SEC Form 4 · accession 0001209191-15-071918

OTONOMY, INC. · OTIC

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

Reporting owner

Officer — Chief Scientific Officer

Period of report

Sep 21, 2015

Accepted (ET)

Sep 22, 2015 · 7:01 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
Common Stock^F1	Sep 21, 2015	M	4,167	$1.76	A	13,087	D
Common Stock	Sep 21, 2015	M	17,083	$6.33	A	30,170	D
Common Stock^F3	Sep 21, 2015	S	21,250	$24.3565	D	8,920	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F4	$1.76	Sep 21, 2015	M	4,167	D	—	Dec 20, 2023	Common Stock	4,167	137,284	D
Employee Stock Option (right to buy)^F5	$6.33	Sep 21, 2015	M	17,083	D	—	Jun 3, 2024	Common Stock	17,083	67,956	D

F1The Form 4 filed by the Reporting Person on June 2, 2015 reported that there were a total of 389 shares held directly by the Reporting Person. This number did not include the Reporting Person's 8,531 shares acquired prior to the Issuer's initial public offering, also directly held by the Reporting Person. Column 5 of Table I now reflects these additional 8,531 shares.
F2The sales reported on this Form 4 were effected pursuant to Rule 10b5-1 trading plan.
F3The sale price reported in column 4 of Table I represents the weighted average sale price of the shares sold ranging from $23.51 to $25.81 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the reporting person will provide full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.
F4One fourth of the shares subject to the option vested on September 1, 2014 and one forty-eighth of the shares vest monthly thereafter.
F5One fourth of the shares subject to the option vested on April 23, 2015 and one forty-eighth of the shares vest monthly thereafter.