stock 46666 46666 D Employee Stock Option (right to buy) 5.675 2018-01-19 4 A 0 46666 A 2026-01-18 Common Stock 46666 46666 D One-fourth (1/4) of the shares subject to the option vest on December 11, 2015 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 60,000 shares of common stock granted to the Reporting Person on December 11, 2014. In exchange, the Reporting Person received an option grant for 40,000 shares of common stock with exercise price of $5.675 per share. In addition to the options acquired and disposed of as set forth in Table II, the Reporting Person currently holds options to purchase up to an aggregate of 272,883 shares of common stock, which options vest according to their terms. One-fourth (1/4) of the shares subject to the option vest on March 1, 2017 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 70,000 shares of common stock granted to the Reporting Person on March 1, 2016. In exchange, the Reporting Person received an option grant for 46,666 shares of common stock with exercise price of $5.675 per share. One-fourth (1/4) of the shares subject to the option vest on March 6, 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 70,000 shares of common stock granted to the Reporting Person on March 6, 2017. In exchange, the Reporting Person received an option grant for 46,666 shares of common stock with exercise price of $5.675 per share. Of the 40,000 total shares subject to the option, 35,833 shares vest on January 19, 2019. Of the remaining 4,167 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. Of the 46,666 total shares subject to the option, 27,222 shares vest on January 19, 2019. Of the remaining 19,444 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. Of the 46,666 total shares subject to the option, 15,555 shares vest on January 19, 2019. Of the remaining 31,111 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 2018-01-23