SEC Form 4 · accession 0000899243-17-021482

OTONOMY, INC. · OTIC

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Aug 31, 2017

Accepted (ET)

Sep 5, 2017 · 6:38 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001493566

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F2	Aug 31, 2017	M	141,060	$14.18	A	2,406,212	I	See Footnote
Common Stock^F2	Aug 31, 2017	F	108,851	$18.37	D	2,297,361	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Warrant to Purchase Common Stock (Right to Buy)^F2	$14.18	Aug 31, 2017	M	14,106	D	Aug 18, 2014	Nov 4, 2018	Common Stock	14,106	I
Warrant to Purchase Common Stock (Right to Buy)^F2	$14.18	Aug 31, 2017	M	14,106	D	Aug 18, 2014	Dec 8, 2018	Common Stock	14,106	I
Warrant to Purchase Common Stock (Right to Buy)^F2	$14.18	Aug 31, 2017	M	14,106	D	Aug 18, 2014	Jan 14, 2019	Common Stock	14,106	I
Warrant to Purchase Common Stock (Right to Buy)^F2	$14.18	Aug 31, 2017	M	14,106	D	Aug 18, 2014	Apr 13, 2019	Common Stock	14,106	I
Warrant to Purchase Common Stock (Right to Buy)^F2	$14.18	Aug 31, 2017	M	14,106	D	Aug 18, 2014	Jul 1, 2019	Common Stock	14,106	I
Warrant to Purchase Common Stock (Right to Buy)^F2	$14.18	Aug 31, 2017	M	14,106	D	Aug 18, 2014	Oct 8, 2019	Common Stock	14,106	I
Warrant to Purchase Common Stock (Right to Buy)^F2	$14.18	Aug 31, 2017	M	14,106	D	Aug 18, 2014	Dec 15, 2019	Common Stock	14,106	I
Warrant to Purchase Common Stock (Right to Buy)^F2	$14.18	Aug 31, 2017	M	14,106	D	Aug 18, 2014	Jan 22, 2020	Common Stock	14,106	I
Warrant to Purchase Common Stock (Right to Buy)^F2	$14.18	Aug 31, 2017	M	14,106	D	Aug 18, 2014	Apr 1, 2020	Common Stock	14,106	I
Warrant to Purchase Common Stock (Right to Buy)^F2	$14.18	Aug 31, 2017	M	14,106	D	Aug 18, 2014	May 28, 2020	Common Stock	14,106	I

F1On August 31, 2017, Avalon Ventures VIII, L.P. ("Avalon VIII LP") exercised certain warrants to purchase an aggregate of 141,060 shares of the Issuer's common stock at an exercise price of $14.18 per share. Avalon VIII LP paid the exercise price of the warrants on a cashless basis, resulting in the Issuer's withholding of 108,851 of the shares of common stock to pay the exercise price and the issuance to Avalon VIII LP of 32,209 shares.
F2The reported securities are held of record by Avalon VIII LP. The Reporting Person is a managing director of Avalon Ventures VIII GP, LLC, the general partner of Avalon VIII LP, and disclaims beneficial ownership of the securities held by Avalon VIII LP except to the extent of any pecuniary interest therein.