SEC Form 4 · accession 0001209191-15-079921
OTONOMY, INC. · OTIC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul E Cayer
Officer — CFO/Ch. Business Offcr & Sec.
Period of report
Nov 11, 2015
Accepted (ET)
Nov 12, 2015 · 8:46 pm EST
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 |
|---|---|---|---|---|---|---|---|---|
| Conmon Stock | Nov 11, 2015 | M | 1,453 | $1.76 | A | 11,063 | D | |
| Common Stock | Nov 11, 2015 | M | 1,547 | $6.33 | A | 12,610 | D | |
| Common Stock | Nov 11, 2015 | S | 3,000 | $24.95 | D | 9,610 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $1.76 | Nov 11, 2015 | M | 1,453 | D | — | Dec 20, 2023 | Common Stock | 1,453 | 137,088 | D |
| Employee Stock Option (right to buy)F3 | $6.33 | Nov 11, 2015 | M | 1,547 | D | — | Jun 3, 2024 | Common Stock | 1,547 | 83,492 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- F2One-fourth (1/4) of the shares subject to the option vested on September 1, 2014 and one forty-eighth of the shares vest monthly thereafter.
- F3One fourth (1/4) of the shares subject to the option vested on April 23, 2015 and one forty-eighth of the shares vest monthly thereafter.